HIGHWAY DESIGN MANUAL

Chapter 1- Purpose

Revision 27

May 10, 1996

CHAPTER 1 PURPOSE

1-1

The primary functions of the Highway Design Manual (HDM) are to: (1) provide requirements and guidance on highway design methods and policies which are as current as practicable, and (2) assure uniformity of design practice throughout the New York State Department of Transportation consistent with the collective experience of the Department of Transportation, the American Association of State Highway and Transportation Officials, and the Federal Highway Administration. The objective of our process is the design of attractive highways which provide adequate safety and convenience to motorists while maintaining proper balance among highway functional classifications, environmental concerns and fiscal restraints. This manual does not eliminate the need for other references. Instructions from the main office, directives from the Federal Highway Administration, books, publications and other related material may need to be referred to for further details, clarification, or interpretations. Portions of the material in this manual may be specifically superseded by subsequent Official Issuances of the Department. Variations from this manual will be necessary for special or unusual conditions, or between the issuances of new or revised source documents and any corresponding updates of the HDM. Consequently, instructions in this document are not intended to preclude the exercise of individual initiative and engineering judgment in reaction to site specific conditions or application of current state of the art practices. Rather, such initiative and judgment is encouraged when it is appropriate and there is a rational basis for deviation. However, it is equally important that there be consistency statewide in the application of this manual. The objective is uniformity of design for the same or similar conditions. To promote this objective, provide a record for decision makers and help defend the state if litigation should occur, the rationale for variations from this manual are to be documented as appropriate. The degree of documentation depends on the exact nature of the deviation and its degree of importance in respect to safety and good design. Most chapters contain additional information on documentation requirements or recommendations. Note that certain items, such as design criteria (Chapter 2) require specific approvals before deviations are allowed.

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HIGHWAY DESIGN MANUAL

Chapter 2 Design Criteria

Revision 64 (Limited Revisions)

April 10, 2012

Section

Changes

Exhibit 2-1

Changed to comply with EB 12-002 functional class changes.

Contents

Page

2.1 INTRODUCTION ............................................................................................................2-1 2.2 PROJECT TYPES ..........................................................................................................2-3 2.3 DESIGN CRITERIA SOURCES ......................................................................................2-3 2.3.1 A Policy on Geometric Design of Highways and Streets ..........................................2-3 2.3.2 A Policy on Design Standards, Interstate System ....................................................2-3 2.3.3 NYSDOT Bridge Manual ..........................................................................................2-3 2.3.4 NYSDOT Guidelines for the Adirondack Park ..........................................................2-4 2.3.5 Americans with Disabilities Act Accessibility Guidelines (ADAAG) ..........................2-4 2.3.6 National Cooperative Highway Research Program (NCHRP) ..................................2-4 2.4 FUNCTIONAL CLASSIFICATION OF HIGHWAYS ........................................................2-5 2.4.1 Interstates and Other Freeways ...............................................................................2-8 2.4.2 Arterials ....................................................................................................................2-8 2.4.3 Collector Roads and Streets.....................................................................................2-8 2.4.4 Local Roads and Streets ..........................................................................................2-9 2.4.5 Other Roadways ........................................................................................................2-9 2.5 PROJECT DATA .......................................................................................................... 2-10 2.5.1 Traffic ....................................................................................................................... 2-10 2.5.2 Terrain ...................................................................................................................... 2-11 2.5.3 Special Routes ......................................................................................................... 2-12 2.6 CRITICAL DESIGN ELEMENTS .................................................................................. 2-14 2.6.1 Design Speed ........................................................................................................... 2-14 2.6.2 Lane Width ............................................................................................................... 2-15 2.6.3 Shoulder Width ......................................................................................................... 2-15 2.6.4 Bridge Roadway Width (Clear Roadway Width of Bridge) ....................................... 2-16 2.6.5 Grade ....................................................................................................................... 2-16 2.6.6 Horizontal Curvature ................................................................................................ 2-16 2.6.7 Superelevation ......................................................................................................... 2-17 2.6.8 Stopping Sight Distance (Horizontal and Vertical) ................................................... 2-17 2.6.9 Horizontal Clearance ................................................................................................ 2-18 2.6.10 Vertical Clearance ................................................................................................ 2-19 2.6.11 Travel Lane Cross Slope ...................................................................................... 2-19 2.6.12 Rollover ................................................................................................................ 2-19 2.6.13 Structural Capacity ............................................................................................... 2-19 2.6.14 Level of Service .................................................................................................... 2-19 2.6.15 Control of Access ................................................................................................. 2-20 2.6.16 Pedestrian Accommodation ................................................................................. 2-20 2.6.17 Median Width ....................................................................................................... 2-20 2.7 STANDARDS ............................................................................................................... 2-22 2.7.1 Interstates and Other Freeways ............................................................................... 2-22 2.7.2 Arterials .................................................................................................................... 2-27 2.7.3 Collector Roads and Streets .................................................................................... 2-34 2.7.4 Local Roads and Streets .......................................................................................... 2-42 2.7.5 Other Roadways....................................................................................................... 2-49 2.8 REQUIREMENTS FOR JUSTIFICATION OF NONSTANDARD FEATURES ............. 2-61 2.8.1 Definition and Procedures ........................................................................................ 2-61 2.8.2 Technical Discrepancies .......................................................................................... 2-61 2.8.3 Documentation ......................................................................................................... 2-61

2.9

REFERENCES ............................................................................................................. 2-65

APPENDIX A- METRIC VALUES FOR STANDARDS ............................................................. 2-66 M2.7.1 Interstates and Other Freeways ........................................................................... 2-66 M2.7.2 Arterials ................................................................................................................ 2-71 M2.7.3 Collector Roads and Streets ................................................................................ 2-79 M2.7.4 Local Roads and Streets ...................................................................................... 2-86 M2.7.5 Other Roadways ................................................................................................... 2-93

LIST OF EXHIBITS Exhibit 2-1 2-1a 2-2 2-3 2-4 2-5 2-6 2-7 2-8 2-9 2-10 2-11 2-12 2-13 2-14 2-15 2-16 M2-2 M2-3 M2-4 M2-5 M2-6 M2-7 M2-8 M2-9 M2-10 M2-11 M2-12 M2-13 M2-14 Title Page Functional Classification of Highways - Various Sources ........................................... 2-7 Horizontal Clearance ................................................................................................ 2-18 Design Criteria for Interstates and Other Freeways ................................................. 2-26 Design Criteria for Rural Arterials.............................................................................. 2-29 Design Criteria for Urban Arterials ............................................................................ 2-33 Design Criteria for Rural Collectors ........................................................................... 2-37 Design Criteria for Urban Collectors.......................................................................... 2-41 Design Criteria for Local Rural Roads ....................................................................... 2-44 Design Criteria for Local Urban Streets..................................................................... 2-48 Traveled Way Widths for Ramps and Turning Roadways ......................................... 2-53 Design Criteria for Turning Roadways ...................................................................... 2-54 Minimum Radii and Superelevation for Low-Speed Urban Streets ........................... 2-57 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 4% ... 2-58 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 6% ... 2-59 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 8% ... 2-60 Nonstandard Feature Justification Form ................................................................... 2-63 Design Criteria Table ................................................................................................ 2-64 Design Criteria for Interstates and Other Freeways ................................................. 2-70 Design Criteria for Rural Arterials.............................................................................. 2-74 Design Criteria for Urban Arterials ............................................................................ 2-78 Design Criteria for Rural Collectors ........................................................................... 2-81 Design Criteria for Urban Collectors.......................................................................... 2-85 Design Criteria for Local Rural Roads ....................................................................... 2-88 Design Criteria for Local Urban Streets..................................................................... 2-92 Traveled Way Widths for Ramps and Turning Roadways ......................................... 2-97 Design Criteria for Turning Roadways ...................................................................... 2-98 Minimum Radii and Superelevation for Low-Speed Urban Streets ......................... 2-101 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 4% . 2-102 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 6% . 2-103 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 8% . 2-104

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DESIGN CRITERIA

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2.1

INTRODUCTION

NYSDOT uses a Design Criteria Computer Program to automate the development of design criteria for capital projects. The program is web based and available on the Department=s Internet site. The purpose of this chapter is to define the design elements and standard values or range for each of the design elements. The chapter also provides designers with a methodology to perform an independent check of the Design Criteria Program. NYSDOT has established the following seventeen (17) design elements as critical criteria for the design of highways and bridges: $ $ $ $ $ $ $ $ $ Design Speed Lane Width Shoulder Width Bridge Roadway Width Grade Horizontal Curvature Superelevation Stopping Sight Distance Horizontal Clearance $ $ $ $ $ $ $ $ Vertical Clearance Travel Lane Cross Slope Rollover Structural Capacity Level of Service Control of Access Pedestrian Accommodation Median Width

The criteria provided in this chapter are applicable to new construction, reconstruction, and bridge projects on highways with over 400 vehicles per day. For each project, the values established for the applicable critical design elements represent the Design Criteria for that project. Critical design elements and design criteria for 2R/3R (resurfacing, restoration, and rehabilitation) projects are included in Chapter 7 of this manual and for low-volume bridges with 400 or fewer vehicles per day are included in Chapter 4 of this manual. The Design Criteria Program output table, providing the information similar to Exhibit 2-16 of this chapter, is to be used to present design criteria for projects covered by this chapter. Separate criteria are to be provided for adjoining highways when they are being reconstructed to tie into the new mainline. For complex projects involving several highway types, there may be different sets of design criteria for different portions of the project or for different alternatives. Design criteria are influenced by: The highway functional classification Traffic volumes (from all surface, highway and transit modes) Operating speed Terrain (level, rolling, mountainous) Development density and land use Project type (e.g., new construction, reconstruction, 3R, 2R - simple 3R projects, and 1R single course resurfacing projects)

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2-2 DESIGN CRITERIA Design criteria are presented to provide guidance to individuals preparing the plans, profiles and cross sections. The design criteria for the project alternatives are normally determined during the project scoping stage. In making these determinations, the scoping participants should be aware that the criteria are generally the least acceptable values and, if routinely used, may not result in the optimum design from a safety, operational, or cost-effectiveness perspective. Design criteria values should be established taking into consideration the Department =s Context-Sensitive Solution philosophy that strives for outcomes that meet transportation service and safety needs, as well as environmental, scenic, aesthetic, cultural, natural resource, and community needs. AASHTOs A Guide for Achieving Flexibility in Highway Design, 2004 contains guidance on selecting proposed values that take into account the context of the project. It is the Department=s policy to at least meet the design criteria values for the individual project under consideration. However the selected values used for a project should be influenced by the design criteria and numerous other factors, including: Crash history Crash potential Future plans for the corridor Social, economic and environmental impacts Purpose and need for the project (e.g., traffic calming, capacity improvement) Context of the highway Construction Cost Stakeholder and public involvement (including the road users and communities that the highway serves) In situations where values less than the design criteria values are used for certain design elements, a formal justification must be prepared in accordance with Department policy for use of the nonstandard feature as specified in Section 2.8 of this chapter. The use of design exceptions to achieve an optimum design is discussed in AASHTOs A Guide for Achieving Flexibility in Highway Design, 2004. There are other design elements with established values that must be considered in addition to the critical design elements when scoping and designing a project. These elements can affect some of the critical design elements and have a considerable impact on the cost, scope, and quality of a project. Examples include design storm, length of speed change (acceleration and deceleration) lanes, design vehicle, clear zone, and level of service (a critical design element for the mainline on interstate projects only). Since these other elements are not listed as critical design elements, they are not addressed in this chapter but are discussed in others (e.g., Chapter 5 Basic Design, Chapter 18 Facilities for Pedestrians and Chapter 17 for Bicyclists). The inclusion of specified design criteria in this chapter does not preclude the use of engineering judgment to consider alternative engineering values and does not necessarily mean that existing roadways, which were designed and constructed using different criteria, are either substandard or unsafe. Many existing facilities are adequate to safely and efficiently accommodate current traffic demands and need not be reconstructed solely to meet current design criteria.

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2.2

PROJECT TYPES

In order to provide consistent methods for developing projects and reporting program data, projects are categorized into types which are determined by their predominant purpose. When the project consists of two or more different kinds of work, judgment must be used to identify the predominant reason for the project in order to select the appropriate type. When projects have more than a single type of work, it is not appropriate to use a single set of design criteria. There may be several sets of design criteria that apply to different portions of the project or to different alternatives. The design criteria included in this chapter apply to all Department highway projects that are new construction and reconstruction, and to all Department bridge projects on highways with over 400 vehicles per day. For additional information on project types, refer to Appendix 5 Design Year Traffic Forecasts of the Project Development Manual, and Bridge Manual, Section 2. 2.3 DESIGN CRITERIA SOURCES

This section provides a brief description of the major sources used to establish geometric design criteria for all Department highway projects which are new construction, reconstruction, or interstate and freeway 2R/3R, and for all Department bridge projects with over 400 vehicles per day. 2.3.1 A Policy on Geometric Design of Highways and Streets

This policy was developed by AASHTO's Standing Committee on Highways. Guidance included in the policy is based on established practices and is supplemented by recent research. The policy is intended to form a comprehensive reference manual for assistance in administration, planning, and educational efforts pertaining to design formulation. A recommended range of design values for critical dimensions of various types of highway facilities is provided. 2.3.2 A Policy on Design Standards, Interstate System

This policy provides standards for design features specific to interstate highways. The standards outlined in this publication must be followed for projects on the interstate system in addition to the AASHTO geometric requirements in A Policy on Geometric Design of Highways and Streets. 2.3.3 NYSDOT Bridge Manual

This manual was developed by the NYSDOT Structures Design and Construction Division. Section 2 of this manual serves as a standard for designers in determining minimum requirements for bridge widths, clearances, and live loadings for all bridge replacement and bridge rehabilitation projects. It is also intended to clarify the above geometric design requirements for all types of bridge work except maintenance.

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2-4 2.3.4

DESIGN CRITERIA NYSDOT Guidelines for the Adirondack Park

Although this document does not establish design criteria, it is being referenced here because it provides important guidelines for consideration when designing projects within the Adirondack Park. Geometric guidelines for projects within the Adirondack Park are contained in Chapter IV of this publication. These guidelines were developed by the Adirondack Park Task Force which is comprised of representatives of the Adirondack Park Agency, the Department of Environmental Conservation, and Regions 1, 2, and 7 of the Department of Transportation. They serve as an interagency guide for the design, construction, and maintenance of highways, bridges and maintenance facilities within the Adirondack Park. The purpose of this document is to ensure the preservation and enhancement of the unique character of the Adirondack Park, which may require extra effort by the designer to ensure that the project fits harmoniously into the natural surroundings. These guidelines apply to all projects in the Adirondack Park. When the use of these guidelines results in a value less desirable than that listed as design criteria, a justification must still be prepared in accordance with Department policy for the use of the nonstandard feature. Part of this justification should be a reference to these guidelines. 2.3.5 Americans with Disabilities Act Accessibility Guidelines (ADAAG)

This document provides the minimum standards for the design of facilities that must be accessible for people with disabilities as required by the Americans with Disabilities Act (ADA). This document is referenced here because the legal requirement to design and construct all pedestrian facilities in accordance with its provisions may have a direct, unavoidable influence on other critical design elements of a project. The standards in this document must be strictly adhered to unless a formal justification is provided in accordance with the standards. Departures from these standards should be discussed as nonstandard features. Be advised that the justification requirements are more strict than those discussed in Section 2.8. 2.3.6 National Cooperative Highway Research Program (NCHRP)

Numerous problems facing highway engineers and administrators are studied through this coordinated program of cooperative research conducted by the Transportation Research Board. Upon completion of the research, the problems and recommended solutions are presented in an NCHRP report. Information contained in these reports is considered to be the most current, nationally recognized data on the topic presented. The information contained in these reports is usually adopted in subsequent issuances of the design manuals that host the subject topic.

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2-5

2.4

FUNCTIONAL CLASSIFICATION OF HIGHWAYS

Highways are classified by the character of service they provide. Freeways move high traffic volumes at high speeds with limited local access. Local roads and streets are intended to avoid high speed and volume for increased local access. Arterials and collectors provide intermediate service. The functional classification of a roadway is a major factor in determining the appropriate design criteria. The Department=s Functional Classification Maps and Highway Inventory should be referenced to determine the existing functional classification of the project roadway(s). This information is maintained by the Highway Data Services Bureau and is available from the Regional Planning & Program Management Group. The functional classification terminology does not precisely match that used for design criteria. Judgment should be used to determine the appropriate design criteria category. For example, the Functional Classification Maps / Highway Inventory have categories that identify some routes as Urban - Principal Arterial - Expressway and Rural - Principal Arterial - Other, yet these roadways should normally be designed utilizing the design criteria for Other Freeways in Section 2.7.1.2 of this chapter. If the designer believes any of the project roadway classifications should be changed as a result of current or proposed conditions, they should consult the Regional Planning & Program Management Group to determine if the classification should be revised. Because they have fundamentally different characteristics, urban and rural areas are classified separately. Project developers and designers have the responsibility to determine this classification. The design criteria classification selected should be made on the basis of the anticipated character of an area during the design life rather than political or urban area boundaries. If an area within an urban boundary, indicated on the Functional Classification Map, is rural in character and is anticipated to remain rural in character for most of the design life of the project, it should be designed utilizing rural criteria. Likewise if an area, within a rural boundary, is urban in character, such as a hamlet or village, or it is anticipated to become urban in character during the design life of the project, it should be designed utilizing urban criteria. Indicators of urban character for nonfreeways include: Sidewalks (observations of more than occasional pedestrian travel or the presence of development associated with more than occasional pedestrian travel) Crosswalks Transit stops Bicycle usage Curbing Closed drainage systems Driveway densities greater than 24 driveways/mi Minor commercial driveway densities of 10 driveways/mi or greater Major commercial driveways Numerous right of way constraints High density of cross streets 85th percentile speeds of 45 mph or less 1/30/2009 '2.4

2-6 DESIGN CRITERIA More than one of the above indicators is usually needed to classify an area as urban. The urban area boundaries, as shown on the Functional Classification Maps, should not be used to determine whether urban or rural design criteria applies. Areas that meet one or more of the above indicators but are not clearly urban in character may be considered suburban in character when this category is available (e.g., superelevation chart selection & interstate LOS). Otherwise, suburban areas should be considered as rural in character. Exhibit 2-1 serves as guide for selecting the appropriate design criteria category for a project based upon the functional classification as recorded on the Functional Classification Maps and Highway Inventory.

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DESIGN CRITERIA Exhibit 2-1 Functional Classification of Highways - Various Sources1,4

Classification is based upon the service the highway is intended to provide and is dependent upon census data and urban boundaries

2-7

Classification determined by the designer based upon conditions anticipated during the design life of the project. 2

NYSDOT Highway Inventory & Functional Classification Maps Description Urban Principal Arterial Interstate Rural Principal ArterialInterstate Urban Principal Arterial Other Freeway/Expressway Rural Principal Arterial Other Freeway/Expressway Urban Principal Arterial - Other Urban Minor Arterial Rural Principal Arterial Other Rural Minor Arterial Urban Collector/ Major Collector Urban Minor Collector Rural Major Collector Rural Minor Collector 3 Rural Local 3 Urban Local
3

Design Classification

Character Per HDM 2.4

Criteria Section

Code 11 Interstate 01 12 Other Freeways 02 14 Urban 16 Arterial 04 Rural 06 17 Urban 18 Collector 07 Rural 08 09 Local 19 Urban 2.7.4.2 Rural 2.7.4.1 2.7.3.1 2.7.3.2 2.7.2.1 2.7.2.2 Urban and Rural 2.7.1.2 Urban and Rural 2.7.1.1

Notes: 1. This table presents the general relationship between the Functional Classifications and the Design Criteria. There may be situations where the association presented will not coincide as shown. 2. Classifications are based on AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. 3. Classification that is typically not federal-aid eligible. 4. Highway Data Services Bureau maintains the official, most current, record of Highway Functional Classifications and National Highway System (NHS) designations.

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2-8 2.4.1

DESIGN CRITERIA Interstates and Other Freeways

2.4.1.1 Interstates Interstate highways are freeways on the interstate highway system. Generally, they are interregional high-speed, high-volume, divided facilities with complete control of access and are functionally classified as principal arterials. 2.4.1.2 Other Freeways Other freeways are local, intraregional and interregional high-speed, divided, high-volume facilities with complete control of access. Most other freeways have been classified as principal arterials. Expressways are divided highways for through traffic with full or partial control of access and generally with grade separations at major crossroads. Section 2.7.1.2 Other Freeways applies to expressways and to multilane divided parkways, including parkways with occasional at-grade intersections. 2.4.2 Arterials

2.4.2.1 Rural Arterials A major part of the rural highway system consists of rural arterials, which range from two-lane roadways to multilane, divided, controlled-access facilities. Generally, they are high-speed roadways for travel between major points. 2.4.2.2 Urban Arterials Urban arterials generally carry large traffic volumes within and through urban areas. They vary from multilane, divided, controlled-access facilities to two-lane streets. They serve major areas of activity, carrying a high proportion of an area's traffic on a small proportion of the area's lane mileage. 2.4.3 Collector Roads and Streets

Collectors serve a dual function. They collect and distribute traffic while providing access to abutting properties. 2.4.3.1 Rural Collectors Rural collectors are two-lane roadways connecting roadways of higher classification, larger towns, and smaller communities. They link local traffic generators with rural areas.

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DESIGN CRITERIA 2.4.3.2 Urban Collectors

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Urban collector streets link neighborhoods or areas of homogeneous land use with arterial streets. They serve the dual function of land access and traffic circulation. 2.4.4 Local Roads and Streets

2.4.4.1 Local Rural Roads Local rural roads are primarily town and county roads. Their primary purpose is access to the abutting property. They constitute a high proportion of the highway mileage but service a low proportion of the traffic volume. 2.4.4.2 Local Urban Streets Local urban streets are primarily village and city streets. Their primary purpose is access to abutting property. 2.4.5 Other Roadways

The roadways defined in this section are not considered a functional classification. They have a different function than the highways discussed in the classifications above, and are defined here so the appropriate design criteria can be determined. 2.4.5.1 Parkways These are usually divided highways for noncommercial traffic with full control of access, grade separations, interchanges, and occasional at-grade intersections. Parkways are designated by law. 2.4.5.2 Ramps Ramps are turning roadways that connect two or more legs of an interchange. They may be multilane. 2.4.5.3 Speed-Change Lanes A speed-change lane is an auxiliary lane, primarily for the acceleration or deceleration of vehicles entering or leaving through traffic. 2.4.5.4 Turning Roadways Turning roadways are separate connecting roadways at intersections.

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DESIGN CRITERIA

2.4.5.5 Collector - Distributor Roads Collector - distributor roads are auxiliary roadways within or between interchanges. The purpose of these roadways is to remove weaving traffic from the mainline and to minimize entrances and exits. 2.4.5.6 Frontage Roads Frontage or service roads are auxiliary roadways along controlled access facilities. They provide access to adjacent property. 2.4.5.7 Climbing Lanes Climbing lanes are auxiliary lanes provided for slow-moving vehicles ascending steep grades. They may be used along all types of roadways. 2.4.5.8 Intersections Intersections are covered in Chapter 5 of this manual. 2.5 PROJECT DATA

The following items are factors in determining the values of some of the critical design elements. 2.5.1 Traffic

2.5.1.1 Traffic Volume Traffic volume directly affects the geometric features selected for design of highway and bridge projects. The general unit of measure for traffic on a highway is the two-way, average daily traffic (ADT), defined as the total volume during a given time period (in whole days), greater than one day and less than one year, divided by the number of days in that time period. The ADT volume utilizing a time period of one year is referred to as the two-way, annual average daily traffic (AADT). An hourly traffic volume is also used for design purposes. The unit of measure for this traffic is the twoway, design-hour volume (DHV) which is usually represented by the 30th highest hourly volume of the year chosen for design. This volume is adjusted to provide a one-way, directional design-hour volume (DDHV). Refer to Chapter 5, Section 5.2 of this manual for additional information on traffic data.

2.5.1.1

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DESIGN CRITERIA 2.5.1.2 Trucks and Other Heavy Vehicles

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For consistency with the definition in AASHTO=s A Policy on Geometric Design of Highways and Streets, the term Atrucks@ used in this chapter refers to all heavy vehicles. The Highway Capacity Manual defines heavy vehicles as vehicles having more than four tires touching the pavement and include trucks, buses, and recreational vehicles. Trucks impose a greater effect on a highway or bridge than passenger cars do. Truck volumes are generally addressed as follows: A very low percentage of trucks is considered to be 2% or less. A high percentage of trucks is considered to be 10% or more. For the interstates and other freeways, a DDHV of 250 vph is used to indicate a high percentage of trucks. 2.5.1.3 Traffic Design Year Highway and bridge design should be based on traffic volumes that are expected to occur within the expected service life of the project. The year chosen for design must also be no further ahead than that for which traffic can be estimated with reasonable accuracy. Refer to Appendix 5 Design Year Traffic Forecasts of the Project Development Manual to determine the appropriate design year for the project. 2.5.1.4 Speed Studies Speed studies provide an essential measure for evaluating highway geometry. The speed study results may also serve as the basis for selecting a design speed within the acceptable range for the highway=s functional class (refer to Section 2.6.1 of this chapter for a discussion of design speed). Consult Chapter 5, Section 5.2.4 of this manual for more information on speed studies and terminology. 2.5.2 Terrain

The topography of the land traversed has an influence on the horizontal and vertical alignment of a highway. The terrain classifications pertain to the general character of a specific route corridor. For design purposes, variations in topography are categorized by terrain, utilizing the definitions in AASHTO's A Policy on Geometric Design of Highways and Streets: Level Terrain - That condition where highway sight distances, as governed by both horizontal and vertical restrictions, are generally long or could be made to be so without construction difficulty or major expenses. Rolling Terrain - That condition where the natural slopes consistently rise above and fall below the road or street grade and where occasional steep slopes offer some restriction to normal horizontal and vertical roadway alignment.

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2-12 DESIGN CRITERIA Mountainous Terrain - That condition where longitudinal and transverse changes in the elevation of the ground with respect to the road or street are abrupt and where benching and side hill excavation are frequently required to obtain acceptable horizontal and vertical alignment. 2.5.3 Special Routes

There are special routes designated to serve specific purposes as shown below. 2.5.3.1 Strategic Highway Corridor Network (STRAHNET) The United States Department of Defense has a program called Highways for National Defense (HND) to ensure the mobility of United States Forces during national defense operations. To support this program, a Strategic Highway Corridor Network (STRAHNET) was established. The STRAHNET includes highways which are important to the United States Strategic Defense Policy and which provide defense access, continuity, and emergency capabilities for the movement of personnel, materials, and equipment in both peacetime and war time. This system consists of all interstate and some noninterstate highways. The minimum vertical clearance on these routes is 16. Refer to Section 2 of the Bridge Manual for information on the 16 vertical clearance routes [note: sections of the interstate system have been exempted from the vertical clearance requirements]. The Highway Data Services Bureau of the Technical Services Division maintains the designation and map information concerning the STRAHNET system. 2.5.3.2 Designated Qualifying and Access Highways The 1982 Federal Surface Transportation Assistance Act (STAA) and the State 1990 Truck Safety Bill provided regulations concerning a system of reasonable access routes for special dimension vehicles. Minimum travel lane widths of 12 must be provided along Designated Qualifying Highways. Minimum travel lane widths of 10 are required along Designated Access Highways and for routes within 1 mile of Qualifying Highways. The Traffic Engineering and Highway Safety Groups maintain a listing of all designated highways in the publication Official Description of Designated Qualifying and Access Highways in New York State. 2.5.3.3 Bicycle Routes Bicycle routes are distinguished by their designation and signing as preferred routes through high demand corridors. The surface treatments and lane widths required are especially important to assure the usability of designated bicycle routes. Refer to Chapter 17 of this manual for further guidance. 2.5.3.4 National Highway System (NHS) This system was established after passage of the Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 and was approved by Congress in 1995. The NHS is separate and distinct from the functional classification system. The NHS consists of interconnected urban and rural highways (including toll facilities) which serve major population centers, international border crossings, ports, airports, public transportation facilities, other intermodal transportation facilities, and other major travel destinations; meet national defense requirements; or serve interstate and interregional travel. Although limited in number, there are segments of local highways and rural minor collectors that are classified as part of the NHS. All routes on the Interstate System are a part of the National Highway System. The NHS is designated on functional classification maps maintained by the 2.5.3.4 1/30/2009

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Highway Data Services Bureau. Maps are available in the Regional Planning and Program Management Group. The routes can also be viewed on FHWA=s website.

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2-14 2.6

DESIGN CRITERIA CRITICAL DESIGN ELEMENTS

The seventeen (17) items discussed in this section are defined as the critical design elements. Usually, minimum or maximum values are specified for these elements. 2.6.1 Design Speed

Design speed is a speed established to determine the various geometric design features of the roadway. The design speed should be a logical one with respect to the functional classification of highway, anticipated off-peak 85th percentile speed, topography, the adjacent land use, and any planned improvements for the facility, including future projects on adjacent segments. Once established, many of the critical elements of the highway are related to the design speed. There are important differences between the design criteria applicable to low- and high-speed designs. AASHTO=s A Policy on Geometric Design of Highways and Streets, defines the upper limit for low-speed at 45 mph and the lower limit for high-speed at 50 mph (i.e., low-speed 45 mph & high speed 50 mph). Project design speeds are to be rounded to the nearest 5 mph value and should, therefore, fall within one of these two categories. 2.6.1.1 Establishing a Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds. The Regional Traffic Engineer should concur with the design speed to be used for selection of the other critical design elements. For freeways, the design speed shall equal or exceed the regulatory speed limit in every case. Scoping documents, design approval documents, etc., should contain the basis for the design speed. The anticipated off-peak 85th percentile speed is to be based on: Existing off-peak 85th Percentile Speed - Refer to Section 2.5.1.4 of this chapter and Chapter 5, Section 5.2.4 of this manual for definitions and acceptable methods. For new facilities, the anticipated off-peak 85th percentile speed may be based on the speeds of facilities with similar classifications, geometry, and traffic characteristics. Improvements - Since speeds often increase when there is a new pavement surface, and when geometric improvements are made, engineering judgment should be exercised in determining the reasonableness and applicability of using an existing off-peak 85th percentile speed that is below the maximum functional class speed. Traffic Calming - Refer to Chapter 25 of this manual for requirements and guidance. A nonstandard design speed is NOT to be used. Design speed is considered the core critical design element from which other criteria are developed (Ref. 23 CFR 625). A nonstandard design speed cannot be justified since a reduction in the design speed effectively lowers several speed-related critical design elements, which must be justified individually. 2.6.1.1 1/30/2009

DESIGN CRITERIA 2.6.1.2 Design Speed Segments

2-15

The use of different design speeds for continuous segments of a facility should be kept to a minimum to better assure consistency of design features such as vertical and horizontal alignment. However, significant changes in highway environment or terrain may necessitate a different design speed for different highway segments within the project (i.e., rural vs. urban, flat vs. mountainous, a large change in side road or driveway density, a large change in building offsets, etc.). 2.6.2 Lane Width

The highway lane is the portion of the traveled way used for a single line of vehicles. Wide curb lanes in urban areas are designed to accommodate bicycles and motor vehicles simultaneously. Refer to Chapter 18 of this manual and Section 2.7 of this chapter. 2.6.3 Shoulder Width

The shoulder is the portion of the roadway contiguous with the traveled way. Narrow shoulders less than 3 wide adjacent to curbing are sometimes called curb off-sets. Shoulders may provide for: Improved capacity. Easier entry and departure from the highway to side streets and driveways. Truck turning movements. Off tracking of trucks around curves. Evasive maneuvers. Increased horizontal and intersection sight distances. Increase the horizontal clearance. Reduced driver stress. Storm water flow in curbed and gutter sections. Stopped vehicles. Mail delivery. Maintenance and protection of traffic. Maintenance operations such as snow removal. Oversized vehicles. Bicycle and occasional pedestrian use. Fewer passing conflicts with bicyclists and pedestrians. Improved visibility of pedestrians crossing the highway. Emergency use. Mail delivery Garbage pickup. Bus Stops. Structural support of subbase and surface courses.

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2.6.3

2-16

DESIGN CRITERIA

The width of shoulder is the actual width that can be used for an evasive maneuver. Areas behind curbing (turfed, stabilized, or paved) are not considered part of the shoulder since the edge of the useable shoulder must be flush with the traveled way. Therefore, curbs located closer to the edge of the traveled way than the required shoulder width require the shoulder to be justified as a nonstandard feature. The area behind curbing (turfed, stabilized, or paved) may be useful for disabled vehicles and as part of the clear zone. Interstate and other freeway shoulders are to be fully paved. As an exception, historic parkways classified as freeways require paving only for the first 4 of shoulder. Nonfreeway shoulders may be either fully or partially paved or stabilized. Generally, the entire shoulder width is paved. In curbed areas the entire shoulder is to be paved. 2.6.4 Bridge Roadway Width (Clear Roadway Width of Bridge)

A bridge is a structure, including supports, erected over a depression or an obstruction such as water, highway, or railway, and having a track or passageway for carrying traffic or other moving loads, and having an opening measured along the center of the roadway of more than 20. The bridge roadway width is the clear distance between inside faces of bridge railing, or the clear distance between faces of curbs, whichever is less. The bridge roadway width includes travel lanes, areas flush with the travel lanes (turn lanes, flush medians, shoulders, curb offsets, parking lanes, and bike lanes), and the Department=s standard 5 wide brush curb introduced at the bridge. Bike paths, sidewalks, safety walks, and curbing for sidewalks or safety walks are not part of the bridge roadway width. 2.6.5 Grade

The maximum grade is the maximum allowable rate of change in vertical alignment of a highway. Since the rate of grade has a direct effect on the operating speed of vehicles on a highway, the maximum grade is chosen to encourage uniform operating speeds throughout the traffic stream while providing a cost-effective design. Refer to Chapter 5, Section 5.7.4.1 of this manual for a discussion of minimum grades to accommodate drainage. 2.6.6 Horizontal Curvature

The minimum radius is a limiting value of curvature for a given design speed and is determined from the maximum rate of superelevation and the maximum side-friction factor selected for design. The highway and turning roadway radii used for curve and superelevation design is measured from the inner edge of the traveled way. On two-lane facilities, the radius may be measured to the centerline of the two travel lanes as the difference in radii is small. Note that the radius shown on plan sheets is for construction purposes and is measured to the horizontal control line, which often follows the roadway centerline or the median edge of traveled way.

2.6.6

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DESIGN CRITERIA 2.6.7 Superelevation

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Superelevation is the cross slope of the pavement at a horizontal curve, provided to partially counterbalance the centrifugal force on a vehicle going around that curve. A number of factors influence the maximum allowable rate of superelevation, including climate and area type (i.e., urban, suburban, or rural). For freeways and rural facilities, an 8% maximum rate is used to provide the maximum safety benefit while minimizing the potential low-speed operational problems on ice and snow. Higher rates of superelevation are undesirable: In urban areas due to impact on building fronts, drainage, sidewalks, and driveways. For segments with wide variations in travel speeds, common on high-volume, urban and suburban facilities.

In suburban areas, a 6% maximum superelevation rate may be used. In urban areas, a 4% superelevation rate is used (except on interstates, other freeways, expressways, parkways, and ramps). The actual superelevation provided for each curve is determined using the appropriate emax table (Exhibits 2-11 through 2-14) referenced in Section 2.7 of this chapter. Exhibit 2-11 is for use on urban streets since it minimizes the use of superelevation by maximizing the use of side friction (refer to Method 2 in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004). Exhibits 2-12 through 2-14 use superelevation to gradually increase the side friction demand (refer to Method 5 in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004). When curves occur on grades steeper than 5%, refer to Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004 for further guidance. 2.6.8 Stopping Sight Distance (Horizontal and Vertical)

Sight distance is the length of roadway ahead visible to the driver. The minimum sight distance available on a roadway should be sufficiently long to enable a vehicle traveling at or near the design speed to stop before reaching a stationary object in its path. There are three types of stopping sight distance. These are stopping sight distance for crest vertical curves, stopping sight distance for sag vertical curves (also called "headlight sight distance"), and stopping sight distance for horizontal curves. The effect of grades on vertical curve stopping sight distance is not considered when determining the minimum values. For two-way facilities the sight distance available on downgrades is generally larger than on upgrades. The unadjusted stopping sight distance, more or less, provides an average of the downgrade and upgrade values. For one-way roadways without wide shoulders or multiple travel lanes to accommodate evasive maneuvers, an adjustment for grade is desirable. The effect of concrete barriers and other visual obstructions must be considered when determining horizontal sight distance. A concrete barrier placed on the inside of a horizontal curve will restrict sight distance around that curve. This is a common problem on curvilinear freeways. Refer to Chapter 5 of this manual, Section 5.7.2 for additional information on sight distance.

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2-18 2.6.9

DESIGN CRITERIA Horizontal Clearance

Horizontal clearance is a segment of the road section lying adjacent to the traveled way, identified as an operational offset in urban areas and for rural areas identified as a portion of the clear zone (defined in Chapter 10 of this manual as an area for recovery of errant vehicles). It does not replace the need to select a clear zone in accordance with Chapter 10 of this manual that will generally be substantially wider than the horizontal clearance criteria in this chapter. A more detailed description of what features are allowed within these two categories follows. See Exhibit 21a, which has the desirable section on the right-hand side of the drawing. Exhibit 2-1a Horizontal Clearance

2.6.9.1 Interstates, Other Freeways, Expressways, Rural Arterials, Rural Collectors, and Local Rural Roads Horizontal clearance serves as an extension of the shoulder and provides allowance for recovery of errant vehicles, disabled vehicles, parking, etc. Curbs, traversable slopes, breakaway supports, etc., are permitted within the horizontal clearance. Fixed objects, nontraversable slopes, etc., are not permitted. The width is measured from the edge of traveled way. It includes shoulders or 2.6.9.1 1/30/2009

DESIGN CRITERIA auxiliary lanes (e.g., speed change lanes, climbing lanes, turning lanes). 2.6.9.2 Urban Arterials, Urban Collectors, and Local Urban Streets

2-19

Horizontal clearance functions as an operational offset that minimizes restrictions to traffic flow and provides space for opening car doors, the lateral clearance affecting capacity and vehicle position within a lane, and vehicle overhangs at intersections. The area within the horizontal clearance is to be an unobstructed, relatively flat area provided beyond the edge of traveled way. Obstructions include sign posts, lighting posts, poles, hydrants, trees, bollards, etc. The width is measured from the face of curb. 2.6.9.3 Turning Roadways Along turning roadways, horizontal clearance functions as a portion of the clear zone that minimizes restrictions to traffic flow and provides space for the lateral clearance and vehicle position within a lane, disabled vehicles, and vehicle overhangs during turning movements. The area within the horizontal clearance is to be an unobstructed, relatively flat area provided beyond the edge of traveled way. Obstructions include sign posts, lighting posts, poles, hydrants, trees, bollards, etc. The width is measured from the edge of traveled way. 2.6.10 Vertical Clearance Vertical clearance is the minimum vertical clear distance to an obstruction over any part of the traveled way and shoulders. See the Bridge Manual Section 2 for specific design criteria. 2.6.11 Travel Lane Cross Slope Travel lane cross slope is the minimum value of sustained transverse slope of a travel lane. For tangent sections of the traveled way this cross slope is commonly called "normal crown." The purpose of travel lane cross slope is to provide positive drainage from the pavement. 2.6.12 Rollover Rollover is the measure of the difference in cross slope between two adjacent highway lanes or a highway lane and its adjacent shoulder. 2.6.13 Structural Capacity Structural capacity is the ability of a bridge to carry its dead load and a given live load. The live load (which includes impact effects), is expressed in terms of standard AASHTO truck configurations or equivalent uniform lane loads. 2.6.14 Level of Service Level of service is defined as a qualitative measure describing operational conditions within a traffic stream, and their perception by motorists and/or passengers. Level of service is described by a letter grade from A (best) to F (worst). Level of service is a critical design element only for 1/30/2009 2.6.14

2-20 DESIGN CRITERIA interstate highways. Refer to Chapter 5 of this manual, Section 5.2.2 for additional information on level of service. 2.6.15 Control of Access Control of access is defined as the regulated limitation of access rights to and from properties abutting the highway facilities. Control of access is measured by the degree to which access is controlled, that is, fully controlled, partially controlled, or uncontrolled. Control of access is a critical design element only for interstate highways, other freeways, ramps, and a portion of the cross road or service road at the ramp terminal. The control of access for interstates and other freeways is discussed in Appendix 8 of the Project Development Manual. The control of access at ramp terminals is discussed in Chapter 6 of this manual. 2.6.16 Pedestrian Accommodation Pedestrian accommodation is defined as the provision of facilities to ensure safe pedestrian movement within and through the project area and consists of sidewalks, ramps, pedestrian crossings, and other design facilities. Pedestrian accommodation is a critical design element for all highway construction / reconstruction projects except in areas where: Pedestrians are prohibited by law from using the roadway. The project exists in an area with a low population and a lack of pedestrian generators which indicates the absence of a need for pedestrian facilities, and the project is not considered likely to promote the development of such pedestrian generators (i.e., secondary development) within the life cycle of the project. The standards for pedestrian accommodations are concerned with the usability of those accommodations by persons with disabilities and established by the United States Access Board in the Americans with Disability Act Accessibility Guidelines (ADAAG) . The standards and other requirements found in ADAAG must be strictly adhered to unless a formal justification is provided in accordance with the provisions prescribed in the document. Departures from the ADAAG standards and other requirements should be discussed as nonstandard features. The ADAAG nonstandard justification presentation requires more analysis than required under Section 2.8 of this chapter. Refer to Chapter 18 of this manual for guidance. If pedestrians will not be accommodated in a Department project other than in circumstances described above, it is a variance from Department policy and requires documentation of justification of nonconforming features as described in Chapter 5.1 of this manual. 2.6.17 Median Width A median is defined as the portion of a divided highway separating the traveled way for traffic traveling in opposing directions. The median width is expressed as the dimension between the through-lane edges and includes the left shoulders, if any. Median width is a critical design element only for interstates, other freeways, and multilane divided rural arterials. An arterial is not normally considered to be divided unless two travel lanes are provided in each direction of travel and the median has a width of 4 ft. or more and contains a barrier, turf, raised sections, or lowered sections to preclude its use by motorists, except in emergencies or where the median is specifically 2.6.17 1/30/2009

DESIGN CRITERIA designed to allow for left turns.

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2.6.17

2-22

DESIGN CRITERIA

2.7

STANDARDS

This section provides the standard values for the critical design elements. The values are provided for each functional classification, with further division of arterials, collectors, and local roads for rural and urban conditions, similar to the format of AASHTO's A Policy on Geometric Design of Highways and Streets. In addition, values are provided for other roadways such as parkways, ramps, speed change lanes, turning roadways, climbing lanes, collector-distributor roadways and frontage roads. When these values are not met, concurrence with nonstandard features must be obtained from FHWA, the Deputy Chief Engineer, or the Regional Director as described in Section 2.8 of this chapter and in the Project Development Manual. The values shown are the minimum or maximum values or other parameters as applicable. In some cases further refinement of the values, dependent on certain conditions, are provided. Desirable values are also provided for a few of the critical design elements (wider shoulders on certain interstates and other freeways, curb offsets on urban streets and turning lanes). Whenever practicable, considering factors such as cost limitations and social, economic, and environmental impacts, the designer should strive to achieve the desirable values. There are technical discrepancies between the metric and U.S. customary values in AASHTO's A Policy on Geometric Design of Highways and Streets. Guidance on this issue is provided in Section 2.8.2 of this chapter. The values for bridge widths are established by the NYSDOT Bridge Manual Section 2. They are influenced by future plans for the adjacent highway and should be considered both the minimum acceptable and the desirable values. The standards for design of pedestrian accommodations accessible to persons with disabilities are established by the United States Access Board in the Americans with Disability Act Accessibility Guidelines (ADAAG). Refer to Chapter 18 of this manual for further guidance. 2.7.1 Interstates and Other Freeways

2.7.1.1 Interstates The design criteria for interstate highways are detailed in sections A to P below.

2.7.1.1

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DESIGN CRITERIA A. Design Speed

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The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section 2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Minimum Design Speed (mph) 70 70 50 50 Maximum Design Speed * (mph) 70 70 60 70

Area Character Rural Rural Rural Urban

*

Terrain Level Rolling Mountainous All

For consistency with adjacent sections and anticipated off-peak 85th percentile speeds higher than the maximum values tabulated above, a 75 mph maximum speed may be used for rural (level & rolling) freeways and a 70 mph maximum speed may be used for rural mountainous freeways.

B. Lane Width Travel lanes = 12 ft. minimum. C. Shoulder Width Determine from Exhibit 2-2. D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. E. Grade Determine maximum from Exhibit 2-2. F. Horizontal Curvature Determine minimum radius from Exhibit 2-2. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate emax exhibit (Exhibit 2-13 for e max. = 6% or Exhibit 2-14 for emax. = 8%).

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2-24 G. Superelevation

DESIGN CRITERIA

8% maximum. A 6% maximum may be used in urban and suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit 2-2. I. Horizontal Clearance

The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 15 ft. where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 4 ft., except: On bridges where NYSDOT Bridge Manual, Section 2 allows less than 4 ft. In depressed sections where the minimum is the shoulder width plus 2 ft. J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of the traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from NYSDOT Bridge Manual, Section 2. N. Level of Service (LOS) A minimum of four traffic lanes shall be provided on the Interstate System. The number of lanes shall be sufficient to accommodate the selected DDHV (directional design hourly volume) at an acceptable level of service as listed below, and shall be determined on the basis of design year volumes. On ascending grades which exceed the critical design length, a climbing lane analysis shall be made in accordance with TRBs Highway Capacity Manual, and AASHTOs A Policy on Geometric Design of Highways and Streets, and climbing lanes added where warranted.

2.7.1.1

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DESIGN CRITERIA The following levels of service are the criteria for interstates: Rural, level terrain Rural, rolling terrain Rural, mountainous terrain Urban and suburban *
*

2-25

LOS = B minimum LOS = B minimum LOS = C minimum LOS = C minimum

Note: In heavily developed sections of metropolitan areas, conditions may necessitate LOS = D minimum. Scoping and design approval documents should include documentation of the heavily developed metropolitan area conditions. Some interstate projects, especially in urban areas, will provide levels of service below those shown above due to social, economic, and environmental and/or policy/intergovernmental decisions during project scoping and design. Such decisions for lesser levels of service should be made in accordance with National Environmental Policy Act (NEPA) and/or State Environmental Quality Review Act (SEQRA) procedures and, where applicable, with the Major Metropolitan Transportation Investment process. These decisions should be supported and documented in the design approval documents. O. Control of Access Access to the interstate system shall be fully controlled. Access is to be achieved by interchanges at selected public highways. Access control shall extend the full length of ramps and terminals on the crossroad. Such control shall either be acquired outright prior to construction or by the construction of frontage roads or by a combination of both. Control for connections to the crossroad should be provided beyond the ramp terminals by purchasing access rights or providing frontage roads. Such control should extend beyond the ramp terminal at least 100 ft. in urban areas and 300 ft. in rural areas (see Chapter 6 of this manual for more specific details). The interstate highway shall be grade separated at all railroad crossings and selected public crossroads. All at-grade intersections of public highways shall be eliminated. To accomplish this, the connecting roads are to be terminated, rerouted, or intercepted by frontage roads. P. Median Width Medians in rural areas in level or rolling terrain shall be at least 36 ft. wide and desirably 50 ft. 100 ft. wide. Medians in mountainous terrain or in urban areas shall be at least 10 ft. wide. 2.7.1.2 Other Freeways The design criteria for freeways other than interstates are the same as Section 2.7.1.1 Interstates with the exception that Section 2.7.1.1N Level of Service is not a critical design element. Level of service for other freeways should be included as an Other Design Parameter. When the LOS is not met, it should be addressed as a nonconforming feature per Chapter 5, Section 5.1 of this manual.

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DESIGN CRITERIA

Exhibit 2-2 Design Criteria for Interstates and Other Freeways

Shoulder 1 Description Right Side: General In mountainous terrain involving high cost for additional width For non-interstate parkways that exclude truck and bus traffic Where trucks exceed 250 DDHV (directional design hourly volume) Left Side: General For interstates with six or more lanes For interstates with six or more lanes where trucks exceed 250 DDHV Design Speed (mph) Level 2 50 55 60 65 70 75 4 4 3 3 3 3 Maximum Percent Grade Minimum Stopping Sight Distance, ft. 425 495 570 645 730 820 10 8 8 10 10 10 10 12 Shoulder Width (ft.) Minimum Desirable 3

4 4 4 Minimum Radius Curve, ft. emax = 6% 833 1060 1330 1660 2040 2500

4 10 12 Minimum Radius Curve, ft. emax = 8% 758 960 1200 1480 1810 2210

Rolling 2 5 5 4 4 4 4

Mountainous 6 6 6 5.5 5 -

Notes: 1. For bridges, determine the shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Grades 1% steeper may be used for one-way downgrades and for extreme cases in urban areas where development precludes the use of flatter grades. 3. For shoulder widths of 10 ft. or less, an additional 2 ft. is desirable where barrier is used.

2.7.1.2

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DESIGN CRITERIA

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2.7.2

Arterials

2.7.2.1 Rural Arterials The design criteria for undivided and divided rural arterials are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section 2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Terrain Level Rolling Mountainous B. Lane Width Determine from Exhibit 2-3. C. Shoulder Width Determine from Exhibit 2-3. D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade F. Horizontal Curvature Determine minimum radius from Exhibit 2-3. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate emax table (Exhibit 2-13 for e max. = 6% or Exhibit 2-14 for emax. = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. Minimum Design Speed 40 mph 40 mph 40 mph Maximum Design Speed 60 mph 60 mph 50 mph

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DESIGN CRITERIA

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit 2-3. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 10 ft. where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 4 ft., except: On bridges where NYSDOT Bridge Manual, Section 2 allows less than 4 ft. J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodation To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual. O. Median Width (only for multilane, divided, rural arterials) Median = 4 ft. minimum without left turn lanes. Where left turn lanes are provided, the median = 12 ft. minimum (10 ft. left turn lane with 2 ft. median separation).

2.7.2.1

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DESIGN CRITERIA

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Exhibit 2-3 Design Criteria for Rural Arterials

Design Speed (mph) ADT Under 400 40 45 50 55 60 65 70 11 11 11 11 12 12 12 Travel Lane Width 1,2,3 (ft.) Design Year ADT ADT 400-1500 11 11 11 11 12 12 12
3

Maximum % Grade

ADT 1500-2000 11 11 12 12 12 12 12

ADT Over 2000 12 12 12 12 12 12 12

Minimum Sight Stopping Distance (ft.)

Minimum Radius Curve (ft.) emax = 6%

Minimum Radius Curve (ft.) emax = 8%

Level 5 5 4 4 3 3 3 Notes:

Rolling 6 6 5 5 4 4 4

Mountainous 8 7 7 6 6 5 5 305 360 425 495 570 645 730 485 643 833 1060 1330 1660 2040 444 587 758 960 1200 1480 1810

Shoulder Width (ft.)

Undivided (Right Shoulder)

4 ft.

6 ft.

6 ft.

8 ft.

1. Width of travel lane may remain 11 ft. on reconstructed highways where accident history is satisfactory and the route is not designated as a Qualifying Highway. 2. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 12 ft. travel lanes. 3. For bridges, determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 4. For turning lanes, use Exhibit 2-4 of this chapter. 5. Refer to Section 2.6.16 of this chapter for a definition of divided.

Divided 5

Right Shoulder = 8 ft. Left Shoulder = 4 ft.

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DESIGN CRITERIA

2.7.2.2 Urban Arterials The design criteria for urban arterials are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section 2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Area Character Suburban and Developing Areas Central Business District B. Lane Width Determine from Exhibit 2-4. C. Shoulder Width Determine from Exhibit 2-4. D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. Minimum Design Speed 40 mph 30 mph Maximum Design Speed 60 mph 60 mph

E. Grade Determine maximum from Exhibit 2-4. F. Horizontal Curvature Determine minimum radius from Exhibit 2-4. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit 2-12 for e max = 4%. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases. This distribution of superelevation is based on Method 5 in Chapter III of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004.

2.7.2.2

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DESIGN CRITERIA

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For low-speed (45-mph and below) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed (mph) 20 25 30 35 40 45 Minimum Curve Radius (emax = 4%) (ft.) 86 154 250 371 533 711

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit 2-11. G. Superelevation 4% maximum. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit 2-4. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 ft if barrier is provided, 1.5 ft. in areas without barrier, and 3 ft. at intersections. J. Vertical Clearance

Determine minimum from NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum.

M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2.

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2-32 N. Pedestrian Accommodations

DESIGN CRITERIA

To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

2.7.2.2

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DESIGN CRITERIA Exhibit 2-4 Design Criteria for Urban Arterials

Lanes1 Travel Lanes Low Speed (<50 mph) High Speed (50 mph) For highly restricted areas with no or little truck traffic (0 to 2%) Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low speed segments 2 Turning Lanes Left and Right, T 2% Left and Right, Truck volume > 2% Two-way left-turn lanes Parking Lanes Future provision for travel lane Future provision for turn lanes Future provision for turn lane on 35 mph or less arterial No future provisions for turn lanes Shoulders1 Curbed Left shoulder for divided arterials Right shoulder for bicycling, lateral offset, etc. 2 Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc. Uncurbed Design Speed (mph) 30 35 40 45 50 55 60 Maximum Percent Grade Level Rolling Mountainous 8 9 11 7 8 10 7 8 10 6 7 9 6 7 9 5 6 8 5 6 8 Minimum Stopping Sight Distance (ft.) 200 250 305 360 425 495 570 Minimum 0 5 6 Minimum 11 12 10 12 12 Minimum 10 11 11 Minimum 11 10 9 8 Width (ft.) Desirable 1 to 2 10 Refer to Exhibit 2-3 Width (ft.) Desirable 14 Desirable 12 12 16 Desirable 12 12 12 12

2-33

Minimum Radius Curve (ft.) emax = 4% 250 371 533 711 926 1190 1500

Notes 1. For bridges, determine lane and shoulder width from NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used in low-speed segments. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230-1236 of the New York State Vehicle and Traffic Law. A 0 to 4 ft minimum shoulder may be used where a wide outside travel lane (12 ft minimum) or separate provisions (e.g., multiuse path) are provided.

7/30/2010

2.7.2.2

2-34

DESIGN CRITERIA

2.7.3

Collector Roads and Streets

2.7.3.1 Rural Collectors The design criteria for rural collectors are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section 2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Type of Terrain 0 to 400 Level Rolling Mountainous B. Lane Width Determine minimum from Exhibit 2-5. C. Shoulder Width Determine minimum from Exhibit 2-5. D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. 40 - 60 30 - 60 20 - 60 Range of Design Speeds (mph) Design Year ADT 400 to 2000 50 - 60 40 - 60 30 - 60 2000 and over 60 50 - 60 40 - 60

E. Grade Determine maximum from Exhibit 2-5.

2.7.3.1

1/30/2009

DESIGN CRITERIA F. Horizontal Curvature

2-35

Determine minimum radius from Exhibit 2-5. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max. table (Exhibit 2-13 for e max. = 6% or Exhibit 2-14 for e max. = 8%).

G. Superelevation 8% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds.

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit 2-5.

I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 10 ft. where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 4 ft., except: On bridges where NYSDOT Bridge Manual, Section 2 allows less than 4 ft.

J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum.

L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. 7/30/2010 2.7.3.1

2-36 M. Structural Capacity

DESIGN CRITERIA

Determine from the NYSDOT Bridge Manual, Section 2.

N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

2.7.3.1

1/30/2009

DESIGN CRITERIA Exhibit 2-5 Design Criteria for Rural Collectors

Design Speed (mph) Travel Lane Width (ft.) Based on Design Year ADT ADT Under 400 20 25 30 35 40 45 50 55 60 10 4 10 4 10 4 10 4 10 4 10 4 10 4 11 11 ADT 4001500 10 10 10 10 11 11 11 11 11 ADT 15002000 3 11 11 11 11 11 11 11 12 12 ADT Over 2000 3 12 12 12 12 12 12 12 12 12 10 Match Travel Lane Width
1,7

2-37

Turn Lane (ft.)

Maximum Percent Grade 2

Minimum Desirable

Terrain Level 7 7 7 7 7 7 6 6 5 Rolling 10 10 9 9 8 8 7 7 6 Mountainous 12 11 10 10 10 10 9 9 8

Min. Stopping Sight Distance (ft.) 115 155 200 250 305 360 425 495 570

Min. Radius Curve (ft.) emax = 6%

Min. Radius Curve (ft.) emax = 8%

81 144 231 340 485 643 833 1060 1330

76 134 214 314 444 587 758 960 1200

Shoulder Width (ft.) 7

All Speeds

25

56

Notes: 1. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 12 ft. travel lanes. 2. Short lengths of grade in rural areas, such as grades less than 490 ft. in length, oneway downgrades, and grades on low-volume (<1500 vpd) rural collectors may be up to 2% steeper than the grades shown above. 3. 11 ft. lanes may be retained where accident rates are acceptable. 4. 9 ft. lanes may be used for design volumes under 250 vpd. 5. .Minimum width is 4 ft. if roadside barrier is used. 4 ft. shoulder is desirable if the shoulder is intended for occasional pedestrian and/or bicycle use. 6. Shoulder width may be reduced to 4 ft. for design speeds of 40 mph to 60 mph. 7. For bridges, determine the shoulder width from the NYSDOT Bridge Manual, Section 2.

1/30/2009

2.7.3.1

2-38 2.7.3.2 Urban Collectors The design criteria for urban collectors are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section 2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Minimum 30 mph Maximum 60 mph

B. Lane Width Determine minimum from Exhibit 2-6.

C. Shoulder Width Determine minimum from Exhibit 2-6.

D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit 2-6.

F. Horizontal Curvature Determine minimum radius from Exhibit 2-6. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit 2-12 for e max = 4% table. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases, with a bias that minimizes the unresolved lateral forces on a vehicle as for curves with large radii. This distribution of superelevation is based on Method 5 in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. 2.7.3.2 7/30/2010

DESIGN CRITERIA

2-39

For low-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed (mph) 20 25 30 35 40 45 Minimum Curve Radius (emax = 4%) (ft.) 86 154 250 371 533 711

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit 2-11.

G. Superelevation 4% maximum.

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum from Exhibit 2-6.

I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 if barrier is provided, 1.5 ft. in areas without barrier, and 3 ft. at intersections.

J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum.

1/30/2009

2.7.3.2

2-40 L. Rollover

DESIGN CRITERIA

Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum.

M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2.

N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

2.7.3.2

1/30/2009

DESIGN CRITERIA Exhibit 2-6 Design Criteria for Urban Collectors

Lanes 1,4
Travel Lanes Residential and Commercial Industrial areas without severe ROW limitations Industrial areas with severe ROW limitations Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low-speed segments 2 Travel Lanes (uncurbed) Turning Lanes Truck volume 2% Truck Volume > 2% Two-way left-turn lanes (trucks 2%) Two-way left-turn lanes (trucks > 2%) Parking Lanes Commercial / Industrial Residential Shoulders 2 Curbed Left shoulder for divided urban collectors Right shoulder for bicycling 2, lateral offset, etc. Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc. Uncurbed Design Speed Maximum Percent Grade Minimum Stopping Sight (mph) Level Rolling Mountainous Distance (ft) 30 9 11 12 200 35 9 10 12 250 40 9 10 12 305 45 8 9 11 360 50 7 8 10 425 55 7 8 10 495 60 6 7 9 570 Minimum 0 5 6 Minimum 10 12 11 12 Minimum 10 11 10 11 Minimum 8 7

2-41
Width (ft.)
Desirable 12 14 Refer to Exhibit 2-5 Desirable 12 12 16 16 Desirable 11 8 Width (ft.) Desirable 1 to 2 10 Refer to Exhibit 2-5 Minimum Radius Curve (ft) emax = 4% 250 371 533 711 926 1190 1500

Notes: 1. For bridges, determine lane and shoulder width from NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used in low-speed ( 45 mph) segments. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230-1236 of the New York State Vehicle and Traffic Law. A 0 to 4 ft minimum shoulder
may be used where a wide outside travel lane (12 ft minimum) or separate provisions (e.g., multiuse path) are provided.

3 4.

Maximum grades of short length (< 490 ft.) and on one-way down grades may be 2% steeper. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 12 ft. travel lane.

1/30/2010

2.7.3.2

2-42

DESIGN CRITERIA

2.7.4

Local Roads and Streets

2.7.4.1 Local Rural Roads The design criteria for local rural roads are as follows: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section 2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Range of Design Speeds (mph) Design Year ADT Type of Terrain Level Rolling Mountainous Under 50 30 55 20 55 20 - 55 50 to 250 30 55 30 55 20 55 250 to 400 40 55 30 55 20 55 Over 400 50 55 40 55 30 55

B. Lane Width Determine minimum from Exhibit 2-7.

C. Shoulder Width Determine minimum from Exhibit 2-7.

D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit 2-7.

2.7.4.1

1/30/2009

DESIGN CRITERIA F. Horizontal Curvature

2-43

Determine minimum radius from Exhibit 2-7. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max table (Exhibit 2-13 for e max = 6% or Exhibit 2-14 for e max = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in suburban and developing areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit 2-7. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is: Without Barrier With Barrier for lowfor highJ. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual. 6 ft. 45 mph) segments 10 ft. 50 mph) segments Greater of shoulder width or 4 ft., except on bridges where the NYSDOT Bridge Manual, Section 2 allows less than 4 ft.

1/30/2009

2.7.4.1

2-44

DESIGN CRITERIA

Exhibit 2-7 Design Criteria for Local Rural Roads

Travel Lane Width (ft.) Based on Design Year ADT Design Speed Turn Lane (ft.) Max. Percent Grade Minimum Stopping Sight Distance (ft.) Minimum Radius Curve (ft.)

ADT Under 400

ADT 4001500 3

ADT 15002000 4

ADT Over 2000 4

Terrain Minimum Desirable Level Rolling 11 11 10 10 9 8 7 Mountainous 16 15 14 13 12 10 10

e max = 6 %

e max = 8 %

20 25 30 40 45 50 55

9 9 9 9 10 10 11

10 10 10 10 11 11 11

11 11 11 11 11 11 12

12 12 12 12 12 12 12 10 Match Travel Lane Width

8 7 7 7 7 6 6

115 155 200 305 360 425 495

81 144 231 485 643 833 1060

76 134 214 444 587 758 960

Shoulder Width (ft) 1

All Speeds

25

5 6,7

Notes: 1. For bridges, determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Minimum travel lane width is 11 ft. for routes designated as Access Highways and for routes within 1 mile of Qualifying Highways on the national network of Designated Truck Access Highways 3. For roads in mountainous terrain with design volume of 400 to 600 ADT, use 9 ft. lanes (except where note 2 applies). 4. 11 ft. lanes remain where accident history is acceptable 5. Minimum width is 4 ft. if roadside barrier is used on low-volume roads. 6. For roads in mountainous terrain with design volume of 400 to 600 ADT, use 2 ft. shoulders. 7. Shoulders may be 4 ft. where speeds are > 40 mph.

2.7.4.1

1/30/2009

DESIGN CRITERIA 2.7.4.2 Local Urban Streets The design criteria for local urban streets are: A. Design Speed

2-45

The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section 2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Minimum 20 mph Maximum 30 mph

B. Lane Width Determine minimum from Exhibit 2-8.

C. Shoulder Width Determine minimum from Exhibit 2-8. D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade Grades for local streets = 15% maximum in residential areas and 8% maximum in commercial and industrial areas. F. Horizontal Curvature Determine minimum radius from Exhibit 2-8. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit 2-12 for e max = 4% table,. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases. This distribution of superelevation is based on Method 5 in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004.

1/30/2009

2.7.4.2

2-46

DESIGN CRITERIA

Local urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed, mph 20 25 30 Minimum Curve Radius (emax = 4%) (ft.) 72 154 282

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit 2-11.

G. Superelevation 4% maximum.

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit 2-8.

I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 ft. if barrier is provided, 1.5 ft. in areas without barrier, and 3 ft. at intersections.

J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope Travel lane = 1.5% minimum to 2% maximum. Parking lane = 1.5% minimum to 5% maximum.

2.7.4.2

1/30/2009

DESIGN CRITERIA L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum.

2-47

M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2.

N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

1/30/2009

2.7.4.2

DESIGN CRITERIA 2-48 Exhibit 2-8 Design Criteria for Local Urban Streets
Lanes 1 Travel Lanes - (with curbing) Residential without severe ROW limitations & Commercial Residential with severe ROW limitations Industrial areas without severe ROW limitations Industrial areas with severe ROW limitations Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low speed segments 2 Travel Lanes - (uncurbed) Turning Lanes Truck volume 2% Truck volume > 2% Two-way left-turn lanes Parking Lanes Commercial and Industrial Residential Shoulders 1 Curbed Left shoulder for divided urban streets 2 Right shoulder for bicycling , lateral offset, etc. Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc. Uncurbed Grade Residential Commercial / Industrial Design Speed (mph) 20 25 30
Notes: 1. 2.

Width (ft.) Minimum 10 9 12 11 12 Desirable 11 10 14 Refer to Exhibit 2-7 Minimum Desirable 9 10 9 12 10 11

8 7 Width (ft.) Minimum 0 5 6

11 8 Desirable 1 to 2 10 Refer to Exhibit 2-7 Maximum 15% 8%

Minimum Stopping Sight Distance (ft) 115 155 200

Minimum Radius Curve (ft) emax = 4% 86 154 250

For bridges, determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. Wide travel lanes may be used on local urban streets. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230 - 1236 of the New York State Vehicle and Traffic Law. A 0 to 4 ft minimum shoulder may be used where a wide outside travel lane (12 ft minimum) or separate provisions (e.g., multiuse path) are provided.

2.7.4.2

7/30/2010

DESIGN CRITERIA 2.7.5 Other Roadways

2-49

2.7.5.1 Parkways Parkways that are multilane, divided freeways, or expressways with occasional at-grade intersections should follow the standards in Section 2.7.1.2 Other Freeways. Parkways that are two-lane highways or multilane, divided highways with signalized intersections should follow the standards of the design classification established for the subject parkway. 2.7.5.2 Ramps (Turning Roadways for Grade-Separated Highways) Ramps are turning roadways to accommodate high volumes of turning movements between gradeseparated highways. Ramps are functionally classified based on the higher-type highway they service. For example, all the ramps to and from an interstate are considered part of the Interstate System. The design criteria for ramps are: A. Design Speed A ramp speed study is not required to determine the ramp design speed. The ramp design speed for the design criteria applies to the sharpest ramp curve, usually on the ramp proper. The ramp design speed does not apply to the ramp terminals, which should include transition curves and speed change lanes based on the design speeds of the highways and ramps involved. Desirably, ramp design speed should approximate the off-peak running speeds (50th percentile speeds) on the higher speed intersecting highway, but not exceed 50 mph. Ramps with design speeds over 50 mph should be designed using Section 2.7.1 of this chapter. The minimum design speeds based on ramp type (as illustrated in Exhibit 10-55 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004) are: Loop ramps 25 mph minimum for highways with design speeds of more than 50 mph. Semidirect connection ramps 30 mph minimum. Direct connection ramps 40 mph minimum; 50 mph preferred. Diagonals, outer connections, and one-quadrant ramps - Below is the minimum ramp design speed related to the highway design speed. The highway design speed is the higher design speed of the interchanging roadways. Highway Design Speed (mph) 40 45 50 55 60 70 75 Min. Ramp Design Speed (mph) 20 25 25 30 30 40 45

1/30/2009

2.7.5.2

2-50 B. Lane Width

DESIGN CRITERIA

Determine minimum lane widths from Exhibit 2-9. For one-lane, one-way ramps, Case II, which provides for passing a stalled vehicle, should normally be used. C. Shoulder Width Determine minimum shoulder widths from Exhibit 2-10. D. Bridge Roadway Width The lane and shoulder widths are to be carried across all ramp structures. E. Grade Determine maximum from Exhibit 2-10. F. Horizontal Curvature Determine minimum radius from Exhibit 2-10. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max table (Exhibit 2-13 for e max. = 6% or Exhibit 2-14 for e max. = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in urban and suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable stopping sight distance from Exhibit 2-10. I. Horizontal Clearance Right side = greater of shoulder width or 6 ft. and left side = 3 ft. minimum. Where ramps pass under structures, there should be an additional 4 ft. clearance beyond the outside of shoulders to bridge piers or abutments. J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. Ramps should have the same vertical clearance as the higher functional classification of the interchanging roadways. K. Travel Lane Cross Slope 1.5% minimum to 2% maximum.

2.7.5.2

7/30/2010

DESIGN CRITERIA L. Rollover

2-51

Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Level of Service (interstate ramps only) Exit ramps with poor levels of service can cause backups onto the mainline. Ramps shall meet acceptable levels of service, as listed below, and shall be determined on the basis of design year volumes in accordance with TRBs Highway Capacity Manual. The following levels of service are the criteria for interstates: Rural, level terrain Rural, rolling terrain Rural, mountainous terrain Urban and suburban 1
1

LOS = B minimum LOS = B minimum LOS = C minimum LOS = C minimum

In heavily developed sections of metropolitan areas, conditions may necessitate LOS D minimum. Scoping closure and design approval documents should include documentation of the heavily developed metropolitan area conditions. Some interstate projects, especially in urban areas, will provide levels of service below those above due to social, economic, and environmental and/or policy/intergovernmental decisions during project scoping and design. Such decisions for lesser levels of service should be made in accordance with National Environmental Policy Act (NEPA) and/or State Environmental Quality Review Act (SEQR) procedures and, where applicable, withthe Major Metropolitan Transportation Investment process. These decisions should be supported and documented in the design approval documents. O. Control of Access (interstate and other freeway ramps only) Access along freeway ramps and terminals on the crossroad shall be fully controlled. Such control shall either be acquired outright prior to construction or reconstruction. Access along the crossroad should be provided beyond the ramp terminals by purchasing access rights or providing frontage roads. Such control should extend beyond the ramp terminal at least 100 ft. in urban areas and 300 ft. in rural areas (see Chapter 6 of this manual for more specific details).

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2.7.5.2

2-52

DESIGN CRITERIA

P. Pedestrian Accommodation To assure access for persons with disabilities, pedestrian facilities located at the ramp terminal with a crossroad shall be located and constructed in accordance with Chapter 18 of this manual. 2.7.5.3 Speed Change Lanes Acceleration lanes, deceleration lanes, and combination acceleration-deceleration lanes have the same lane width as the adjacent travel lanes. The minimum shoulder width is 6 ft. on interstates and other freeways and 4 ft. on other roadways. All other critical design elements (grades, stopping sight distance, etc.) are the same as apply for the adjacent roadway. The lengths of acceleration and deceleration lanes are not critical design elements. However the lengths, as determined from Chapter 10 in AASHTO's, A Policy on Geometric Design of Highways and Streets, 2004 should be provided. If these lengths are not provided an explanation must be included in the design report.

2.7.5.3

1/30/2009

DESIGN CRITERIA Exhibit 2-9 Traveled Way Widths for Ramps and Turning Roadway Traveled Way Width (ft.)
Radius on Inner Edge of Traveled Way, R (ft.) Case I One-lane, One- way Operation No Provision for Passing a Stalled Vehicle B C D 18 23 29 17 19 26 16 18 26 16 17 24 16 16 21 15 16 19 15 16 18 15 15 18 15 15 15 Traveled Way Treatment: None None Case II One-lane, One-way Operation- With Provision for Passing a Stalled Vehicle Design Traffic Condition 1 A B C D 23 25 29 49 21 23 27 45 20 22 25 42 19 21 24 37 19 21 23 35 18 20 22 31 18 20 22 29 18 20 22 27 17 19 21 21 None None Case III Two-Lane Operation - Either One-Way or Two-Way A 31 29 28 27 27 26 26 26 25 B 35 33 31 30 29 28 28 28 27 C 42 37 35 33 31 30 29 29 27 None None D1 60 36 35 33 31 30 29 29 27 D2 99 54 49 38 32 30 29 29 27

2-53

A 18 16 15 14 13 13 13 12 12 Width Modification Regarding Edge of No Stabilized Shoulder 50 75 100 150 200 300 400 500 Sloped Curb Vertical-Faced Curb (adj. to traveled way) One Side Two Sides Stabilized Shoulder, One or Both sides

Add 1 ft. Add 2 ft. Lane width for conditions B & C on tangent may be reduced to 12 ft. where combined shoulder is 4 ft. or wider

None Add 1 ft. Deduct combined right and left shoulder width; use minimum travel lane width as under Case I

Add 1 ft. Add 2 ft. Deduct 2 ft. where either shoulder is 4 ft. or wider

Note: 1. The design traffic conditions are defined: A Predominantly P vehicles, but some consideration for SU trucks. Accommodates occasional WB 40 trucks. B Sufficient SU vehicles to govern design, but some consideration for semitrailer vehicles. Generally SU plus semitrailer vehicles = 5 to 10% of the total traffic volume. Accommodates occasional WB 40 trucks. C Sufficient bus and combination-types of vehicles to govern design (over 10% of total traffic volume). Accommodates occasional WB 50 trucks. D Use on ramps and turning roadways with a WB 65 design vehicle (e.g., ramps connecting to Qualifying Highways on the national network of Designated Truck Access Highways 1982 STAA highways)). Values are from Exhibit 3-50 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. Design Traffic Condition D values are reduced by as much as 2 ft. for Case I and as much as 4 ft. for Cases II & III to account for reduced lateral clearance allowed for turning roadways with a combination of large vehicles and sharp radii. Case I, Design Traffic Condition D assumes WB 65 vehicle with no provision for passing a stalled passenger vehicle. Case II, Design Traffic Condition D assumes WB 65 passing P vehicle. D1/ D2 For Case III, use Condition D1 for one-way, two-lane ramps and Condition D2 for two-way, two-lane ramps. Case III, Design Traffic Condition D1 assumes passenger car overtaking a WB 67 vehicle. Case III, Design Traffic Condition D2 assumes opposing WB 67 vehicles.

1/30/2009

2.7.5.3

2-54

DESIGN CRITERIA

Exhibit 2-10 Design Criteria for Turning Roadways

Shoulders Design Speed (mph) Left 104 15 20 25 30 35 40 45 50 3 3 3 3 3 3 3 3 3 (ft.)
1

Right2 6 6 6 6 6 6 6 6 6

Maximum Percent Grade

Minimum Stopping Sight Distance (ft.) 50 80 115 155 200 250 305 360 425

Minimum Radius (ft.) (measured to the inside edge of traveled way) emax = 4% 42 86 154 250 371 533 711 926
3

emax = 6% 39 81 144 231 340 485 643 833

emax = 8% 38 76 134 214 314 444 587 758

8 8 8 7 7 6 6 5 5

Notes: 1. For urban turning roadways with curbing, no shoulder is required. A 2 ft. curb offset is desirable. 2. For direct connection ramps with design speeds over 40 mph, use a 8 ft. minimum right shoulder. 3. Only for Free-Flow Turning Roadways for at-grade intersections. See 2.7.5.4.B. 4. Refer to Chapter 9 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004 for minimum radii.

2.7.5.3

1/30/2009

DESIGN CRITERIA

2-55

2.7.5.4 Turning Roadways - Channelized for At-Grade Intersections Channelized right-turning roadways are sometimes called right-turn slip lanes or right-turn bypass lanes. There are two types of channelized right-turning roadways for at-grade intersections: rightturning roadways with corner islands and free-flowing, right-turning roadways. Further information on these roadways is provided in Chapter 5, Section 5.9.4 of this manual. A. Turning Roadways with Yield, Stop, or Signal Control Turning roadways with yield, stop, or signal control often have channelized islands and do not include taper- or parallel-type acceleration lanes. Design criteria is not required for these types of turning roadways. For layout, the design speed may range from 10 mph to 25 mph. Refer to Chapter 5, Section 5.9.4.6 A of this manual for additional guidance. B. Free-Flow Turning Roadways Free-flow turning roadways are essentially ramps for at-grade intersections. They generally include speed-change lanes. The design speed may be equal to or as much as to 20 mph less than the design speed of the higher speed intersecting highway. The acceptable range of design speeds is 10 mph to 50 mph. Determine the lane widths from Exhibit 2-9. Determine the shoulder widths, grade, stopping sight distance, and minimum radii from Exhibit 2-10. A maximum superelevation rate of 4% is used for urban areas, 6% for rural areas where traffic is likely to stop on the turning roadway, and 8% for rural areas where traffic is unlikely to stop on the turning roadway. For superelevation rates on curves with radii above the minimum radius, use Exhibits 2-12, 2-13, or 2-14 for emax equal to 4%, 6%, or 8%, respectively. The minimum horizontal clearance to obstructions (measured from the edge of traveled way) on the right side is the larger of the shoulder width or 6 ft. The minimum horizontal clearance to obstructions (measured from the edge of traveled way) on the left side is 4 ft. Determine the remaining critical design elements from Section 2.7.5.2.

2.7.5.5 Collector-Distributor Roads The difference between the design speed of a collector-distributor road and the adjacent mainline roadway should not exceed 15 mph. However, for freeways with 50 mph or 55 mph design speeds, the minimum design speed for the collector-distributor road is 50 mph. The design criteria should be the same as that of the adjacent mainline roadway. However the other critical design elements (horizontal curve, stopping sight distance, etc.) should be modified appropriately if a design speed less than the mainline design speed is used.

7/30/2010

2.7.5.9

2-56

DESIGN CRITERIA

2.7.5.6 Frontage Roads (Service Roads) The design criteria for frontage roads should be consistent with the design criteria for the functional class of the frontage road. 2.7.5.7 Climbing Lanes Climbing lanes should have the same lane width as the adjacent travel lanes. The minimum shoulder width for a climbing lane is 4 ft., or the shoulder width of the highway, whichever is less. Desirably the climbing lane shoulder should match the shoulder for the adjacent segments of highway. All other critical design elements (grades, stopping sight distances, etc.) are the same as applies for the adjacent roadway. 2.7.5.8 Tunnels The design criteria used for tunnels should not differ materially from those used for grade separation structures. Refer to AASHTOs A Policy on Geometric Design of Highways and Streets, 2004 for further guidance regarding tunnel design. 2.7.5.9 Shared Roadway A roadway that is open to both bicycle and motor vehicle travel upon which no bicycle lane is designated. Examples may include roads with wide curb lanes and roads with shoulders. Refer to various tables within Section 2.7 of this chapter as well as Chapters 17 and 18 of this manual for shoulder / lane width guidance.

2.7.5.5

7/30/2010

DESIGN CRITERIA Exhibit 2-11 Minimum Radii and Superelevation for Low-Speed Urban Streets
e (%) Vd = 15 mph R (ft.) -2.0 -1.5 0 1.5 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 3.6 3.8 4.0 50 49 47 45 44 44 44 43 43 43 43 42 42 42 42 Vd = 20 mph R (ft.) 107 105 99 94 92 91 91 90 89 89 88 88 87 87 86 Vd = 25 mph R (ft.) 198 194 181 170 167 165 164 163 161 160 159 158 157 155 154 Vd = 30 mph R (ft.) 333 324 300 279 273 270 268 265 263 261 259 256 254 252 250 Vd = 35 mph R (ft.) 510 495 454 419 408 404 400 396 393 389 385 382 378 375 371 Vd = 40 mph R (ft.) 762 736 667 610 593 586 580 573 567 561 556 550 544 539 533 Vd = 45 mph R (ft.) 1039 1000 900 818 794 785 776 767 758 750 742 734 726 718 711

2-57

Notes: 1. For lowand less) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), sharper curves are allowed. 2. Computed using AASHTO Superelevation Distribution Method 2. 3. For segments using a normal crown of 2%, curves with radii that are larger than those required for e = -2.0% may retain normal crown. Curves with radii requiring superelevation rates between e = -2.0% to e = 0% require removal of the adverse cross slope. Curves with radii requiring superelevation rates between e = 0% and e = 2% require superelevation at e = 2%. 4. For segments using a normal crown of 1.5%, curves with radii that are larger than those required for e = -1.5% may retain normal crown. Curves with radii requiring superelevation rates between e = -1.5% to e = 0% require removal of the adverse cross slope. Curves with radii requiring superelevation rates between e = 0% and e = 1.5% require superelevation at e = 1.5%.

1/30/2009

2.7.5.9

2-58

DESIGN CRITERIA

Exhibit 2-12 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 4%
e (%) Vd = 15 mph R (ft.) 1.5 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 3.6 3.8 4.0 796 506 399 271 201 157 127 105 88 73 61 42 Vd = 20 mph R (ft.) 1410 902 723 513 388 308 251 209 175 147 122 86 Vd = 25 mph R (ft.) 2050 1340 1110 838 650 524 433 363 307 259 215 154 Vd = 30 mph R (ft.) 2830 1880 1580 1270 1000 817 681 576 490 416 348 250 Vd = 35 mph R (ft.) 3730 2490 2120 1760 1420 1170 982 835 714 610 512 371 Vd = 40 mph R (ft.) 4770 3220 2760 2340 1930 1620 1370 1180 1010 865 730 533 Vd = 45 mph R (ft.) 5930 4040 3480 2980 2490 2100 1800 1550 1340 1150 970 711 Vd = 50 mph R (ft.) 7220 4940 4280 3690 3130 2660 2290 1980 1720 1480 1260 926 Vd = 55 mph R (ft.) 8650 5950 5180 4500 3870 3310 2860 2490 2170 1880 1600 1190 Vd = 60 mph R (ft.) 10300 7080 6190 5410 4700 4060 3530 3090 2700 2350 2010 1500

Notes: 1. Computed using AASHTO Superelevation Distribution Method 5. 2. Curves with radii greater than that needed for e = 1.5% may retain normal crown. Curves with radii requiring e= 1.5% to less than e = 2.0% require removal of the adverse cross slope.

2.7.5.9

1/30/2009

DESIGN CRITERIA Exhibit 2-13 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 6%
e (%) Vd = 15 mph R (ft.) 1.5 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 3.6 3.8 4.0 4.2 4.4 4.6 4.8 5.0 5.2 5.4 5.6 5.8 6.0 868 614 543 482 430 384 341 300 256 209 176 151 131 116 102 91 82 73 65 58 51 39 Vd = 20 mph R (ft.) 1580 1120 991 884 791 709 635 566 498 422 358 309 270 238 212 189 169 152 136 121 106 81 Vd = 25 mph R (ft.) 2290 1630 1450 1300 1170 1050 944 850 761 673 583 511 452 402 360 324 292 264 237 212 186 144 Vd = 30 mph R (ft.) 3130 2240 2000 1790 1610 1460 1320 1200 1080 972 864 766 684 615 555 502 456 413 373 335 296 231 Vd = 35 mph R (ft.) 4100 2950 2630 2360 2130 1930 1760 1600 1460 1320 1190 1070 960 868 788 718 654 595 540 487 431 340 Vd = 40 mph R (ft.) 5230 3770 3370 3030 2740 2490 2270 2080 1900 1740 1590 1440 1310 1190 1090 995 911 833 759 687 611 485 Vd = 45 mph R (ft.) 6480 4680 4190 3770 3420 3110 2840 2600 2390 2190 2010 1840 1680 1540 1410 1300 1190 1090 995 903 806 643 Vd = 50 mph R (ft.) 7870 5700 5100 4600 4170 3800 3480 3200 2940 2710 2490 2300 2110 1940 1780 1640 1510 1390 1280 1160 1040 833 Vd = 55 mph R (ft.) 9410 6820 6110 5520 5020 4580 4200 3860 3560 3290 3040 2810 2590 2400 2210 2050 1890 1750 1610 1470 1320 1060 Vd = 60 mph R (ft.) 11100 8060 7230 6540 5950 5440 4990 4600 4250 3940 3650 3390 3140 2920 2710 2510 2330 2160 1990 1830 1650 1330 Vd = 65 mph R (ft.) 12600 9130 8200 7430 6770 6200 5710 5280 4890 4540 4230 3950 3680 3440 3220 3000 2800 2610 2420 2230 2020 1660

2-59

Vd = 70 mph R (ft.) 14100 10300 9240 8380 7660 7030 6490 6010 5580 5210 4860 4550 4270 4010 3770 3550 3330 3120 2910 2700 2460 2040

Notes: 1. Computed using AASHTO Superelevation Distribution Method 5. 2. Curves with radii greater than that needed for e = 1.5% may retain normal crown. Curves with radii requiring e= 1.5% to less than e = 2.0% require removal of the adverse cross slope.

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2.7.5.9

2-60

DESIGN CRITERIA

Exhibit 2-14 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 8%
e (%)
1.5 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 3.6 3.8 4.0 4.2 4.4 4.6 4.8 5.0 5.2 5.4 5.6 5.8 6.0 6.2 6.4 6.6 6.8 7.0 7.2 7.4 7.6 7.8 8.0

Vd = 15 mph R (ft.)
932 676 605 546 496 453 415 382 352 324 300 277 255 235 215 193 172 154 139 126 115 105 97 89 82 76 70 64 59 54 48 38

Vd = 20 mph R (ft.)
1640 1190 1070 959 872 796 730 672 620 572 530 490 453 418 384 349 314 284 258 236 216 199 184 170 157 146 135 125 115 105 94 76

Vd = 25 mph R (ft.)
2370 1720 1550 1400 1280 1170 1070 985 911 845 784 729 678 630 585 542 499 457 420 387 358 332 308 287 267 248 231 214 198 182 164 134

Vd = 30 mph R (ft.)
3240 2370 2130 1930 1760 1610 1480 1370 1270 1180 1100 1030 955 893 834 779 727 676 627 582 542 506 472 442 413 386 360 336 312 287 261 214

Vd = 35 mph R (ft.)
4260 3120 2800 2540 2320 2130 1960 1820 1690 1570 1470 1370 1280 1200 1130 1060 991 929 870 813 761 713 669 628 590 553 518 485 451 417 380 314

Vd = 40 mph R (ft.)
5410 3970 3570 3240 2960 2720 2510 2330 2170 2020 1890 1770 1660 1560 1470 1390 1310 1230 1160 1090 1030 965 909 857 808 761 716 672 628 583 533 444

Vd = 45 mph R (ft.)
6710 4930 4440 4030 3690 3390 3130 2900 2700 2520 2360 2220 2080 1960 1850 1750 1650 1560 1480 1390 1320 1250 1180 1110 1050 990 933 878 822 765 701 587

Vd = 50 mph R (ft.)
8150 5990 5400 4910 4490 4130 3820 3550 3300 3090 2890 2720 2560 2410 2280 2160 2040 1930 1830 1740 1650 1560 1480 1400 1330 1260 1190 1120 1060 980 901 758

Vd = 55 mph R (ft.)
9720 7150 6450 5870 5370 4950 4580 4250 3970 3710 3480 3270 3080 2910 2750 2610 2470 2350 2230 2120 2010 1920 1820 1730 1650 1560 1480 1400 1320 1230 1140 960

Vd = 60 mph R (ft.)
11500 8440 7620 6930 6350 5850 5420 5040 4700 4400 4140 3890 3670 3470 3290 3120 2960 2820 2680 2550 2430 2320 2210 2110 2010 1910 1820 1720 1630 1530 1410 1200

Vd = 65 mph R (ft.)
12900 9510 8600 7830 7180 6630 6140 5720 5350 5010 4710 4450 4200 3980 3770 3590 3410 3250 3110 2970 2840 2710 2600 2490 2380 2280 2180 2070 1970 1850 1720 1480

Vd = 70 mph R (ft.)
14500 10700 9660 8810 8090 7470 6930 6460 6050 5680 5350 5050 4780 4540 4310 4100 3910 3740 3570 3420 3280 3150 3020 2910 2790 2690 2580 2470 2350 2230 2090 1810

Notes: 1. Computed using AASHTO Superelevation Distribution Method 5. 2. Curves with radii greater than that needed for e = 1.5% may retain normal crown. Curves with radii requiring e= 1.5% to less than e = 2.0% require removal of the adverse cross slope.

2.7.5.9

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DESIGN CRITERIA 2.8 REQUIREMENTS FOR JUSTIFICATION OF NONSTANDARD FEATURES

2-61

2.8.1

Definition and Procedures

A nonstandard feature is created when the established design criteria for a critical design element is not met. All nonstandard features to be retained must be listed, justified, and approved in accordance with this chapter and the Project Development Manual. Since many of the values for the critical design elements are dependent on the design speed, the selection and justification of a nonstandard design speed is not permitted (per 23 CFR 625). Instead, the design speed should be determined in accordance with Section 2.7 and any nonstandard critical design elements individually justified. (Note that most of the critical design elements can usually be designed to the required design speed, leaving only one or two nonstandard features.) In addition to the critical design elements covered in this chapter there are other design elements with established values or parameters that must be considered. These elements are important and can have a considerable effect on the projects magnitude. Any decisions to vary from recommended values or accepted practices need to be explained and documented as nonconforming features in the scoping / design approval documents. Refer to Chapter 5, Section 5.1 for further information on these design elements. 2.8.2 Technical Discrepancies

There are technical discrepancies between the metric and U.S. customary values in AASHTO's A Policy on Geometric Design of Highways and Streets. The discrepancies are from the independent development of the criteria using the two systems of measurement. Since conversion was not intended to create nonstandard features, a nonstandard feature justification is not necessary if the feature is to be retained and it meets either the metric or U.S. customary values in this chapter. 2.8.3 Documentation

To support the designer's rationale for the nonstandard feature, the information in Exhibit 2-15 must either be provided, or an explanation given as to why the information was not considered to be applicable. This information is only required for the alternative for which design approval is sought.

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2.8.3

2-62

DESIGN CRITERIA

The following is additional guidance for completing Exhibit 2-15 for a nonstandard feature: Similar features with similar accident histories may be justified with a single form. Examples of features that may be grouped together include: a series of curves with similar radii, shoulders on a grouping of similar ramps, and bridge widths for a series of bridges to be rehabilitated or replaced in a future project. Advisory Speed - The advisory speed is defined in Section 2C-46 of the New York State Supplement to the National Manual on Uniform Traffic Control Devices (MUTCD). The advisory speed may be determined by calculating the speed from the existing geometry and formulas from Chapter 5, Section 5.7.3 of this manual. The advisory speed for horizontal alignment may also be determined using a ball bank indicator reading per Section 2C-46 of the NYS Supplement to the National MUTCD. Note that the results will differ slightly for each of these methods. Accident Analysis - Refer to the Chapter 5, Section 5.3 of this manual. Cost Estimates - An approximate (or order of magnitude) construction cost estimate should be used when cost is not a major factor (e.g., due to major environmental impacts) or the B/C ratio is very small. When cost is a major factor the B/C ratio should be determined and should consider accident cost, user delay, etc. Mitigation Measures - Consult the Regional Traffic Group and go to the accident reduction factors on the Departments internet site for a list of measures to consider and to help evaluate their effectiveness. Strict application of each item in all instances may be inappropriate. These items should serve as a guide since the information outlined is generally applicable to the range of critical design elements. In addition, if a sidewalk, ramp, curb ramp, stairway, or other pedestrian facility cannot fully comply with the accessibility standards found in the Americans with Disabilities Act Accessibility Guidelines (ADAAG), it must be made accessible to the maximum extent practicable. The reasons that full compliance with the guidelines are not feasible must be documented in the Design Approval Document and be consistent with the reasons for infeasibilities (refer to Chapter 18 of this manual, Section 18.6.7) and ADAAG justification requirements. Other references that may be used to support the retention of nonstandard and nonconforming features include: AASHTOs A Guide for Achieving Flexibility in Highway Design, 2004. Proposed Treatments for the Rehabilitation of the National Register Eligible Long Island Parkways, December 1997. Recommendations of the Parkway Standard Task Force, January 1989 (amended 10/25/90). NYS Scenic Byways Program: Individual Corridor Management Plans. These references should only be used to supplement the nonstandard feature justification required above to address accident history, environmental impacts, cost to correct, etc.

2.8.3

1/30/2009

DESIGN CRITERIA Exhibit 2-15 Nonstandard Feature Justification Form

Main Line Design (in accordance with HDM 2.7) PIN: Route No. & Name: Project Type: % Trucks: ADT: 1. Description of Nonstandard Feature Type of Feature (e.g., horizontal curve radius): Location: Standard Value: Existing Value: Proposed Value: 2. Accident Analysis Current Accident Rate: Statewide Rate (based on similar type highways): Is the nonstandard feature a contributing factor? Anticipated Accid.: Rate / Severity / Cost 3. Cost Estimates Cost to Fully Meet Standards: Cost(s) For Incremental Improvements: 4. $ $ YES acc/mvm acc/mvm NO Design Speed: Advisory Speed: Advisory Speed: ( ( ( NHS (Y/N): Functional Class: Design Classification: (AASHTO Class) Terrain: Truck Access Rte.:

2-63

mph) mph) mph)

Mitigation (e.g., increased superelevation and curve warning signs for a nonstandard horizontal curve):

5.

Compatibility with Adjacent Segments & Future Plans:

6.

Other Factors (e.g., Social, Economic & Environmental):

7.

Proposed Treatment (i.e., Recommendation):

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2.8.3

2-64 DESIGN CRITERIA Exhibit 2-16 Design Criteria Table

Main Line Design (in accordance with HDM 2.7)
PIN: Route No. & Name: Project Type: % Trucks: ADT: 1234.56 I-87 Northway Reconstruction 5% 50,000 Element 1 2 3 Design Speed (See Note 1) Lane Width Shoulder Width: Left = Right (rolling & level) = Climbing Lane Shoulder = Bridge Roadway Width (total) = Lane = Left Shoulder= Right Shoulder= NHS (Y/N): Functional Class: Design Classification (AASHTO Class) Terrain: Truck Access Rte.: Standard Criteria 70 mph 12 ft. 4 ft. 10 ft. 4 ft. Approach Width 12 ft. 4 ft. 10 ft. Y Rural Principal Arterial Interstate Rural Interstate Rolling Qualifying Highway Proposed Conditions 70 mph 12 ft. 4 ft. 10 ft. Approach Width 12 ft. 4 ft. 10 ft.

Existing Conditions 75-80 mph 85th% 12 ft. 4 ft. 10 ft. Approach Width 12 ft. 4 ft. 10 ft.

5 6 7 8 9

Grade Horizontal Curvature Superelevation Rate Stopping Sight Distance (Horizontal & Vertical) Horizontal Clearance Without barrier = With Barrier = Vertical Clearance Pavement Cross Slope Rollover - between lanes = at edge of traveled way = Structural Capacity - Replace = Rehabilitation = Level of Service Control of Access Pedestrian Accommodations Median Width

4% 1640 ft. @ e=8.0% 8.0 % maximum 720 ft. minimum

5%* 1840 ft. @ e= 6%* 6.0% maximum* 590 ft.*

5%* 1840 ft. @ e= 8% 8.0% maximum 590 ft. m*

10 ft. 4 ft. or full shoulder width, which ever is greater 16 ft. minimum 1.5 % to 2.0 % 4.0 % max 8.0 % max MS 23 MS 20 B for rural area Full NA 36 ft.

30 ft. 4 ft. left 10 ft. right 14 ft.* 2.0% 4.0 % max 8.0 % max MS 20 C* Full NA 50 ft.

30 ft. 4 ft. left 10 ft. right 17 ft. 2.0% 4.0 % max 10.0 % max* MS 20 C* Full NA 50 ft.

10 11 12 13 14 15 16 17

* Nonstandard Feature Note: 1. The Regional Traffic Engineer has concurred with the selected design speed.

'2.9

730/2010

DESIGN CRITERIA 2.9 1. REFERENCES

2-65

A Guide for Achieving Flexibility in Highway Design, 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Policy on Design Standards, Interstate System, January, 2005, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Policy on Geometric Design of Highways and Streets, 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Americans with Disabilities Act Accessibility Guidelines, United States Access Board, 1331 F Street NW, Suite 1000, Washington, DC 20004-1111 (www.access-board.gov) Bridge Manual, Structures Design and Construction Division, New York State Department of Transportation, State Office Campus, Albany, NY 12232. Guide for the Development of Bicycle Facilities, 1999, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Guidelines for Highways Within the Adirondack Park, 1996, New York State Department of Transportation, State Campus, Albany, NY 12232. Highway Capacity Manual, 2000, Transportation Research Board, National Research Council, 2101 Constitution Avenue, N.W., Washington D.C., 20418. Highway Safety Design and Operations Guide, 1997, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. NCHRP Synthesis 299 Recent Geometric Design Research for Improved Safety and Operations, 2001, K. Fitzpatrick & M. Wooldridge, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. NCHRP Report 500 Guidance on the Implementation of the AASHTO Strategic Highway Safety Plan, 2007, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. The New York State Supplement to the National Manual of Uniform Traffic Control Devices for Streets and Highways, Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR), April, 2008, Volume 17B, Uniform Traffic Control Devices, Department of State, 41 State Street, Albany, NY 12231. Official Description of Designated Qualifying and Access Highways in New York State, Traffic and Safety Division, New York State Department of Transportation, State Office Campus, Albany, NY 12232. Project Development Manual, Design Quality Assurance Bureau, New York State Department of Transportation, State Office Campus, Albany, NY 12232. '2.8.3

2.

3.

4. 5. 6.

7. 8. 9.

10.

11.

12.

13.

14.

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2-66

DESIGN CRITERIA

APPENDIX A- METRIC VALUES FOR STANDARDS This section provides the corresponding standard values in metric units for the critical design elements stated in Section M2.7. There are technical discrepancies between the metric and U.S. customary values in AASHTO's A Policy on Geometric Design of Highways and Streets. Guidance on this issue is provided in Section M2.8.2 of this chapter. M2.7.1 Interstates and Other Freeways M2.7.1.1 Interstates The design criteria for interstate highways are detailed in sections A to P below. A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section M5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds.
Minimum Design Speed Terrain Level Rolling Mountainous All
(km/h)

Area Character Rural Rural Rural Urban

Maximum Design Speed

(km/h)

110 110 80 80

110 110 100 110

For consistency with adjacent sections and anticipated off-peak 85th percentile speeds higher than the maximum values tabulated above, a 120 km/h maximum speed may be used for rural (level & rolling) freeways and a 110 km/h maximum speed may be used for rural mountainous freeways.

B. Lane Width Travel lanes = 3.6 m minimum.

C. Shoulder Width Determine from Exhibit M2-2. D. Bridge Roadway Width 'M2.7.1.2 7/30/2010

DESIGN CRITERIA

2-67

Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-2.

F. Horizontal Curvature Determine minimum radius from Exhibit M2-2. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate emax table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in urban and suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds.

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit M2-2.

I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 4.6 m where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 1.2 m, except: On bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m. In depressed sections where the minimum is the shoulder width plus 0.6 m.

J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope 7/30/2010 '2.8.3

2-68 DESIGN CRITERIA Travel lanes = 1.5% minimum to 2% maximum.

L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance.

M. Structural Capacity Determine from NYSDOT Bridge Manual, Section 2.

N. Level of Service (LOS) A minimum of four traffic lanes shall be provided on the Interstate System. The number of lanes shall be sufficient to accommodate the selected DDHV (directional design hourly volume) at an acceptable level of service as listed below, and shall be determined on the basis of design year volumes. On ascending grades which exceed the critical design length, a climbing lane analysis shall be made in accordance with TRB=s Highway Capacity Manual, and AASHTO's A Policy on Geometric Design of Highways and Streets, and climbing lanes added where warranted. The following levels of service are the criteria for interstates: Rural, level terrain Rural, rolling terrain Rural, mountainous terrain Urban and suburban

LOS = B minimum LOS = B minimum LOS = C minimum LOS = C minimum

Note: In heavily developed sections of metropolitan areas, conditions may necessitate LOS = D minimum. Scoping and design approval documents should include documentation of the heavily developed metropolitan area conditions.

Some interstate projects, especially in urban areas, will provide levels of service below those shown above due to social, economic, and environmental and/or policy/intergovernmental decisions during project scoping and design. Such decisions for lesser levels of service should be made in accordance with National Environmental Policy Act (NEPA) and/or State Environmental Quality Review Act (SEQR) procedures and, where applicable, with the Major Metropolitan Transportation Investment process. These decisions should be supported and documented in the design approval documents.

O. Control of Access 'M2.7.1.2 7/30/2010

DESIGN CRITERIA

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Access to the interstate system shall be fully controlled. Access is to be achieved by interchanges at selected public highways. Access control shall extend the full length of ramps and terminals on the crossroad. Such control shall either be acquired outright prior to construction or by the construction of frontage roads or by a combination of both. Control for connections to the crossroad should be provided beyond the ramp terminals by purchasing access rights or providing frontage roads. Such control should extend beyond the ramp terminal at least 30 m in urban areas and 90 m in rural areas (see Chapter 6 of this manual for more specific details). The interstate highway shall be grade separated at all railroad crossings and selected public crossroads. All at-grade intersections of public highways shall be eliminated. To accomplish this the connecting roads are to be terminated, rerouted, or intercepted by frontage roads.

P. Median Width Medians in rural areas in level or rolling terrain shall be at least 11.0 m wide and desirably 15 m to 30 m wide. Medians in mountainous terrain or in urban areas shall be at least 3.0 m wide. M2.7.1.2 Other Freeways The design criteria for freeways other than interstates are the same as Section M2.7.1.1 Interstates with the exception that Section M2.7.1.1N Level of Service is not a critical design element. Level of service for other freeways should be included as an Other Design Parameter. When the LOS is not met, it should be addressed as a nonconforming feature per Chapter 5, Section 5.1 of this manual.

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'2.8.3

2-70

DESIGN CRITERIA

Exhibit M2-2 Design Criteria for Interstates and Other Freeways

Shoulders 1 Width, m Description Right side: General In mountainous terrain involving high cost for additional width For noninterstate parkways that exclude truck and bus traffic Where trucks exceed 250 DDHV (directional design hourly volume) Left side: General For interstates of six or more lanes For interstates of six or more lanes where trucks exceed 250 DDHV Minimum 3.0 2.4 2.4 3.0 1.2 1.2 1.2 Desirable 3 3.0 3.0 3.0 3.6 1.2 3.0 3.6

Design Speed (km/h)

Maximum Percent Grade Level 2 Rolling 2 Mountainous

Minimum Stopping Sight Distance, m 130 160 185 220 250

Minimum Radius Curve, m emax = 6% 252 336 437 560 756

Minimum Radius Curve, m emax = 8% 229 304 394 501 667

80 90 100 110 120

4 4 3 3 3

5 5 4 4 4

6 6 6 5 -

Notes: 1. For bridges, determine the shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Grades 1% steeper may be used for one-way downgrades and for extreme cases in urban areas where development precludes the use of flatter grades. 3. For shoulder widths of 10 ft. or less, an additional 2 ft. is desirable where barrier is used.

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DESIGN CRITERIA

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M2.7.2 Arterials M2.7.2.1 Rural Arterials The design criteria for undivided and divided rural arterials are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Terrain Level Rolling Mountainous Minimum Design Speed 60 km/h 60 km/h 60 km/h Maximum Design Speed 100 km/h 100 km/h 80 km/h

B. Lane Width Determine from Exhibit M2-3.

C. Shoulder Width Determine from Exhibit M2-3.

D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-3.

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DESIGN CRITERIA

F. Horizontal Curvature Determine minimum radius from Exhibit M2-3. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate emax table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%).

G. Superelevation 8% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds.

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit M2-3.

I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 3.0 m where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 1.2 m, except: On bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m.

J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope 1.5% minimum to 2% maximum.

L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. 'M2.7.2.1 1/30/2010

DESIGN CRITERIA M. Structural Capacity Determine from NYSDOT Bridge Manual, Section 2.

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N. Pedestrian Accommodation To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

O. Median Width (only for multilane, divided, rural arterials) Median = 1.2 m minimum without left turn lanes. Where left turn lanes are provided, the median = 3.6 m minimum (3.0 m left turn lane with 0.6 m median separation).

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DESIGN CRITERIA

Exhibit M2-3 Design Criteria for Rural Arterials

Design speed (km/h) Travel Lane Width (m) Design Year ADT ADT Under 400 60 70 80 90 100 110 3.3 3.3 3.3 3.3 3.6 3.6 ADT 400 1500 3.3 3.3 3.3 3.3 3.6 3.6
1,2,3

Maximum % Grade

Min. Stopping Sight Distance (m) Mountainous

Min. Radius Curve (m) emax= 6%

Min. Radius Curve (m) emax= 8%

to

ADT 1500 2000 3.3 3.3 3.6 3.6 3.6 3.6

to

ADT over 2000

Level

Rolling

3.6 3.6 3.6 3.6 3.6 3.6

5 5 4 4 3 3

6 6 5 5 4 4

8 7 7 6 6 5

85 105 130 160 185 220

123 184 252 336 437 560

113 168 229 304 394 501

Shoulder Width (m) 3 Un-divided (right shoulder) Divided 5 1.2 1.8 1.8 2.4

Right shoulder = 2.4 Left shoulder = 1.2

Notes: 1. Width of travel lane may remain 3.3 m on reconstructed highways where accident history is satisfactory and the route is not designated as a Qualifying Highway. 2. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 3.6 m travel lanes. 3. For bridges, determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 4. For turning lanes, use Exhibit M2-4 of this chapter. 5. Refer to Section M2.6.17 of this chapter for a definition of divided.

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DESIGN CRITERIA M2.7.2.2 Urban Arterials The design criteria for urban arterials are: A. Design Speed

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The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Area Character Suburban and Developing Areas Central Business District B. Lane Width Determine from Exhibit M2-4. Minimum Design Speed 60 km/h 50 km/h Maximum Design Speed 100 km/h 100 km/h

C. Shoulder Width Determine from Exhibit M2-4.

D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-4.

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DESIGN CRITERIA

F. Horizontal Curvature Determine minimum radius from Exhibit M2-4. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit M2-12 for e max = 4%. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases. This distribution of superelevation is based on Method 5 in Chapter III of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. For low-speed (70 km/h and below) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed (km/h) 30 40 50 60 70 Minimum Curve Radius (emax = 4%) (m) 22 47 86 135 203

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit M2-11. G. Superelevation 4% maximum. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit M2-4. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 m if barrier is provided, 0.5 m in areas without barrier, and 1 m at intersections. J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2.

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DESIGN CRITERIA K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2.

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N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

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DESIGN CRITERIA

Exhibit M2-4 Design Criteria for Urban Arterials

Lanes
1

Width (m) Minimum 3.3 3.6 3.0 3.6 3.6 Minimum 3.0 3.3 3.3 Minimum 3.3 3.0 2.7 2.4 Width (m) Minimum 0 1.5 1.8 Refer to Exhibit M2-3 Maximum Percent Grade Level 8 7 6 6 5 5 9 8 7 7 6 6 Rolling Mountainous 11 10 9 9 8 8 Minimum Stopping Sight Distance (m) 65 85 105 130 160 185 Minimum Radius Curve (m) emax = 4% 86 135 203 280 375 492 Desirable 0.3 - 0.6 3.0 Desirable 4.2 Desirable 3.6 3.6 4.8 Desirable 3.6 3.6 3.6 3.6

Travel Lanes Low speed (<80 km/h) High speed (80 km/h) For highly restricted areas with no or little truck traffic (0 to 2%) Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low-speed segments
2

Turning Lanes Left and Right, T Left and Right, Truck volume > 2% Two-way left-turn lanes
Parking Lanes Future provision for travel lane Future provision for turn lanes Future provision for turn lane on 60 km/h or less arterial No future provisions for turn lanes Shoulders Curbed Left shoulder for divided arterials Right shoulder for bicycling, lateral offset, etc. Uncurbed Design Speed (km/h) 50 60 70 80 90 100
2
1

Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc.

Notes: 1. For bridges, determine lane and shoulder width from NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used in low-speed segments. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230 - 1236 of the New York State Vehicle and Traffic Law. A 0 to 1.2 m minimum shoulder may be used where a wide outside travel lane (3.6 m minimum) or separate provisions (e.g., multiuse path) are provided.

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DESIGN CRITERIA

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M2.7.3 Collector Roads and Streets M2.7.3.1 Rural Collectors The design criteria for rural collectors are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Type of Terrain Range of Design Speeds (km/h) Design Year ADT 0 to 400 Level Rolling Mountainous B. Lane Width Determine minimum from Exhibit M2-5. 60 - 100 50 - 100 30 - 100 400 to 2000 80 - 100 60 - 100 50 - 100 2000 and over 100 80 - 100 60 - 100

C. Shoulder Width Determine minimum from Exhibit M2-5.

D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-5.

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DESIGN CRITERIA

F. Horizontal Curvature Determine minimum radius from Exhibit M2-5. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max. table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%).

G. Superelevation 8% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit M2-5. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 3.0 m where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 1.2 m, except: On bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m.

J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual. 'M2.7.3.1 7/30/2010

DESIGN CRITERIA

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DESIGN CRITERIA

Exhibit M2-5 Design Criteria for Rural Collectors

Travel Lane Width (m) Design Year ADT Design Speed (km/h) ADT Under 400 3.0 3.0 3.0 3.0 3.0 3.0
4 4 4 4 4 4 1,7

Turn Lane (m)

Maximum Percent Grade Terrain

ADT 400 to 1500 3.0 3.0 3.0 3.3 3.3 3.3 3.3 3.3

ADT 1500 to 3 2000 3.3 3.3 3.3 3.3 3.3 3.3 3.6 3.6

ADT over 3 2000 3.6 3.6 3.6 3.6 3.6 3.6 3.6 3.6

Min. Stopping Sight Distance

Min.

Des. Level 7 7 7 Rolling 10 10 9 8 8 7 7 6 Mountainous 12 11 10 10 10 9 9 8

(m)

Min. Radius Curve (m) emax=6%

Min. Radius Curve (m) emax=8%

30 40 50 60 70 80 90 100

35 50 65 85 105 130 160 185

21 43 79 123 184 252 336 437

20 41 73 113 168 229 304 394

3.0

Match Travel Lane Width

7 7 6 6 5

3.3 3.3

Shoulder Width (m)

Notes: 1. 2.

All Speeds

0.6

1.5

1.8

2.4

3. 4. 5. 6.

Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 3.6 m travel lanes. Short lengths of grade in rural areas, such as grades less than 150 m in length, one-way downgrades, and grades on low-volume (<1500 vpd) rural collectors may be up to 2% steeper than the grades shown above. 3.3 m lanes may be retained where accident rates are acceptable. 2.7 m lanes may be used for design volumes under 250 vpd. Minimum width is 1.2 m if roadside barrier is utilized. 1.2 m shoulder is desirable if the shoulder is intended for occasional pedestrian and/or bicycle use. Shoulder width may be reduced to 1.2 m for design speeds of 60 km/h to 100 km/h.

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DESIGN CRITERIA
7. For bridges, determine the shoulder width from the NYSDOT Bridge Manual, Section 2.

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DESIGN CRITERIA

M2.7.3.2 Urban Collectors The design criteria for urban collectors are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Minimum 50 km/h Maximum 100 km/h

B. Lane Width Determine minimum from Exhibit M2-6. C. Shoulder Width Determine minimum from Exhibit M2-6. D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade Determine maximum from Exhibit M2-6. F. Horizontal Curvature Determine minimum radius from Exhibit M2-6. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit M2-12 for e max = 4% table. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases, with a bias that minimizes the unresolved lateral forces on a vehicle as for curves with large radii. This distribution of superelevation is based on Method 5 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004.

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DESIGN CRITERIA

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For low-speed (70 km/h) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed (km/h) 30 40 50 60 70 Minimum Curve Radius (emax = 4%) (m) 22 47 86 135 203

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit M2-11. G. Superelevation 4% maximum. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum from Exhibit M2-6. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 m if barrier is provided, 0.5 m in areas without barrier, and 1 m at intersections. J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. 7/30/2010 'M2.7.3.2

2-84

DESIGN CRITERIA

M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

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DESIGN CRITERIA Exhibit M2-6 Design Criteria for Urban Collectors

Lanes
1,4

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Width (m) Minimum 3.0 m 3.6 3.3 3.6 Refer to Exhibit M2-5 3.0 3.3 3.0 3.3 2.4 2.1 Width (m) Minimum 0 1.5 1.8 Refer to Exhibit M2-5 Maximum Percent Grade Level 9 9 8 7 7 6 Rolling 11 10 9 8 8 7
3

Travel Lanes (curbed) Residential & Commercial Industrial areas without severe ROW limitations Industrial areas with severe ROW limitations Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low-speed segments Travel Lanes (uncurbed) Turning Lanes Truck volume 2% Truck volume > 2% Two-way left-turn lanes (trucks 2%) Two-way left-turn lanes (trucks > 2%) Parking Lanes Commercial / Industrial Residential Shoulders Curbed Left shoulder for divided urban collectors Right shoulder for bicycling, lateral offset, etc.
2 2 2

Desirable 3.6 4.2

3.6 3.6 4.8 4.8 3.3 2.4

Desirable 0.3 - 0.6 3.0

Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc. Uncurbed Design Speed (km/h) 50 60 70 80 90 100 Minimum Stopping Sight Distance (m) 65 85 105 130 160 185

Mountainous 12 12 11 10 10 9

Minimum Radius Curve (m) emax = 4% 86 135 203 280 375 492

Notes: 1. For bridges determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used on low speed ( 70 km/h) urban collectors. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230 - 1236 of the New York State Vehicle and Traffic Law. A 0 to 1.2 m minimum shoulder may be used where a wide outside travel lane (3.6 m minimum) or separate provisions (e.g., multiuse path) are provided. 3. Maximum grades of short length (less than 150 m) and on one-way down grades may be 2% steeper. 4. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 3.6 m travel lanes.

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DESIGN CRITERIA

M2.7.4 Local Roads and Streets M2.7.4.1 Local Rural Roads The design criteria for local rural roads are as follows:

A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Range of Design Speeds (km/h)
Design Year ADT Type of Terrain

Under 50 50 90 30 90 30 90

50 to 250 50 90 50 90 30 90

250 to 400 60 90 50 90 30 90

Over 400 80 90 60 90 50 90

Level Rolling Mountainous

B. Lane Width Determine minimum from Exhibit M2-7.

C. Shoulder Width Determine minimum from Exhibit M2-7.

D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade Determine maximum from Exhibit M2-7.

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DESIGN CRITERIA F. Horizontal Curvature

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Determine minimum radius from Exhibit M2-7. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max table (Exhibit M2-13 for e max = 6% or Exhibit M2-14 for e max = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in suburban and developing areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit M2-7. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is: Without Barrier 2.0 m for low-speed (70 km/h) segments 3.0 m for high-speed (80 km/h) segments J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual. With Barrier The greater of the Shoulder width or 1.2 m, except on bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m.

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DESIGN CRITERIA

Exhibit M2-7 Design Criteria for Local Rural Roads

Travel Lane Widths (m) Based on Design 1 Year ADT ADT under 400 2.7 2.7 2.7 2.7
2 2 2 2

Turn Lane (m)

Max. Percent Grade Terrain

Design Speed (km/h)

ADT 400 1500 3.0 3.0 3.0 3.0

3 3 3 3

ADT 1500 to 2000 3.3 3.3 3.3 3.3 3.3 3.3 3.6
4

ADT 2000 & Over 3.6 3.6 3.6 3.6 3.6 3.6 3.6
4 4 4 4 4 4 4

Min.

Des. Level 8 7 Match Travel Lane Width 7 7 7 6 6 Rolling 11 11 10 10 9 8 7 Mountainous 16 15 14 13 12 10 10

Minimum Stopping Sight Distance (m) 35 50 65 85 105 130 160

Minimum Radius Curve (m) emax= 6% 21 43 79 123 184 252 336 emax= 8% 20 41 73 113 168 229 304

30 40 50 60 70 80 90

3.0

3.0 3.0 3.3

3.3 3.3 3.3

Width of Shoulder (m)

All Speeds

0.6

1.5

6,7

1.8

2.4

Notes: 1. For bridges determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Minimum travel lane width is 3.0 m for routes designated as Access Highways and for routes within 1.6 km of Qualifying Highways on the national network of Designated Truck Access Highways. 3. For roads in mountainous terrain with design volume of 400 to 600 ADT, use 2.7 m lanes (except when note 2 applies). 4. Lanes - 3.3 m lanes may remain where accident history is acceptable. 5. Minimum width is 1.2 m if roadside barrier is used on low-volume roads. 6. For roads in mountainous terrain with design volume of 400 to 600 ADT, use 0.6 m shoulders. 7. Shoulder may be 1.2 m where speeds are > 60 km/h (i.e. shoulder adjusted to achieve a minimum roadway width of 9 m).

'M2.7.4

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DESIGN CRITERIA M2.7.4.2 Local Urban Streets The design criteria for local urban streets are: A. Design Speed

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The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Minimum 30 km/h B. Lane Width Determine minimum from Exhibit M2-8. C. Shoulder Width Determine minimum from Exhibit M2-8. D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade Grades for local streets = 15% maximum in residential areas and 8% maximum in commercial and industrial areas. F. Horizontal Curvature Determine minimum radius from Exhibit M2-8. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit M2-12 for e max = 4% table,. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases. This distribution of superelevation is based on Method 5 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Maximum 50 km/h

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DESIGN CRITERIA

Local urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed, km/h 30 40 50 Minimum Curve Radius (emax = 4%) (m) 22 47 86

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit M2-11. G. Superelevation 4% maximum. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit M2-8. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 m if barrier is provided, 0.5 m in areas without barrier, and 1 m at intersections. J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope Travel lane = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum.

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DESIGN CRITERIA L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations

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To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

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DESIGN CRITERIA

Exhibit M2-8 Design Criteria for Local Urban Streets

Lanes
1

Width (m) minimum 3.0 2.7 3.6 3.3 3.6 desirable 3.3 3.0 4.2

Travel Lanes (with curbing) Residential without severe ROW limitations & Commercial Residential with severe ROW limitations Industrial areas with out severe ROW limitations Industrial areas with severe ROW limitations 2 Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low-speed segments Travel Lanes (Without curbing) Turning Lanes Truck volume 2% Truck volume > 2% Two-way left-turn lanes Parking Lanes Commercial & Industrial Residential Shoulder Curbed Left shoulder for divided urban streets Right shoulder for bicycling, lateral offset, etc. Uncurbed Grade Residential Commercial / Industrial Design Speed (km/h) 30 40 50 Min. Stopping Sight Distance (m) 35 50 65
2 1

Refer to Exhibit M2 -7 2.7 2.7 3.0 2.4 2.1 Width (m) minimum 0 1.5 1.8 Maximum 15% 8% Minimum Radius Curve (m) emax= 4% 22 47 86 Refer to Exhibit M2 -7 desirable 0.3 - 0.6 3.0 3.0 3.6 3.3 3.3 2.4

Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc.

Note: 1. For bridges, determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used on local urban streets. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230 - 1236 of the New York State Vehicle and Traffic Law. A 0 to 1.2 m minimum shoulder may be used where a wide outside travel lane (3.6 m minimum) or separate provisions (e.g., multiuse path) are provided.

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DESIGN CRITERIA

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M2.7.5 Other Roadways M2.7.5.1 Parkways Parkways that are multilane, divided freeways, or expressways with occasional at-grade intersections should follow the standards in Section M2.7.1.2 Other Freeways. Parkways that are two-lane highways or multilane, divided highways with signalized intersections should follow the standards of the design classification established for the subject parkway. M2.7.5.2 Ramps (Turning Roadways for Grade-Separated Highways) Ramps are turning roadways to accommodate high volumes of turning movements between gradeseparated highways. Ramps are functionally classified based on the higher-type highway they service. For example, all the ramps to and from an interstate are considered part of the Interstate System. The design criteria for ramps are: A. Design Speed A ramp speed study is not required to determine the ramp design speed. The ramp design speed for the design criteria applies to the sharpest ramp curve, usually on the ramp proper. The ramp design speed does not apply to the ramp terminals, which should include transition curves and speed change lanes based on the design speeds of the highways and ramps involved. Desirably, ramp design speed should approximate the off-peak running speeds (50th percentile speeds) on the higher speed intersecting highway, but not exceed 80 km/h. Ramps with design speeds over 80 km/h should be designed using Section M2.7.1 of this chapter. The minimum design speeds based on ramp type (as illustrated in Exhibit 10-55 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004) are: Loop ramps - 40 km/h minimum for highways with design speeds of more than 80 km/h. Semidirect connection ramps - 50 km/h minimum. Direct connection ramps - 60 km/h minimum; 80 km/h preferred. Diagonals, outer connections, and one-quadrant ramps - Below is the minimum ramp design speed related to the highway design speed. The highway design speed is the higher design speed of the interchanging roadways. Highway Design Speed (km/h) Min. Ramp Design Speed (km/h) 60 30 70 40 80 40 90 50 100 110 120 50 60 70

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DESIGN CRITERIA

B. Lane Width Determine minimum lane widths from Exhibit M2-9. For one-lane, one-way ramps, Case II, which provides for passing a stalled vehicle, should normally be used. C. Shoulder Width Determine minimum shoulder widths from Exhibit M2-10. D. Bridge Roadway Width The lane and shoulder widths are to be carried across all ramp structures. E. Grade Determine maximum from Exhibit M2-10. F. Horizontal Curvature Determine minimum radius from Exhibit M2-10. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in urban and suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable stopping sight distance from Exhibit M2-10. I. Horizontal Clearance Right side = greater of shoulder width or 1.8 m and left side = 1.0 m minimum. Where ramps pass under structures, there should be an additional 1.2 m clearance beyond the outside of shoulders to bridge piers or abutments.

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Determine minimum from the NYSDOT Bridge Manual, Section 2. Ramps should have the same vertical clearance as the higher functional classification of the interchanging roadways. K. Travel Lane Cross Slope 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Level of Service (interstate ramps only) Exit ramps with poor levels of service can cause backups onto the mainline. Ramps shall meet acceptable levels of service, as listed below, and shall be determined on the basis of design year volumes in accordance with TRB=s Highway Capacity Manual. The following levels of service are the criteria for interstates: Rural, level terrain Rural, rolling terrain Rural, mountainous terrain 1 Urban and suburban
1

LOS = B minimum LOS = B minimum LOS = C minimum LOS = C minimum

In heavily developed sections of metropolitan areas, conditions may necessitate LOS D minimum. Scoping closure and design approval documents should include documentation of the heavily developed metropolitan area conditions. Some interstate projects, especially in urban areas, will provide levels of service below those above due to social, economic, and environmental and/or policy/intergovernmental decisions during project scoping and design. Such decisions for lesser levels of service should be made in accordance with National Environmental Policy Act (NEPA) and/or State Environmental Quality Review Act (SEQR) procedures and, where applicable, with the Major Metropolitan Transportation Investment process. These decisions should be supported and documented in the design approval documents.

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2-98 O. Control of Access (interstate and other freeway ramps only) Access along freeway ramps and terminals on the crossroad shall be fully controlled. Such control shall either be acquired outright prior to construction or reconstruction. Access along the crossroad should be provided beyond the ramp terminals by purchasing access rights or providing frontage roads. Such control should extend beyond the ramp terminal at least 30 m in urban areas and 90 m in rural areas (see Chapter 6 of this manual for more specific details). P. Pedestrian Accommodation To assure access for persons with disabilities, pedestrian facilities located at the ramp terminal with a crossroad shall be located and constructed in accordance with Chapter 18 of this manual. 2.7.5.3 Speed Change Lanes Acceleration lanes, deceleration lanes, and combination acceleration-deceleration lanes have the same lane width as the adjacent travel lanes. The minimum shoulder width is 1.8 m on interstates and other freeways and 1.2 m on other roadways. All other critical design elements (grades, stopping sight distance, etc.) are the same as apply for the adjacent roadway. The lengths of acceleration and deceleration lanes are not critical design elements. However the lengths, as determined from Chapter 10 in AASHTO's, A Policy on Geometric Design of Highways and Streets, 2004 should be provided. If these lengths are not provided an explanation must be included in the design report.

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Exhibit M2-9 Traveled Way Widths for Ramps and Turning Roadways
Traveled Way Width (m) Radius on Inner Edge of Traveled Way, R (m) Case I One-lane, One- way Operation - No Provision for Passing a Stalled Vehicle Case II One-lane, One-way Operation- With Provision for Passing a Stalled Vehicle Design Traffic Condition A 15 25 30 50 75 100 125 150 Tangent (300 m) No Stabilized Shoulder Sloped Curb None Vertical-Faced Curb (adj. to traveled way) One Side Two Sides Stabilized Shoulder, One or Both sides None None 5.4 4.8 4.5 4.2 3.9 3.9 3.9 3.6 3.6 B 5.5 5.0 4.9 4.6 4.5 4.5 4.5 4.5 4.2 C 7.0 5.8 5.5 5.0 4.8 4.8 4.8 4.5 4.2 None D 15.1 8.4 7.5 5.9 5.3 5.3 5.3 5.3 4.2 A 6.0 5.6 5.5 5.3 5.2 5.2 5.1 5.1 5.0 B 7.8 6.9 6.7 6.3 6.1 5.9 5.9 5.8 5.5 C 9.2 7.9 7.6 7.0 6.7 6.5 6.4 6.4 6.1
1

Case III Two-Lane Operation - Either One-Way or Two-Way

D 16.6 9.6 8.7 7.0 6.7 6.5 6.4 6.4 6.1

A 9.4 8.6 8.4 7.9 7.7 7.6 7.6 7.5 7.3

B 11.0 9.7 9.4 8.8 8.5 8.3 8.2 8.2 7.9

C 13.6 11.1 10.6 9.5 8.9 8.7 8.5 8.4 7.9

D1 18.4 11.4 10.6 9.5 8.9 8.7 8.5 8.4 7.9

D2 30.1 16.6 14.8 11.5 9.9 9.2 8.7 8.4 7.9

Width Modification Regarding Edge of Traveled Way Treatment: None None

Add 0.3 m Add 0.6 m Lane width for conditions B & C on tangent may be reduced to 3.6 m where combined shoulder is 1.2 m or wider

None Add 0.3 m Deduct combined right and left shoulder width; use minimum travel lane width as under Case I

Add 0.3 m Add 0.6 m Deduct 0.6 m where either shoulder is 1.2 m or wider

Note: 1.The design traffic conditions are defined: A. Predominantly P vehicles, but some consideration for SU trucks. Accommodates occasional WB 12 trucks. B Sufficient SU vehicles to govern design, but some consideration for semitrailer vehicles. Generally SU plus semitrailer vehicles = 5 to 10% of the total traffic volume. Accommodates occasional WB 12 trucks. C Sufficient bus and combination-types of vehicles to govern design (over 10% of total traffic volume). Accommodates occasional WB 15 trucks. D Use on ramps and turning roadways with a WB 20 design vehicle (e.g., ramps connecting to Qualifying Highways on the national network of Designated Truck Access Highways (1982 STAA highways)). Values are from Exhibit 3-54 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Design Traffic Condition D values are reduced by as much as 0.6 m for Case I and as much as 1.2 m for Cases II & III to account for reduced lateral clearance allowed for turning roadways with a combination of large vehicles and sharp radii. Case I, Design Traffic Condition D assumes WB 20 vehicle with no provision for passing a stalled passenger vehicle. Case II, Design Traffic Condition D assumes WB 20 passing P vehicle. D1/ D2 For Case III, use Condition D1 for one-way, two-lane ramps and Condition D2 for two-way, two-lane ramps. Case III, Design Traffic Condition D1 assumes passenger car overtaking a WB 20 vehicle. Case III, Design Traffic Condition D2 assumes opposing WB 20 vehicles.

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2-100 Exhibit M2-10 Design Criteria for Turning Roadways

Minimum Stopping Sight Distance (m) Minimum Radius (m) (measured to inside edge of the traveled way)

Design Speed (km/h)

Shoulder

(m)

Right Left
2

Maximum Percent Grade

emax = 4%3 8 22 47 86 135 203 S

emax = 6% 8 21 43 79 123 184 252

emax = 8% 7 20 41 73 113 168 229

15 20 30 40 50 60 70 80

1.0

2.0

8 8 8 7 7 6 5 5

15 20 35 50 65 85 105 130

Notes: 1. 2. 3. 4.

For urban turning roadways with curbing, no shoulder is required. A 0.6 m curb offset is desirable. For direct connection ramps with design speeds over 60 km/h, use a 2.4 m minimum right shoulder. Only for Free-Flow Turning Roadways for at-grade intersections. See 'M2.7.5.4.B. Refer to Chapter 9 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004 for minimum radii.

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DESIGN CRITERIA M2.7.5.4 Turning Roadways - Channelized for At-Grade Intersections

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Channelized right-turning roadways are sometimes called right-turn slip lanes or right-turn bypass lanes. There are two types of channelized right-turning roadways for at-grade intersections: rightturning roadways with corner islands and free-flowing, right-turning roadways. Further information on these roadways is provided in Chapter 5, Section 5.9.4 of this manual. A. Turning Roadways with Yield, Stop, or Signal Control Turning roadways with yield, stop, or signal control often have channelized islands and do not include taper- or parallel-type acceleration lanes. Design criteria is not required for these types of turning roadways. For layout, the design speed may range from 15 km/h to 40 km/h. Refer to Chapter 5, Section 5.9.4.6 A of this manual for additional guidance. B. Free-Flow Turning Roadways Free-flow turning roadways are essentially ramps for at-grade intersections. They generally include speed-change lanes. The design speed may be equal to or as much as to 30 km/h less than the design speed of the higher speed intersecting highway. The acceptable range of design speeds is 15 km/h to 80 km/h. Determine the lane widths from Exhibit M2-9. Determine the shoulder widths, grade, stopping sight distance, and minimum radii from Exhibit M2-10. A maximum superelevation rate of 4% is used for urban areas, 6% for rural areas where traffic is likely to stop on the turning roadway, and 8% for rural areas where traffic is unlikely to stop on the turning roadway. For superelevation rates on curves with radii above the minimum radius, use Exhibits M2-12, M2-13, or M2-14 for emax equal to 4%, 6%, or 8%, respectively. The minimum horizontal clearance to obstructions (measured from the edge of traveled way) on the right side is the larger of the shoulder width or 1.8 m. The minimum horizontal clearance to obstructions (measured from the edge of traveled way) on the left side is 1.2 m. Determine the remaining critical design elements from Section M2.7.5.2.

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DESIGN CRITERIA

M2.7.5.5 Collector-Distributor Roads The difference between the design speed of a collector-distributor road and the adjacent mainline roadway should not exceed 20 km/h. However, for freeways with 80 km/h or 90 km/h design speeds, the minimum design speed for the collector-distributor road is 80 km/h. The design criteria should be the same as that of the adjacent mainline roadway. However the other critical design elements (horizontal curve, stopping sight distance, etc.) should be modified appropriately if a design speed less than the mainline design speed is used.

M2.7.5.6 Frontage Roads (Service Roads) The design criteria for frontage roads should be consistent with the design criteria for the functional class of the frontage road.

M2.7.5.7 Climbing Lanes Climbing lanes should have the same lane width as the adjacent travel lanes. The minimum shoulder width for a climbing lane is 1.2 m, or the shoulder width of the highway, whichever is less. Desirably the climbing lane shoulder should match the shoulder for the adjacent segments of highway. All other critical design elements (grades, stopping sight distances, etc.) are the same as applies for the adjacent roadway.

M2.7.5.8 Tunnels The design criteria used for tunnels should not differ materially from those used for grade separation structures. Refer to AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004 for further guidance regarding tunnel design.

M2.7.5.9 Shared Roadway A roadway which is open to both bicycle and motor vehicle travel upon which no bicycle lane is designated. Examples may include roads with wide curb lanes and roads with shoulders. Refer to various tables within Section M2.7 of this chapter as well as Chapters 17 and 18 of this manual for shoulder / lane width guidance.

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Exhibit M2-11 Minimum Radii and Superelevation for Low-Speed Urban Streets Vd= 20 km/h Vd= 30 km/h Vd= 40 km/h Vd=50 km/h e (%) R(m) R(m) R(m) R(m) -2.0 10 27 60 116 -1.5 9 27 59 113 0 9 25 55 104 1.5 9 24 51 96 2.0 9 24 50 94 2.2 8 23 50 93 2.4 8 23 50 92 2.6 8 23 49 91 2.8 8 23 49 90 3.0 8 23 48 89 3.2 8 23 48 89 3.4 8 23 48 88 3.6 8 22 47 87 3.8 8 22 47 86 4.0 8 22 47 86

Vd=60 km/h R(m) 189 183 167 153 149 148 146 145 143 142 140 139 138 136 135

Vd=70 km/h R(m) 297 286 257 234 227 224 222 219 217 214 212 210 207 205 203

Notes: 1. For low-speed (70 km/h) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), sharper curves are allowed. 2. Computed using AASHTO Superelevation Distribution Method 2. 3. For segments using a normal crown of 2%, curves with radii that are larger than those required for e = -2.0% may retain normal crown. Curves with radii requiring superelevation rates between e = -2.0% to e = 0% require removal of the adverse cross slope. Curves with radii requiring superelevation rates between e = 0% and e = 2% require superelevation at e = 2%. For segments using a normal crown of 1.5%, curves with radii that are larger than those required for e = -1.5% may retain normal crown. Curves with radii requiring superelevation rates between e = -1.5% to e = 0% require removal of the adverse cross slope. Curves with radii requiring superelevation rates between e = 0% and e = 1.5% require superelevation at e = 1.5%.

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DESIGN CRITERIA

Exhibit M2-12 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 4% Vd=20 Vd=30 Vd=40 Vd=50 Vd=60 Vd=70 Vd=80 e km/h km/h km/h km/h km/h km/h km/h (%) R(m) R(m) R(m) R(m) R(m) R(m) R(m) 1.5 163 371 679 951 1310 1740 2170 2.0 102 237 441 632 877 1180 1490 2.2 75 187 363 534 749 1020 1290 2.4 51 132 273 435 626 865 1110 2.6 38 99 209 345 508 720 944 2.8 30 79 167 283 422 605 802 3.0 24 64 137 236 356 516 690 3.2 20 54 114 199 303 443 597 3.4 17 45 96 170 260 382 518 3.6 14 38 81 144 222 329 448 3.8 12 31 67 121 187 278 381 4.0 8 22 47 86 135 203 280

Vd=90 km/h R(m) 2640 1830 1590 1390 1200 1030 893 779 680 591 505 375

Vd=100 km/h R(m) 3250 2260 1980 1730 1510 1320 1150 1010 879 767 658 492

Notes: 1. Computed using AASHTO Superelevation Distribution Method 5. Curves with radii greater than that needed for e = 1.5% may retain normal crown. Curves with radii requiring e= 1.5% to less than e = 2.0% require removal of the adverse cross slope.

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Exhibit M2-13 Minimum Radii for Design Superelevation Rates, Design Speeds, emax = 6% Vd=20 Vd=30 Vd=40 Vd=50 Vd=60 Vd=70 Vd=80 Vd=90 E km/h km/h km/h km/h km/h km/h km/h km/h (%) R(m) R(m) R(m) R(m) R(m) R(m) R(m) R(m) 1.5 194 421 738 1050 1440 1910 2360 2880 2.0 138 299 525 750 1030 1380 1710 2090 2.2 122 265 465 668 919 1230 1530 1880 2.4 109 236 415 599 825 1110 1380 1700 2.6 97 212 372 540 746 1000 1260 1540 2.8 87 190 334 488 676 910 1150 1410 3.0 78 170 300 443 615 831 1050 1290 3.2 70 152 269 402 561 761 959 1190 3.4 61 133 239 364 511 697 882 1100 3.6 51 113 206 329 465 640 813 1020 3.8 42 96 177 294 422 586 749 939 4.0 36 82 155 261 380 535 690 870 4.2 31 72 136 234 343 488 635 806 4.4 27 63 121 210 311 446 584 746 4.6 24 56 108 190 283 408 538 692 4.8 21 50 97 172 258 374 496 641 5.0 19 45 88 156 235 343 457 594 5.2 17 40 79 142 214 315 421 549 5.4 15 36 71 128 195 287 386 506 5.6 13 32 63 115 176 260 351 463 5.8 11 28 56 102 156 232 315 416 6.0 8 21 43 79 123 184 252 336

Vd=100 km/h R(m) 3510 2560 2300 2080 1890 1730 1590 1470 1360 1260 1170 1090 1010 938 873 812 755 701 648 594 537 437

Vd=110 km/h R(m) 4060 2970 2670 2420 2210 2020 1870 1730 1600 1490 1390 1300 1220 1140 1070 997 933 871 810 747 679 560

Vd=120 m/h R(m) 4770 3510 3160 2870 2630 2420 2240 2080 1940 1810 1700 1590 1500 1410 1330 1260 1190 1120 1060 980 900 756

Notes: 1. Computed using AASHTO Superelevation Distribution Method 5. Curves with radii greater than that needed for e = 1.5% may retain normal crown. Curves with radii requiring e= 1.5% to less than e = 2.0% require removal of the adverse cross slope.

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DESIGN CRITERIA

Exhibit M2-14 Minimum Radii for Design Superelevation Rates, Design Speeds, emax = 8%
e(%)
1.5 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 3.6 3.8 4.0 4.2 4.4 4.6 4.8 5.0 5.2 5.4 5.6 5.8 6.0 6.2 6.4 6.6 6.8 7.0 7.2 7.4 7.6 7.8 8.0

Vd=20 km/h R(m)

184 133 119 107 97 88 81 74 68 62 57 52 48 43 38 33 30 27 24 22 20 19 17 16 15 14 13 12 11 10 9 7

Vd=30 km/h R(m)

443 322 288 261 237 216 199 183 169 156 144 134 124 115 106 96 87 78 71 65 59 55 50 46 43 40 37 34 31 29 26 20

Vd=40 km/h R(m)

784 571 512 463 421 385 354 326 302 279 259 241 224 208 192 178 163 148 136 125 115 106 98 91 85 79 73 68 62 57 52 41

Vd=50 km/h R(m)

1090 791 711 644 587 539 496 458 425 395 368 344 321 301 281 263 246 229 213 198 185 172 161 151 141 132 123 115 107 99 90 73

Vd=60 km/h R(m)

1490 1090 976 885 808 742 684 633 588 548 512 479 449 421 395 371 349 328 307 288 270 253 238 224 210 198 185 174 162 150 137 113

Vd=70 km/h R(m)

1970 1450 1300 1190 1080 992 916 849 790 738 690 648 608 573 540 509 480 454 429 405 382 360 340 322 304 287 270 254 237 221 202 168

Vd=80 km/h R(m)

2440 1790 1620 1470 1350 1240 1150 1060 988 924 866 813 766 722 682 645 611 579 549 521 494 469 445 422 400 379 358 338 318 296 273 229

Vd=90 km/h R(m)

2970 2190 1980 1800 1650 1520 1410 1310 1220 1140 1070 1010 948 895 847 803 762 724 689 656 625 595 567 540 514 489 464 440 415 389 359 304

Vd=100 km/h R(m)

3630 2680 2420 2200 2020 1860 1730 1610 1500 1410 1320 1240 1180 1110 1050 996 947 901 859 819 781 746 713 681 651 620 591 561 531 499 462 394

Vd=110 km/h R(m)

4180 3090 2790 2550 2340 2160 2000 1870 1740 1640 1540 1450 1380 1300 1240 1180 1120 1070 1020 975 933 894 857 823 789 757 724 691 657 621 579 501

Vd=120 km/h R(m)

4900 3640 3290 3010 2760 2550 2370 2220 2080 1950 1840 1740 1650 1570 1490 1420 1360 1300 1250 1200 1150 1100 1060 1020 982 948 914 879 842 803 757 667

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DESIGN CRITERIA

APPENDIX A- METRIC VALUES FOR STANDARDS This section provides the corresponding standard values in metric units for the critical design elements stated in Section M2.7. There are technical discrepancies between the metric and U.S. customary values in AASHTO's A Policy on Geometric Design of Highways and Streets. Guidance on this issue is provided in Section M2.8.2 of this chapter. M2.7.1 Interstates and Other Freeways M2.7.1.1 Interstates The design criteria for interstate highways are detailed in sections A to P below. A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section M5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds.
Minimum Design Speed Terrain Level Rolling Mountainous All
(km/h)

Area Character Rural Rural Rural Urban

X

Maximum Design Speed

(km/h)

110 110 80 80

110 110 100 110

For consistency with adjacent sections and anticipated off-peak 85th percentile speeds higher than the maximum values tabulated above, a 120 km/h maximum speed may be used for rural (level & rolling) freeways and a 110 km/h maximum speed may be used for rural mountainous freeways.

B. Lane Width Travel lanes = 3.6 m minimum.

C. Shoulder Width Determine from Exhibit M2-2. 'M2.7.1.1 7/30/2010

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D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-2.

F. Horizontal Curvature Determine minimum radius from Exhibit M2-2. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate emax table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in urban and suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds.

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit M2-2.

I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 4.6 m where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 1.2 m, except: & & On bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m. In depressed sections where the minimum is the shoulder width plus 0.6 m.

J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2.

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DESIGN CRITERIA

K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum.

L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance.

M. Structural Capacity Determine from NYSDOT Bridge Manual, Section 2.

N. Level of Service (LOS) A minimum of four traffic lanes shall be provided on the Interstate System. The number of lanes shall be sufficient to accommodate the selected DDHV (directional design hourly volume) at an acceptable level of service as listed below, and shall be determined on the basis of design year volumes. On ascending grades which exceed the critical design length, a climbing lane analysis shall be made in accordance with TRB=s Highway Capacity Manual, and AASHTO's A Policy on Geometric Design of Highways and Streets, and climbing lanes added where warranted. The following levels of service are the criteria for interstates: Rural, level terrain Rural, rolling terrain Rural, mountainous terrain Urban and suburban X
X

LOS = B minimum LOS = B minimum LOS = C minimum LOS = C minimum

Note: In heavily developed sections of metropolitan areas, conditions may necessitate LOS = D minimum. Scoping and design approval documents should include documentation of the heavily developed metropolitan area conditions.

Some interstate projects, especially in urban areas, will provide levels of service below those shown above due to social, economic, and environmental and/or policy/intergovernmental decisions during project scoping and design. Such decisions for lesser levels of service should be made in accordance with National Environmental Policy Act (NEPA) and/or State Environmental Quality Review Act (SEQR) procedures and, where applicable, with the Major Metropolitan Transportation Investment process. These decisions should be supported and documented in the design approval documents. 'M2.7.1.1 7/30/2010

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O. Control of Access Access to the interstate system shall be fully controlled. Access is to be achieved by interchanges at selected public highways. Access control shall extend the full length of ramps and terminals on the crossroad. Such control shall either be acquired outright prior to construction or by the construction of frontage roads or by a combination of both. Control for connections to the crossroad should be provided beyond the ramp terminals by purchasing access rights or providing frontage roads. Such control should extend beyond the ramp terminal at least 30 m in urban areas and 90 m in rural areas (see Chapter 6 of this manual for more specific details). The interstate highway shall be grade separated at all railroad crossings and selected public crossroads. All at-grade intersections of public highways shall be eliminated. To accomplish this the connecting roads are to be terminated, rerouted, or intercepted by frontage roads.

P. Median Width Medians in rural areas in level or rolling terrain shall be at least 11.0 m wide and desirably 15 m to 30 m wide. Medians in mountainous terrain or in urban areas shall be at least 3.0 m wide. M2.7.1.2 Other Freeways The design criteria for freeways other than interstates are the same as Section M2.7.1.1 Interstates with the exception that Section M2.7.1.1N Level of Service is not a critical design element. Level of service for other freeways should be included as an Other Design Parameter. When the LOS is not met, it should be addressed as a nonconforming feature per Chapter 5, Section 5.1 of this manual.

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DESIGN CRITERIA

Exhibit M2-2 Design Criteria for Interstates and Other Freeways

Shoulders 1 Width, m Description Right side: General In mountainous terrain involving high cost for additional width For noninterstate parkways that exclude truck and bus traffic Where trucks exceed 250 DDHV (directional design hourly volume) Left side: General For interstates of six or more lanes For interstates of six or more lanes where trucks exceed 250 DDHV Minimum 3.0 2.4 2.4 3.0 1.2 1.2 1.2 Desirable 3 3.0 3.0 3.0 3.6 1.2 3.0 3.6

Design Speed (km/h)

Maximum Percent Grade Level 2 Rolling 2 Mountainous

Minimum Stopping Sight Distance, m 130 160 185 220 250

Minimum Radius Curve, m emax = 6% 252 336 437 560 756

Minimum Radius Curve, m emax = 8% 229 304 394 501 667

80 90 100 110 120

4 4 3 3 3

5 5 4 4 4

6 6 6 5 -

Notes: 1. For bridges, determine the shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Grades 1% steeper may be used for one-way downgrades and for extreme cases in urban areas where development precludes the use of flatter grades. 3. For shoulder widths of 10 ft. or less, an additional 2 ft. is desirable where barrier is used.

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DESIGN CRITERIA

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M2.7.2 Arterials M2.7.2.1 Rural Arterials The design criteria for undivided and divided rural arterials are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Terrain Level Rolling Mountainous Minimum Design Speed 60 km/h 60 km/h 60 km/h Maximum Design Speed 100 km/h 100 km/h 80 km/h

B. Lane Width Determine from Exhibit M2-3.

C. Shoulder Width Determine from Exhibit M2-3.

D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-3.

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DESIGN CRITERIA

F. Horizontal Curvature Determine minimum radius from Exhibit M2-3. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate emax table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%).

G. Superelevation 8% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds.

H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit M2-3.

I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 3.0 m where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 1.2 m, except: & On bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m.

J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope 1.5% minimum to 2% maximum.

L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. 'M2.7.2.1 7/30/2010

DESIGN CRITERIA M. Structural Capacity Determine from NYSDOT Bridge Manual, Section 2.

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N. Pedestrian Accommodation To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

O. Median Width (only for multilane, divided, rural arterials) Median = 1.2 m minimum without left turn lanes. Where left turn lanes are provided, the median = 3.6 m minimum (3.0 m left turn lane with 0.6 m median separation).

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DESIGN CRITERIA

Exhibit M2-3 Design Criteria for Rural Arterials

Design speed (km/h) Travel Lane Width (m) Design Year ADT ADT Under 400 60 70 80 90 100 110 3.3 3.3 3.3 3.3 3.6 3.6 ADT 400 1500 3.3 3.3 3.3 3.3 3.6 3.6
1,2,3

Maximum % Grade

Min. Stopping Sight Distance (m) Mountainous

Min. Radius Curve (m) emax= 6%

Min. Radius Curve (m) emax= 8%

to

ADT 1500 2000 3.3 3.3 3.6 3.6 3.6 3.6

to

ADT over 2000

Level

Rolling

3.6 3.6 3.6 3.6 3.6 3.6

5 5 4 4 3 3

6 6 5 5 4 4

8 7 7 6 6 5

85 105 130 160 185 220

123 184 252 336 437 560

113 168 229 304 394 501

Shoulder Width (m) 3 Un-divided (right shoulder) Divided 5 1.2 1.8 1.8 2.4

Right shoulder = 2.4 Left shoulder = 1.2

Notes: 1. Width of travel lane may remain 3.3 m on reconstructed highways where accident history is satisfactory and the route is not designated as a Qualifying Highway. 2. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 3.6 m travel lanes. 3. For bridges, determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 4. For turning lanes, use Exhibit M2-4 of this chapter. 5. Refer to Section M2.6.17 of this chapter for a definition of divided.

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DESIGN CRITERIA M2.7.2.2 Urban Arterials The design criteria for urban arterials are: A. Design Speed

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The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Area Character Suburban and Developing Areas Central Business District B. Lane Width Determine from Exhibit M2-4. Minimum Design Speed 60 km/h 50 km/h Maximum Design Speed 100 km/h 100 km/h

C. Shoulder Width Determine from Exhibit M2-4.

D. Bridge Roadway Width Determine from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-4.

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DESIGN CRITERIA

F. Horizontal Curvature Determine minimum radius from Exhibit M2-4. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit M2-12 for e max = 4%. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases. This distribution of superelevation is based on Method 5 in Chapter III of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. For low-speed (70 km/h and below) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed (km/h) 30 40 50 60 70 Minimum Curve Radius (emax = 4%) (m) 22 47 86 135 203

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit M2-11. G. Superelevation 4% maximum. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit M2-4. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 m if barrier is provided, 0.5 m in areas without barrier, and 1 m at intersections. J. Vertical Clearance Determine minimum from NYSDOT Bridge Manual, Section 2. 'M2.7.2.2

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K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2.

N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

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DESIGN CRITERIA

Exhibit M2-4 Design Criteria for Urban Arterials

Lanes
1

Width (m) Minimum 3.3 3.6 3.0 3.6 3.6 Minimum 3.0 3.3 3.3 Minimum 3.3 3.0 2.7 2.4 Width (m) Minimum 0 1.5 1.8 Refer to Exhibit M2-3 Maximum Percent Grade Level 8 7 6 6 5 5 9 8 7 7 6 6 Rolling Mountainous 11 10 9 9 8 8 Minimum Stopping Sight Distance (m) 65 85 105 130 160 185 Minimum Radius Curve (m) emax = 4% 86 135 203 280 375 492 Desirable 0.3 - 0.6 3.0 Desirable 4.2 Desirable 3.6 3.6 4.8 Desirable 3.6 3.6 3.6 3.6

Travel Lanes Low speed (<80 km/h) High speed ( 80 km/h) For highly restricted areas with no or little truck traffic (0 to 2%) Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low-speed segments
2

Turning Lanes Left and Right, Truck volume 2% Left and Right, Truck volume > 2% Two-way left-turn lanes
Parking Lanes Future provision for travel lane Future provision for turn lanes Future provision for turn lane on 60 km/h or less arterial No future provisions for turn lanes Shoulders Curbed Left shoulder for divided arterials Right shoulder for bicycling, lateral offset, etc. Uncurbed Design Speed (km/h) 50 60 70 80 90 100
2
1

Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc.

Notes: 1. For bridges, determine lane and shoulder width from NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used in low-speed segments. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230 - 1236 of the New York State Vehicle and Traffic Law. A 0 to 1.2 m minimum shoulder may be used where a wide outside travel lane (3.6 m minimum) or separate provisions (e.g., multiuse path) are provided.

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DESIGN CRITERIA

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M2.7.3 Collector Roads and Streets M2.7.3.1 Rural Collectors The design criteria for rural collectors are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Type of Terrain Range of Design Speeds (km/h) Design Year ADT 0 to 400 Level Rolling Mountainous B. Lane Width Determine minimum from Exhibit M2-5. 60 - 100 50 - 100 30 - 100 400 to 2000 80 - 100 60 - 100 50 - 100 2000 and over 100 80 - 100 60 - 100

C. Shoulder Width Determine minimum from Exhibit M2-5.

D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above.

E. Grade Determine maximum from Exhibit M2-5.

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DESIGN CRITERIA

F. Horizontal Curvature Determine minimum radius from Exhibit M2-5. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max. table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%).

G. Superelevation 8% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum distances from Exhibit M2-5. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is 3.0 m where no barrier is provided. Where barrier is provided, the minimum is the greater of the shoulder width or 1.2 m, except: & On bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m.

J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual. 'M2.7.3.1 7/30/2010

DESIGN CRITERIA Exhibit M2-5 Design Criteria for Rural Collectors

Travel Lane Width (m) Design Year ADT Design Speed (km/h) ADT Under 400 3.0 3.0 3.0 3.0 3.0 3.0
4 4 4 4 4 4 1,7

2-81

Turn Lane (m)

Maximum Percent Grade Terrain

ADT 400 to 1500 3.0 3.0 3.0 3.3 3.3 3.3 3.3 3.3

ADT 1500 to 3 2000 3.3 3.3 3.3 3.3 3.3 3.3 3.6 3.6

ADT over 3 2000 3.6 3.6 3.6 3.6 3.6 3.6 3.6 3.6

Min. Stopping Sight Distance

Min.

Des. Level 7 7 7 Rolling 10 10 9 8 8 7 7 6 Mountainous 12 11 10 10 10 9 9 8

(m)

Min. Radius Curve (m) emax=6%

Min. Radius Curve (m) emax=8%

30 40 50 60 70 80 90 100

35 50 65 85 105 130 160 185

21 43 79 123 184 252 336 437

20 41 73 113 168 229 304 394

3.0

Match Travel Lane Width

7 7 6 6 5

3.3 3.3

Shoulder Width (m)

Notes: 1. 2.

All Speeds

0.6

1.5

1.8

2.4

3. 4. 5. 6. 7.

Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 3.6 m travel lanes. Short lengths of grade in rural areas, such as grades less than 150 m in length, one-way downgrades, and grades on low-volume (<1500 vpd) rural collectors may be up to 2% steeper than the grades shown above. 3.3 m lanes may be retained where accident rates are acceptable. 2.7 m lanes may be used for design volumes under 250 vpd. Minimum width is 1.2 m if roadside barrier is utilized. 1.2 m shoulder is desirable if the shoulder is intended for occasional pedestrian and/or bicycle use. Shoulder width may be reduced to 1.2 m for design speeds of 60 km/h to 100 km/h. For bridges, determine the shoulder width from the NYSDOT Bridge Manual, Section 2.

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DESIGN CRITERIA

M2.7.3.2 Urban Collectors The design criteria for urban collectors are: A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Minimum 50 km/h Maximum 100 km/h

B. Lane Width Determine minimum from Exhibit M2-6. C. Shoulder Width Determine minimum from Exhibit M2-6. D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade Determine maximum from Exhibit M2-6. F. Horizontal Curvature Determine minimum radius from Exhibit M2-6. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit M2-12 for e max = 4% table. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases, with a bias that minimizes the unresolved lateral forces on a vehicle as for curves with large radii. This distribution of superelevation is based on Method 5 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. 'M2.7.3.2

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DESIGN CRITERIA

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For low-speed ( 70 km/h) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed (km/h) 30 40 50 60 70 Minimum Curve Radius (emax = 4%) (m) 22 47 86 135 203

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit M2-11. G. Superelevation 4% maximum. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum from Exhibit M2-6. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 m if barrier is provided, 0.5 m in areas without barrier, and 1 m at intersections. J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. 7/30/2010 'M2.7.3.2

2-84

DESIGN CRITERIA

M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

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DESIGN CRITERIA Exhibit M2-6 Design Criteria for Urban Collectors

Lanes
1,4

2-85

Width (m) Minimum 3.0 m 3.6 3.3 3.6 Refer to Exhibit M2-5 3.0 3.3 3.0 3.3 2.4 2.1 Width (m) Minimum 0 1.5 1.8 Refer to Exhibit M2-5 Maximum Percent Grade Level 9 9 8 7 7 6 Rolling 11 10 9 8 8 7
3

Travel Lanes (curbed) Residential & Commercial Industrial areas without severe ROW limitations Industrial areas with severe ROW limitations Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low-speed segments Travel Lanes (uncurbed) Turning Lanes Truck volume 2% Truck volume > 2% Two-way left-turn lanes (trucks 2%) Two-way left-turn lanes (trucks > 2%) Parking Lanes Commercial / Industrial Residential Shoulders Curbed Left shoulder for divided urban collectors Right shoulder for bicycling, lateral offset, etc.
2 2 2

Desirable 3.6 4.2

3.6 3.6 4.8 4.8 3.3 2.4

Desirable 0.3 - 0.6 3.0

Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc. Uncurbed Design Speed (km/h) 50 60 70 80 90 100 Minimum Stopping Sight Distance (m) 65 85 105 130 160 185

Mountainous 12 12 11 10 10 9

Minimum Radius Curve (m) emax = 4% 86 135 203 280 375 492

Notes: 1. For bridges determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used on low speed ( 70 km/h) urban collectors. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230 - 1236 of the New York State Vehicle and Traffic Law. A 0 to 1.2 m minimum shoulder may be used where a wide outside travel lane (3.6 m minimum) or separate provisions (e.g., multiuse path) are provided. 3. Maximum grades of short length (less than 150 m) and on one-way down grades may be 2% steeper. 4. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways require 3.6 m travel lanes.

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DESIGN CRITERIA

M2.7.4 Local Roads and Streets M2.7.4.1 Local Rural Roads The design criteria for local rural roads are as follows:

A. Design Speed The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Range of Design Speeds (km/h)
Design Year ADT Type of Terrain

Under 50 50 90 30 90 30 90

50 to 250 50 90 50 90 30 90

250 to 400 60 90 50 90 30 90

Over 400 80 90 60 90 50 90

Level Rolling Mountainous

B. Lane Width Determine minimum from Exhibit M2-7.

C. Shoulder Width Determine minimum from Exhibit M2-7.

D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade Determine maximum from Exhibit M2-7.

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DESIGN CRITERIA F. Horizontal Curvature

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Determine minimum radius from Exhibit M2-7. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max table (Exhibit M2-13 for e max = 6% or Exhibit M2-14 for e max = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in suburban and developing areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit M2-7. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the edge of traveled way) is: Without Barrier 2.0 m for low-speed ( 70 km/h) segments 3.0 m for high-speed ( 80 km/h) segments J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2. K. Travel Lane Cross Slope Travel lanes = 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual. With Barrier The greater of the Shoulder width or 1.2 m, except on bridges where the NYSDOT Bridge Manual, Section 2 allows less than 1.2 m.

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DESIGN CRITERIA

Exhibit M2-7 Design Criteria for Local Rural Roads

Travel Lane Widths (m) Based on Design 1 Year ADT ADT under 400 2.7 2.7 2.7 2.7
2 2 2 2

Turn Lane (m)

Max. Percent Grade Terrain

Design Speed (km/h)

ADT 400 1500 3.0 3.0 3.0 3.0

3 3 3 3

ADT 1500 to 2000 3.3 3.3 3.3 3.3 3.3 3.3 3.6
4

ADT 2000 & Over 3.6 3.6 3.6 3.6 3.6 3.6 3.6
4 4 4 4 4 4 4

Min.

Des. Level 8 7 Match Travel Lane Width 7 7 7 6 6 Rolling 11 11 10 10 9 8 7 Mountainous 16 15 14 13 12 10 10

Minimum Stopping Sight Distance (m) 35 50 65 85 105 130 160

Minimum Radius Curve (m) emax= 6% 21 43 79 123 184 252 336 emax= 8% 20 41 73 113 168 229 304

30 40 50 60 70 80 90

3.0

3.0 3.0 3.3

3.3 3.3 3.3

Width of Shoulder (m)

All Speeds

0.6

1.5

6,7

1.8

2.4

Notes: 1. For bridges determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Minimum travel lane width is 3.0 m for routes designated as Access Highways and for routes within 1.6 km of Qualifying Highways on the national network of Designated Truck Access Highways. 3. For roads in mountainous terrain with design volume of 400 to 600 ADT, use 2.7 m lanes (except when note 2 applies). 4. Lanes - 3.3 m lanes may remain where accident history is acceptable. 5. Minimum width is 1.2 m if roadside barrier is used on low-volume roads. 6. For roads in mountainous terrain with design volume of 400 to 600 ADT, use 0.6 m shoulders. 7. Shoulder may be 1.2 m where speeds are > 60 km/h (i.e. shoulder adjusted to achieve a minimum roadway width of 9 m).

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DESIGN CRITERIA M2.7.4.2 Local Urban Streets The design criteria for local urban streets are: A. Design Speed

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The design speed is either: maximum functional class speed or a speed based on the anticipated (post-construction) off-peak 85th percentile speed within the range of functional class speeds as shown below. Refer to Section M2.6.1 for guidance on design speed and Chapter 5 of this manual, Section 5.2.4 for methods to determine the off-peak 85th percentile speed. The following are the range of design speeds. Minimum 30 km/h B. Lane Width Determine minimum from Exhibit M2-8. C. Shoulder Width Determine minimum from Exhibit M2-8. D. Bridge Roadway Width Determine minimum from NYSDOT Bridge Manual, Section 2. Note that the bridge roadway width includes the lane and shoulders and is often based on the approach lane and shoulder width determined from Sections B and C, above. E. Grade Grades for local streets = 15% maximum in residential areas and 8% maximum in commercial and industrial areas. F. Horizontal Curvature Determine minimum radius from Exhibit M2-8. For curves with radii larger than the minimum radius, the radius of curve and superelevation on each horizontal curve shall be correlated with the design speed in accordance with Exhibit M2-12 for e max = 4% table,. The superelevation distribution in this table provides a gradual increase in the unresolved lateral forces on a vehicle as the curve radii decreases. This distribution of superelevation is based on Method 5 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Maximum 50 km/h

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DESIGN CRITERIA

Local urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), the use of superelevation can be minimized by placing greater reliance on side friction to counter lateral acceleration. This distribution of superelevation is based on Method 2 in Chapter 3 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum radii at 4% superelevation using this method. Design Speed, km/h 30 40 50 Minimum Curve Radius (emax = 4%) (m) 22 47 86

For radii larger than the above minimum radius for emax = 4%, determine the superelevation rate using Exhibit M2-11. G. Superelevation 4% maximum. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable from Exhibit M2-8. I. Horizontal Clearance The minimum horizontal clearance to obstructions (measured from the face of curb) is 0 m if barrier is provided, 0.5 m in areas without barrier, and 1 m at intersections. J. Vertical Clearance Determine minimum from the NYSDOT Bridge Manual, Section 2.

K. Travel Lane Cross Slope Travel lane = 1.5% minimum to 2% maximum. Parking lanes = 1.5% minimum to 5% maximum.

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DESIGN CRITERIA L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Pedestrian Accommodations

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To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

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DESIGN CRITERIA

Exhibit M2-8 Design Criteria for Local Urban Streets

Lanes
1

Width (m) minimum 3.0 2.7 3.6 3.3 3.6 desirable 3.3 3.0 4.2

Travel Lanes (with curbing) Residential without severe ROW limitations & Commercial Residential with severe ROW limitations Industrial areas with out severe ROW limitations Industrial areas with severe ROW limitations 2 Wide travel lane adjacent to curbing or parking lane to accommodate bicyclists in low-speed segments Travel Lanes (Without curbing) Turning Lanes Truck volume 2% Truck volume > 2% Two-way left-turn lanes Parking Lanes Commercial & Industrial Residential Shoulder Curbed Left shoulder for divided urban streets Right shoulder for bicycling, lateral offset, etc. Uncurbed Grade Residential Commercial / Industrial Design Speed (km/h) 30 40 50 Min. Stopping Sight Distance (m) 35 50 65
2 1

Refer to Exhibit M2 -7 2.7 2.7 3.0 2.4 2.1 Width (m) minimum 0 1.5 1.8 Maximum 15% 8% Minimum Radius Curve (m) emax= 4% 22 47 86 Refer to Exhibit M2 -7 desirable 0.3 - 0.6 3.0 3.0 3.6 3.3 3.3 2.4

Right shoulder for breakdowns and turning movements in addition to bicycling, lateral offset, etc.

Note: 1. For bridges, determine the lane and shoulder width from the NYSDOT Bridge Manual, Section 2. 2. Wide travel lanes may be used on local urban streets. Refer to Chapter 17 of this manual for bicycle accommodations. Note that bicyclists have the same rights and responsibilities as motorists except as provided in Sections 1230 - 1236 of the New York State Vehicle and Traffic Law. A 0 to 1.2 m minimum shoulder may be used where a wide outside travel lane (3.6 m minimum) or separate provisions (e.g., multiuse path) are provided.

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M2.7.5 Other Roadways M2.7.5.1 Parkways Parkways that are multilane, divided freeways, or expressways with occasional at-grade intersections should follow the standards in Section M2.7.1.2 Other Freeways. Parkways that are two-lane highways or multilane, divided highways with signalized intersections should follow the standards of the design classification established for the subject parkway. M2.7.5.2 Ramps (Turning Roadways for Grade-Separated Highways) Ramps are turning roadways to accommodate high volumes of turning movements between gradeseparated highways. Ramps are functionally classified based on the higher-type highway they service. For example, all the ramps to and from an interstate are considered part of the Interstate System. The design criteria for ramps are: A. Design Speed A ramp speed study is not required to determine the ramp design speed. The ramp design speed for the design criteria applies to the sharpest ramp curve, usually on the ramp proper. The ramp design speed does not apply to the ramp terminals, which should include transition curves and speed change lanes based on the design speeds of the highways and ramps involved. Desirably, ramp design speed should approximate the off-peak running speeds (50th percentile speeds) on the higher speed intersecting highway, but not exceed 80 km/h. Ramps with design speeds over 80 km/h should be designed using Section M2.7.1 of this chapter. The minimum design speeds based on ramp type (as illustrated in Exhibit 10-55 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004) are: & & & & Loop ramps - 40 km/h minimum for highways with design speeds of more than 80 km/h. Semidirect connection ramps - 50 km/h minimum. Direct connection ramps - 60 km/h minimum; 80 km/h preferred. Diagonals, outer connections, and one-quadrant ramps - Below is the minimum ramp design speed related to the highway design speed. The highway design speed is the higher design speed of the interchanging roadways. Highway Design Speed (km/h) Min. Ramp Design Speed (km/h) 60 30 70 40 80 40 90 50 100 110 120 50 60 70

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DESIGN CRITERIA

B. Lane Width Determine minimum lane widths from Exhibit M2-9. For one-lane, one-way ramps, Case II, which provides for passing a stalled vehicle, should normally be used. C. Shoulder Width Determine minimum shoulder widths from Exhibit M2-10. D. Bridge Roadway Width The lane and shoulder widths are to be carried across all ramp structures. E. Grade Determine maximum from Exhibit M2-10. F. Horizontal Curvature Determine minimum radius from Exhibit M2-10. For curves flatter than the minimum radius, the radius and superelevation on each horizontal curve shall be correlated with the design speed in accordance with the appropriate e max table (Exhibit M2-13 for e max. = 6% or Exhibit M2-14 for e max. = 8%). G. Superelevation 8% maximum. A 6% maximum may be used in urban and suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. H. Stopping Sight Distance (Horizontal and Vertical) Determine minimum and desirable stopping sight distance from Exhibit M2-10. I. Horizontal Clearance Right side = greater of shoulder width or 1.8 m and left side = 1.0 m minimum. Where ramps pass under structures, there should be an additional 1.2 m clearance beyond the outside of shoulders to bridge piers or abutments.

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DESIGN CRITERIA J. Vertical Clearance

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Determine minimum from the NYSDOT Bridge Manual, Section 2. Ramps should have the same vertical clearance as the higher functional classification of the interchanging roadways. K. Travel Lane Cross Slope 1.5% minimum to 2% maximum. L. Rollover Between travel lanes = 4% maximum. At edge of traveled way = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations of this manual for further guidance. M. Structural Capacity Determine from the NYSDOT Bridge Manual, Section 2. N. Level of Service (interstate ramps only) Exit ramps with poor levels of service can cause backups onto the mainline. Ramps shall meet acceptable levels of service, as listed below, and shall be determined on the basis of design year volumes in accordance with TRB=s Highway Capacity Manual. The following levels of service are the criteria for interstates: Rural, level terrain Rural, rolling terrain Rural, mountainous terrain 1 Urban and suburban
1

LOS = B minimum LOS = B minimum LOS = C minimum LOS = C minimum

In heavily developed sections of metropolitan areas, conditions may necessitate LOS D minimum. Scoping closure and design approval documents should include documentation of the heavily developed metropolitan area conditions.

Some interstate projects, especially in urban areas, will provide levels of service below those above due to social, economic, and environmental and/or policy/intergovernmental decisions during project scoping and design. Such decisions for lesser levels of service should be made in accordance with National Environmental Policy Act (NEPA) and/or State Environmental Quality Review Act (SEQR) procedures and, where applicable, with the Major Metropolitan Transportation Investment process. These decisions should be supported and documented in the design approval documents.

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DESIGN CRITERIA

O. Control of Access (interstate and other freeway ramps only) Access along freeway ramps and terminals on the crossroad shall be fully controlled. Such control shall either be acquired outright prior to construction or reconstruction. Access along the crossroad should be provided beyond the ramp terminals by purchasing access rights or providing frontage roads. Such control should extend beyond the ramp terminal at least 30 m in urban areas and 90 m in rural areas (see Chapter 6 of this manual for more specific details). P. Pedestrian Accommodation To assure access for persons with disabilities, pedestrian facilities located at the ramp terminal with a crossroad shall be located and constructed in accordance with Chapter 18 of this manual. M2.7.5.3 Speed Change Lanes Acceleration lanes, deceleration lanes, and combination acceleration-deceleration lanes have the same lane width as the adjacent travel lanes. The minimum shoulder width is 1.8 m on interstates and other freeways and 1.2 m on other roadways. All other critical design elements (grades, stopping sight distance, etc.) are the same as apply for the adjacent roadway. The lengths of acceleration and deceleration lanes are not critical design elements. However the lengths, as determined from Chapter 10 in AASHTO's, A Policy on Geometric Design of Highways and Streets, 2004 should be provided. If these lengths are not provided an explanation must be included in the design report.

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Exhibit M2-9 Traveled Way Widths for Ramps and Turning Roadways
Traveled Way Width (m) Radius on Inner Edge of Traveled Way, R (m) Case I One-lane, One- way Operation - No Provision for Passing a Stalled Vehicle Case II One-lane, One-way Operation- With Provision for Passing a Stalled Vehicle Design Traffic Condition A 15 25 30 50 75 100 125 150 Tangent ( 300 m) No Stabilized Shoulder Sloped Curb None Vertical-Faced Curb (adj. to traveled way) One Side Two Sides Stabilized Shoulder, One or Both sides None None 5.4 4.8 4.5 4.2 3.9 3.9 3.9 3.6 3.6 B 5.5 5.0 4.9 4.6 4.5 4.5 4.5 4.5 4.2 C 7.0 5.8 5.5 5.0 4.8 4.8 4.8 4.5 4.2 None D 15.1 8.4 7.5 5.9 5.3 5.3 5.3 5.3 4.2 A 6.0 5.6 5.5 5.3 5.2 5.2 5.1 5.1 5.0 B 7.8 6.9 6.7 6.3 6.1 5.9 5.9 5.8 5.5 C 9.2 7.9 7.6 7.0 6.7 6.5 6.4 6.4 6.1
1

Case III Two-Lane Operation - Either One-Way or Two-Way

D 16.6 9.6 8.7 7.0 6.7 6.5 6.4 6.4 6.1

A 9.4 8.6 8.4 7.9 7.7 7.6 7.6 7.5 7.3

B 11.0 9.7 9.4 8.8 8.5 8.3 8.2 8.2 7.9

C 13.6 11.1 10.6 9.5 8.9 8.7 8.5 8.4 7.9

D1 18.4 11.4 10.6 9.5 8.9 8.7 8.5 8.4 7.9

D2 30.1 16.6 14.8 11.5 9.9 9.2 8.7 8.4 7.9

Width Modification Regarding Edge of Traveled Way Treatment: None None

Add 0.3 m Add 0.6 m Lane width for conditions B & C on tangent may be reduced to 3.6 m where combined shoulder is 1.2 m or wider

None Add 0.3 m Deduct combined right and left shoulder width; use minimum travel lane width as under Case I

Add 0.3 m Add 0.6 m Deduct 0.6 m where either shoulder is 1.2 m or wider

Note: 1.The design traffic conditions are defined: A. Predominantly P vehicles, but some consideration for SU trucks. Accommodates occasional WB 12 trucks. B Sufficient SU vehicles to govern design, but some consideration for semitrailer vehicles. Generally SU plus semitrailer vehicles = 5 to 10% of the total traffic volume. Accommodates occasional WB 12 trucks. C Sufficient bus and combination-types of vehicles to govern design (over 10% of total traffic volume). Accommodates occasional WB 15 trucks. D Use on ramps and turning roadways with a WB 20 design vehicle (e.g., ramps connecting to Qualifying Highways on the national network of Designated Truck Access Highways (1982 STAA highways)). Values are from Exhibit 3-54 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004. Design Traffic Condition D values are reduced by as much as 0.6 m for Case I and as much as 1.2 m for Cases II & III to account for reduced lateral clearance allowed for turning roadways with a combination of large vehicles and sharp radii. Case I, Design Traffic Condition D assumes WB 20 vehicle with no provision for passing a stalled passenger vehicle. Case II, Design Traffic Condition D assumes WB 20 passing P vehicle. D1/ D2 For Case III, use Condition D1 for one-way, two-lane ramps and Condition D2 for two-way, two-lane ramps. Case III, Design Traffic Condition D1 assumes passenger car overtaking a WB 20 vehicle. Case III, Design Traffic Condition D2 assumes opposing WB 20 vehicles.

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Exhibit M2-10
Design Speed (km/h)

Design Criteria for Turning Roadways

Shoulder 1 (m) Left 1.0        Right 2 2.0        8 8 8 7 7 6 5 5 Maximum Percent Grade Minimum Stopping Sight Distance (m) 15 20 35 50 65 85 105 130 Minimum Radius (m) (measured to inside edge of the traveled way) emax = 4%3 8 22 47 86 135 203 S emax = 6% 8 21 43 79 123 184 252 emax = 8% 7 20 41 73 113 168 229

15 20 30 40 50 60 70 80

Notes: 1. For urban turning roadways with curbing, no shoulder is required. A 0.6 m curb offset is desirable. 2. For direct connection ramps with design speeds over 60 km/h, use a 2.4 m minimum right shoulder. 3. Only for Free-Flow Turning Roadways for at-grade intersections. See 'M2.7.5.4.B. 4. Refer to Chapter 9 of AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004 for minimum radii.

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DESIGN CRITERIA M2.7.5.4 Turning Roadways - Channelized for At-Grade Intersections

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Channelized right-turning roadways are sometimes called right-turn slip lanes or right-turn bypass lanes. There are two types of channelized right-turning roadways for at-grade intersections: rightturning roadways with corner islands and free-flowing, right-turning roadways. Further information on these roadways is provided in Chapter 5, Section 5.9.4 of this manual. A. Turning Roadways with Yield, Stop, or Signal Control Turning roadways with yield, stop, or signal control often have channelized islands and do not include taper- or parallel-type acceleration lanes. Design criteria is not required for these types of turning roadways. For layout, the design speed may range from 15 km/h to 40 km/h. Refer to Chapter 5, Section 5.9.4.6 A of this manual for additional guidance. B. Free-Flow Turning Roadways Free-flow turning roadways are essentially ramps for at-grade intersections. They generally include speed-change lanes. The design speed may be equal to or as much as to 30 km/h less than the design speed of the higher speed intersecting highway. The acceptable range of design speeds is 15 km/h to 80 km/h. & & & Determine the lane widths from Exhibit M2-9. Determine the shoulder widths, grade, stopping sight distance, and minimum radii from Exhibit M2-10. A maximum superelevation rate of 4% is used for urban areas, 6% for rural areas where traffic is likely to stop on the turning roadway, and 8% for rural areas where traffic is unlikely to stop on the turning roadway. For superelevation rates on curves with radii above the minimum radius, use Exhibits M2-12, M2-13, or M2-14 for emax equal to 4%, 6%, or 8%, respectively. The minimum horizontal clearance to obstructions (measured from the edge of traveled way) on the right side is the larger of the shoulder width or 1.8 m. The minimum horizontal clearance to obstructions (measured from the edge of traveled way) on the left side is 1.2 m. Determine the remaining critical design elements from Section M2.7.5.2.

& & &

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DESIGN CRITERIA

M2.7.5.5 Collector-Distributor Roads The difference between the design speed of a collector-distributor road and the adjacent mainline roadway should not exceed 20 km/h. However, for freeways with 80 km/h or 90 km/h design speeds, the minimum design speed for the collector-distributor road is 80 km/h. The design criteria should be the same as that of the adjacent mainline roadway. However the other critical design elements (horizontal curve, stopping sight distance, etc.) should be modified appropriately if a design speed less than the mainline design speed is used.

M2.7.5.6 Frontage Roads (Service Roads) The design criteria for frontage roads should be consistent with the design criteria for the functional class of the frontage road.

M2.7.5.7 Climbing Lanes Climbing lanes should have the same lane width as the adjacent travel lanes. The minimum shoulder width for a climbing lane is 1.2 m, or the shoulder width of the highway, whichever is less. Desirably the climbing lane shoulder should match the shoulder for the adjacent segments of highway. All other critical design elements (grades, stopping sight distances, etc.) are the same as applies for the adjacent roadway.

M2.7.5.8 Tunnels The design criteria used for tunnels should not differ materially from those used for grade separation structures. Refer to AASHTO=s A Policy on Geometric Design of Highways and Streets, 2004 for further guidance regarding tunnel design.

M2.7.5.9 Shared Roadway A roadway which is open to both bicycle and motor vehicle travel upon which no bicycle lane is designated. Examples may include roads with wide curb lanes and roads with shoulders. Refer to various tables within Section M2.7 of this chapter as well as Chapters 17 and 18 of this manual for shoulder / lane width guidance.

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Exhibit M2-11 Minimum Radii and Superelevation for Low-Speed Urban Streets Vd= 20 km/h Vd= 30 km/h Vd= 40 km/h Vd=50 km/h e (%) R(m) R(m) R(m) R(m) -2.0 10 27 60 116 -1.5 9 27 59 113 0 9 25 55 104 1.5 9 24 51 96 2.0 9 24 50 94 2.2 8 23 50 93 2.4 8 23 50 92 2.6 8 23 49 91 2.8 8 23 49 90 3.0 8 23 48 89 3.2 8 23 48 89 3.4 8 23 48 88 3.6 8 22 47 87 3.8 8 22 47 86 4.0 8 22 47 86

Vd=60 km/h R(m) 189 183 167 153 149 148 146 145 143 142 140 139 138 136 135

Vd=70 km/h R(m) 297 286 257 234 227 224 222 219 217 214 212 210 207 205 203

Notes: 1. For low-speed ( 70 km/h) urban streets in heavily built-up residential, commercial, and industrial areas (where building fronts, drainage, sidewalks, or driveways would be substantially impacted by added superelevation), sharper curves are allowed. 2. Computed using AASHTO Superelevation Distribution Method 2. 3. For segments using a normal crown of 2%, curves with radii that are larger than those required for e = -2.0% may retain normal crown. Curves with radii requiring superelevation rates between e = -2.0% to e = 0% require removal of the adverse cross slope. Curves with radii requiring superelevation rates between e = 0% and e = 2% require superelevation at e = 2%. For segments using a normal crown of 1.5%, curves with radii that are larger than those required for e = -1.5% may retain normal crown. Curves with radii requiring superelevation rates between e = -1.5% to e = 0% require removal of the adverse cross slope. Curves with radii requiring superelevation rates between e = 0% and e = 1.5% require superelevation at e = 1.5%.

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DESIGN CRITERIA

Exhibit M2-12 Minimum Radii for Design Superelevation Rates, Design Speeds, and emax = 4% Vd=30 Vd=40 Vd=50 Vd=60 Vd=70 Vd=80 Vd=20 e km/h km/h km/h km/h km/h km/h km/h (%) R(m) R(m) R(m) R(m) R(m) R(m) R(m) 1.5 163 371 679 951 1310 1740 2170 2.0 102 237 441 632 877 1180 1490 2.2 75 187 363 534 749 1020 1290 2.4 51 132 273 435 626 865 1110 2.6 38 99 209 345 508 720 944 2.8 30 79 167 283 422 605 802 3.0 24 64 137 236 356 516 690 3.2 20 54 114 199 303 443 597 3.4 17 45 96 170 260 382 518 3.6 14 38 81 144 222 329 448 3.8 12 31 67 121 187 278 381 4.0 8 22 47 86 135 203 280

Vd=90 km/h R(m) 2640 1830 1590 1390 1200 1030 893 779 680 591 505 375

Vd=100 km/h R(m) 3250 2260 1980 1730 1510 1320 1150 1010 879 767 658 492

Notes: 1. Computed using AASHTO Superelevation Distribution Method 5. Curves with radii greater than that needed for e = 1.5% may retain normal crown. Curves with radii requiring e= 1.5% to less than e = 2.0% require removal of the adverse cross slope.

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Exhibit M2-13 Minimum Radii for Design Superelevation Rates, Design Speeds, emax = 6% Vd=20 Vd=30 Vd=40 Vd=50 Vd=60 Vd=70 Vd=80 Vd=90 E km/h km/h km/h km/h km/h km/h km/h km/h (%) R(m) R(m) R(m) R(m) R(m) R(m) R(m) R(m) 1.5 194 421 738 1050 1440 1910 2360 2880 2.0 138 299 525 750 1030 1380 1710 2090 2.2 122 265 465 668 919 1230 1530 1880 2.4 109 236 415 599 825 1110 1380 1700 2.6 97 212 372 540 746 1000 1260 1540 2.8 87 190 334 488 676 910 1150 1410 3.0 78 170 300 443 615 831 1050 1290 3.2 70 152 269 402 561 761 959 1190 3.4 61 133 239 364 511 697 882 1100 3.6 51 113 206 329 465 640 813 1020 3.8 42 96 177 294 422 586 749 939 4.0 36 82 155 261 380 535 690 870 4.2 31 72 136 234 343 488 635 806 4.4 27 63 121 210 311 446 584 746 4.6 24 56 108 190 283 408 538 692 4.8 21 50 97 172 258 374 496 641 5.0 19 45 88 156 235 343 457 594 5.2 17 40 79 142 214 315 421 549 5.4 15 36 71 128 195 287 386 506 5.6 13 32 63 115 176 260 351 463 5.8 11 28 56 102 156 232 315 416 6.0 8 21 43 79 123 184 252 336

Vd=100 km/h R(m) 3510 2560 2300 2080 1890 1730 1590 1470 1360 1260 1170 1090 1010 938 873 812 755 701 648 594 537 437

Vd=110 km/h R(m) 4060 2970 2670 2420 2210 2020 1870 1730 1600 1490 1390 1300 1220 1140 1070 997 933 871 810 747 679 560

Vd=120 m/h R(m) 4770 3510 3160 2870 2630 2420 2240 2080 1940 1810 1700 1590 1500 1410 1330 1260 1190 1120 1060 980 900 756

Notes: 1. Computed using AASHTO Superelevation Distribution Method 5. Curves with radii greater than that needed for e = 1.5% may retain normal crown. Curves with radii requiring e= 1.5% to less than e = 2.0% require removal of the adverse cross slope.

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DESIGN CRITERIA

Exhibit M2-14 Minimum Radii for Design Superelevation Rates, Design Speeds, emax = 8%
e(%)
1.5 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 3.6 3.8 4.0 4.2 4.4 4.6 4.8 5.0 5.2 5.4 5.6 5.8 6.0 6.2 6.4 6.6 6.8 7.0 7.2 7.4 7.6 7.8 8.0

Vd=20 km/h R(m)

184 133 119 107 97 88 81 74 68 62 57 52 48 43 38 33 30 27 24 22 20 19 17 16 15 14 13 12 11 10 9 7

Vd=30 km/h R(m)

443 322 288 261 237 216 199 183 169 156 144 134 124 115 106 96 87 78 71 65 59 55 50 46 43 40 37 34 31 29 26 20

Vd=40 km/h R(m)

784 571 512 463 421 385 354 326 302 279 259 241 224 208 192 178 163 148 136 125 115 106 98 91 85 79 73 68 62 57 52 41

Vd=50 km/h R(m)

1090 791 711 644 587 539 496 458 425 395 368 344 321 301 281 263 246 229 213 198 185 172 161 151 141 132 123 115 107 99 90 73

Vd=60 km/h R(m)

1490 1090 976 885 808 742 684 633 588 548 512 479 449 421 395 371 349 328 307 288 270 253 238 224 210 198 185 174 162 150 137 113

Vd=70 km/h R(m)

1970 1450 1300 1190 1080 992 916 849 790 738 690 648 608 573 540 509 480 454 429 405 382 360 340 322 304 287 270 254 237 221 202 168

Vd=80 km/h R(m)

2440 1790 1620 1470 1350 1240 1150 1060 988 924 866 813 766 722 682 645 611 579 549 521 494 469 445 422 400 379 358 338 318 296 273 229

Vd=90 km/h R(m)

2970 2190 1980 1800 1650 1520 1410 1310 1220 1140 1070 1010 948 895 847 803 762 724 689 656 625 595 567 540 514 489 464 440 415 389 359 304

Vd=100 km/h R(m)

3630 2680 2420 2200 2020 1860 1730 1610 1500 1410 1320 1240 1180 1110 1050 996 947 901 859 819 781 746 713 681 651 620 591 561 531 499 462 394

Vd=110 km/h R(m)

4180 3090 2790 2550 2340 2160 2000 1870 1740 1640 1540 1450 1380 1300 1240 1180 1120 1070 1020 975 933 894 857 823 789 757 724 691 657 621 579 501

Vd=120 km/h R(m)

4900 3640 3290 3010 2760 2550 2370 2220 2080 1950 1840 1740 1650 1570 1490 1420 1360 1300 1250 1200 1150 1100 1060 1020 982 948 914 879 842 803 757 667

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HIGHWAY DESIGN MANUAL

CHAPTER 3 - TYPICAL SECTIONS (Limited Revisions)

Revision 44

July 9, 2004

CHANGES TO CHAPTER 3
Pages 3-26 Change Corrected typographical error in Section 3.2.5. In the second paragraph, first line, replaced lateral with horizontal.

7/9/04

CHAPTER 3 TYPICAL SECTIONS Contents Page

3.1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 3.1.1 Element Terminology and Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 3.1.2 Classification of Highways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 3.2 ELEMENTS OF THE TYPICAL SECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-6 3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.2.7 3.2.8 3.2.9 3.2.10 3.2.11 3.2.12 3.2.13 3.2.14 3.2.15 3.2.16 Control Lines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-6 Lane Widths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-6 Cross Slope and Superelevation of Lanes . . . . . . . . . . . . . . . . . . . . . . . . . 3-7 Pavement Sections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-7 Shoulders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-26 Clear Zone Widths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-38 Barriers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-39 Medians . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-40 Curbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-48 Gutters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-55 Sidewalks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-55 Shoulder Breaks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-61 Embankment (Fill) Slopes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-63 Ditches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-65 Backslopes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-67 Right of Way Width . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-72

3.3 EXISTING FACILITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-74 3.3.1 3.3.2 3.3.3 3.3.4 3.3.5 Overlays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cracking and Seating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rubblizing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lane Additions and Widenings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Miscellaneous Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-74 3-79 3-79 3-80 3-82

3.4 DRAWINGS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-86 3.5 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-90 APPENDIX A - CONVENTIONAL ASPHALT SELECTION . . . . . . . . . . . . . . . . . . . . . . . 3-92

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LIST OF FIGURES 3-1 3-2 3-3 3-4 3-5 3-6 3-7 3-8 3-9 3-10 3-11 3-12 3-13 3-14 3-15 3-16 3-17 3-18 3-19 3-20 3-21 3-22 3-23 3-24 Typical Elements of Limited Access Highways Typical Elements for Urban Streets and Other Highways Placement of Select Granular Subgrade Conventional Edge of Traveled Way Details Recommended Rollover Combinations Typical Shoulder Details for ESAL-based Asphalt Pavement Design Typical Shoulder Details for ESAL-based Concrete Pavement Design Typical Shoulder Rumble Strip Details Typical Wide Medians Typical Narrow Medians Typical Curb and Edge Drain Placement Template Method for Driveway Profile Design Ninetieth Percentile Seasonal Snowfall Contours Normal Positions of Guide Rail Relative to Shoulder Break High-Speed Traversable Ditch Section Traversable Ditch at Lateral Embankment Rock Slope Setback Options Detail of Asphalt Overlay Splice (Pavement Termination Detail) Rubblizing and Widening Details Detail of Underdrain Retrofitting Curb Addition Details (Stone or Precast) Edge of Shoulder Detail - Unditched Section Sample Typical Section - Divided Highway Sample Typical Section - Collector Road

LIST OF TABLES 3-1 3-2 3-3 3-4 3-5 3-6 3-7 3-8 3-9 3-10 3-11 3-12 General Terminology (Limited Access and Other Highways) General Terminology (Urban Streets and Other Highways) Conventional Pavement Thickness Guide Functional Classification Code Descriptions (Highway Sufficiency Rating) Performance Graded Binder Selection Pavement Selection for Principal Arterials Pavement Selection for General Highways Limits on Permissible Lift Thicknesses Maximum Desirable Side Slopes Pavement Selection for General Highways - Conventional Asphalt Pavement Selection for High Volume Highways - Conventional Asphalt Limits on Permissible Lift Thicknesses - Conventional Asphalt 11/20/98

3-1 CHAPTER 3 TYPICAL SECTIONS

3.1

INTRODUCTION

Typical sections describe the physical shape and relationship of the various highway elements that are present at or proposed for a normal or typical interval along a highway. This chapter defines and describes the elements and presents guidance on details of their design. It also discusses how the individual elements may be brought together to form typical sections for the different classifications of highways. The chapter begins by defining, in Section 3.1.1, the elements that make up typical sections and follows, in 3.1.2, with a description of the two highway classification systems used in this chapter. Section 3.2 presents discussions of the individual elements as they relate to new construction. Section 3.3 focuses on some of these elements as they relate to resurfacing, restoration and rehabilitation work on existing facilities. Section 3.4 provides guidance on drawing layout, conventions, notes and general presentation of typical sections for construction contracts. It also includes example drawings. Section 3.5 provides references for the many documents that provide supplementary information relevant to the preparation of typical sections. 3.1.1 Element Terminology and Definitions Tables 3-1 and 3-2 present definitions of elements that may be included in the typical sections of new or reconstructed projects. Different arrangements of elements will be used depending on the functional classification of the highway. Figure 3-1 illustrates a typical arrangement for a limited access highway. Figure 3-2 illustrates an arrangement of elements for urban streets. (Two tables and two figures are provided for ease of illustration rather than to indicate exclusive use of the elements in one section or another.) The older a highway is, the more likely it is to differ from the sections shown. 3.1.2 Classification of Highways Two classification systems are used in this chapter. One, the Federal Aid System functional classification of highways, is used in the definition of the various critical design elements. Chapter 2 provides the guidance on critical design elements for new and reconstructed highways, including Resurfacing, Restoration and Rehabilitation (3R) projects on Interstates and Freeways. Chapter 7 of this manual provides additional requirements, standards and guidance for both freeway 3R and non-freeway 3R projects. The second classification system is only used herein for hot mix asphalt pavement selection and thickness guidance (Section 3.2.4.5) and is the system used in the Highway Sufficiency Rating Manual.

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3.1

3-2

TYPICAL SECTIONS

Table 3-1 General Terminology (Limited Access and Other Highways) 1 2 3 4 5 Clear Area-The total roadside border area, starting at the edge of traveled way and extending to the first hazardous obstacle. Cut (Back) Slope-A slope formed by excavation. Ditch Control Edge-The edge of traveled way nearest to a ditch. Serves as the vertical control for depth. Ditch Depth-Vertical distance from the ditch control edge to the invert of ditch in cut sections. A. Ditch (Side) (Fore) Slope-The area between the shoulder break and the ditch invert. B. Ditch Back Slope-A desirable 3 m wide, 1:4 slope between the ditch invert and the cut slope, used to enhance traversability. Ditch Width-The width of the ditch invert or bottom. Edge Drain-An underdrain located beneath the edge of pavement. See Sections 3.2.4.4, 3.2.9.3, and 3.3.5 and Chapter 9, section 9.3.9. Embankment-A road-carrying raised structure typically composed of soil and rock materials placed and compacted under controlled conditions between embankment foundation and subgrade surface. Embankment Foundation-Surface upon which embankment is constructed after all preparatory work is done. Embankment (Fill) Slope-A slope formed by an embankment. Existing Ground-Location of ground or embankment surface at present. (Compare with Original Ground) Guide Rail-Redirecting barrier installed adjacent to shoulder if adequate clear zone not available. May also be used for access control. (See Chapter 10.) Highway-Whole strip of land bounded by ROW lines. Median-Portion of road separating opposite direction traffic. Median Barrier-Barrier system used in median and designed to be impacted on either side. (See Chapter 10.) Mowing Strip-Optional asphalt strip that may be provided under guide rail or behind a curb to inhibit plant growth. Original Ground-Ground surface prior to any highway construction. Right of Way or ROW-General term denoting land, property, or interest therein, usually in a strip, acquired for or devoted to a highway. 19 Right of Way Fence-Fence designed to discourage trespassing onto limited access highways and to distinguish Department Right-of Way. Generally runs as close as possible to the ROW line while maintaining a straight alignment. (See Section 10.5.2) 20 Right of Way Line-Line denoting ROW lateral limit. 21 Roadbed-The portion of the highway prepared to provide foundation support for the shoulders and pavement structure. The pavement structure begins at the bottom of the subbase course. 22 Road Section-Portion of highway included between top of slope in cut and bottom of slope in fill. 23 Roadway-Portion of highway included between outside edges of paved shoulders (see 3.2.5 for different definition in Vehicle and Traffic Law). Divided highways have two or more roadways. 24 Shoulder - Portion of the roadway contiguous with the traveled way primarily for accommodation of stopped vehicles for emergency use. (Also, preferred location for bicycle traffic using roadway.) Provides lateral support for traveled way courses. Unless stated otherwise, the term shoulder is generally taken to mean the paved width. A. Paved (Stabilized) Width-Portion of the graded width contiguous with the traveled way and paved or stabilized to provide a better allweather support than offered by the untreated subbase course. B. Graded Width - The area between the edge of traveled way and the shoulder break. 25 Shoulder Break-Point of intersection of the shoulder slope plane and the embankment or ditch slope plane. 26 Shoulder Joint-In Portland cement concrete pavements, the joint between the shoulder slab and the traveled way slabs. 27 Subbase Course-Compacted layers of well-graded sand and gravel placed as a foundation for pavement layers above it. 28 Subgrade Surface-The surface of the subgrade. (Subgrade-roadbed section upon which the subbase course is placed.) 29 Traveled Way-Portion of roadway for movement of vehicles, exclusive of shoulders. (Through Traveled Way-Portion of the roadway for movement of vehicles, exclusive of shoulders and auxiliary lanes.)

6 7 8

9 10 11 12

13 14 15 16 17 18

SEE 3.1.1

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TYPICAL SECTIONS

Table 3-2 General Terminology (Urban Streets and Other Highways) 30 Asphalt (Hot Mix* ),HMA-A pavement material consisting of an aggregate and bituminous mixture. A. Top Course-Asphalt layer placed as riding surface. Generally, finest gradation except for shim course. B. Binder Course-Asphalt layer placed below top course. Gradation is intermediate between base and top. C. Base Course-Large aggregate asphalt layer placed as structural base for overlying asphalt layers. D. Permeable Base-Asphalt layer with limited fine aggregate, typically placed at bottom of asphalt section where needed to provide drainage and support. Satisfies requirement of ESAL-based design for a 100 mm drain layer below HMA pavements. Centerline-A theoretical line representing the plan location of the center of roughly symmetrical roadway sections. Compare with Horizontal Control Line. Curb-A narrow, raised element placed at the edge of pavement to control drainage and driveway access, reduce maintenance and right-of-way requirements, and separate pedestrian and vehicular traffic. May be mountable or serve as barriers. Gutter-A broad (up to 1 m), shallow ditch section placed at the edge of the paved area and designed primarily to collect and carry surface water into a drainage system. Horizontal Control Line or HCL-Control for horizontal alignment. 35 Parking Lane-A lane provided in some commercial and residential areas for parking vehicles. (Refer also to Chapter 18 for bicycle lanes.) Pavement Course-A distinct layer of a given type of hot mix asphalt. (See Term 30.) Point of Rotation (of superelevated section)-The POR is the "hinge" point on the pavement surface (usually the TGL) about which the adjoining lanes rotate up or down during superelevation transitions. A. Portland Cement Concrete (PCC) Pavement-Also referred to as Rigid Pavement. B. Cement Treated Permeable Base-A coarse aggregate drainage layer stabilized with cement. (ESAL-based designs require use of 100 mm layer of cement or asphalt treated permeable base below PCC pavement.) Sidewalk-A paved surface along the side of a street, but separated from vehicular traffic, for the use of pedestrians. Snow Storage Area-Area between sidewalk and back of curb or gutter, or in some situations, edge of shoulder. Where no sidewalk is present, area begins at back of curb, gutter or edge of shoulder and may extend to ROW line. Theoretical Grade Line (TGL)-Control for vertical alignment. Topsoil-Surface soil layer placed to support grass growth.

36 37

38

31

39 40

32

33

41 42

34

*NOTE:

Current practice should be to use the term Hot Mix Asphalt (HMA) in preference to terms formerly used, such as Asphalt Cement Concrete (ACC), Bituminous Concrete, Blacktop, Macadam, etc.

SEE 3.1.1

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TYPICAL SECTIONS

3.2

ELEMENTS OF THE TYPICAL SECTION

The discussion of the typical section elements is organized sequentially starting with the horizontal control line and working out to the Right-of-way line. For the dimensions or minimum widths of critical design elements for new and reconstructed highways and for 3R projects on interstates and freeways, reference should be made to Chapter 2. Although not called out for each element, there are separate corresponding standards for non-freeway resurfacing, restoration and rehabilitation (3R) projects found in Chapter 7. 3.2.1 Control Lines Collectively, the control lines determine the location of the typical section in space. There are three components to this spatial control. The "horizontal control line", or HCL, is the control for the horizontal alignment. The stationing for the roadway is measured along this line. In situations where the HCL is located in the middle of the traveled way, between lanes, the term "centerline" is used. When a centerline is shown as the horizontal control, it is not necessary to also call it the HCL. The "theoretical grade line", or TGL, is the control for the vertical alignment. The roadway profile is measured along this line. The TGL is usually located on the theoretical pavement surface at the HCL. The "point of rotation", or POR, is the point on the pavement surface about which adjoining lanes rotate up or down during superelevation transitions. The POR will usually be located at the same lane edge as the TGL. The location of the POR only needs to be indicated on sections when it is different from the location of the TGL. "Baselines" are not shown on typical sections, but should be shown on alignment plans. (See Chapter 21, Section 21.2.) Baselines are established as straight line segments between known fixed points, generally within the right-of-way. They are located for the convenience of the surveyors and provide the initial control for all of the preliminary survey work and subsurface exploration. 3.2.2 Lane Widths A highway lane is the portion of the traveled way dedicated to the sole use of a single line of vehicles. Lane width is a "critical design element" discussed in Chapter 2. Refer to that chapter for design widths to be used for travel lanes on new and reconstructed highways and 3R projects on interstates and freeways. (The guidance for non-freeway 3R projects is provided in Chapter 7.)

3.2

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TYPICAL SECTIONS 3.2.3 Cross Slope and Superelevation of Lanes

3-7

Pavement cross slope and superelevation of lanes are two of the critical design elements covered in Chapter 2. That chapter presents the minimum and maximum values that should be used for the various functional classifications of highways. The normal cross slope is 2% for travel lanes, 4% for parking lanes and 6% for shoulders. Generally, a normal crown section is considered to be one in which the travel lanes slope at 2% away from the point of rotation. Chapter 2 also presents Tables 2-9, 2-10 and 2-11 which, in addition to providing the radius/design speed/superelevation correlations that shall be used, give the minimum runoff lengths for superelevation transitions. (Note again the existence of separate non-freeway 3R standards. See Chapter 7, Section 7.3.) 3.2.4 Pavement Sections A typical section drawing shall indicate the type of pavement materials to be used and the required thicknesses of the various layers. These are two separate operations. The structural thickness requirements will be either conventionally determined (Section 3.2.4.3) or be by ESAL-based design (Section 3.2.4.4). In general, pavement material type will be either Portland Cement Concrete (PCC) or Hot Mix Asphalt (HMA). Within HMA, however, the material may be either SUPERPAVE asphalt or, for most of 1999, conventional Marshall Mix asphalt. In some instances, the placement requirements for the SUPERPAVE courses will require slight increases in the thicknesses used in conventional designs. SUPERPAVE guidance is contained in Section 3.2.4.5. Guidance on conventional asphalt item selection is contained in Appendix A. In normal, full-scale production work, HMA must be compacted by either static or vibratory rollers. In some instances, it is possible that vibratory compaction could lead to damage of particularly sensitive structures. Particular concern should be given to urban areas where there are old utility pipes under the pavement and/or vulnerable buildings nearby. The action of the vibratory compactor may also have a detrimental effect on some underlying soil conditions, particularly if the soil is fine grained and the groundwater elevation is close to the surface. The Regional Geotechnical Engineer and/or the Regional Materials Engineer should be consulted to determine if either problem should be anticipated. If either Engineer judges that vibration sensitivity is likely to be a problem, a Special Note should be inserted in the proposal, stating Vibratory compaction is prohibited at certain locations within this project. Check the Plans for specific locations. The Engineer may (also) judge that vibratory compaction may be a problem at certain locations. In this case, a Special Note should (also) be included in the Proposal stating that Areas that may have vibration sensitivity problems are indicated on the Plans. The use of vibratory compaction in these areas shall be strictly at the Contractors risk. The Plans and, when practical, the proposal should be specific as to the areas where the Special Notes will apply. Refer to the subsection on Neighborhood Sensitivity (under Section 3.2.4.5) and to the subsection on Field Compaction Procedures (under Section 3.2.4.5 B) for a discussion of compaction monitoring procedures in potentially vibration sensitive areas. To verify that PCC pavements have been placed with a smooth, comfortably rideable surface, a profilograph may be used to measure the cumulative roughness of the finished concrete. On all mainline concrete pavements 1 km or more in length, the designer should specify that the 11/20/98 3.2.3

3-8

TYPICAL SECTIONS

profilograph be used to measure the pavement and that the contractor be paid in accordance with the Special Specifications for profilographed pavements. These Items, 15502.0401M - Cement Concrete Pavement, Reinforced, Class C Profilographed and 15502.0601M - Cement Concrete Pavement, Unreinforced, Class C Profilographed, correlate the amount of payment with the degree of smoothness obtained. Item 15502.04M - Profilograph should be specified to require the contractor to provide a profilograph for the Engineer's use at a lump sum price. 3.2.4.1 Selection of Pavement Type Each significant pavement-related project should be carefully evaluated to determine the most appropriate type of pavement for new or reconstruction projects or, as discussed in Section 3.3, the most appropriate rehabilitation treatment for existing pavements. The current emphasis is to examine life cycle cost rather than first cost. Only a general overview of the process is presented below. The selection process is outlined in greater detail in Engineering Instruction 92-015 Project Level Pavement Selection Process. The first step in the selection process is to define one or more suitable treatment options. For new or reconstructed pavements, preliminary designs must be prepared for both PCC and HMA alternatives. Sections 3.2.4.2, 4.3 and 4.4 discuss the procedure for determining suitable new and reconstructed section compositions. For existing pavements, some of the other treatment options are discussed under Section 3.3. The second step in the process is to compare the suitable options by performing a Life-Cycle Cost Analysis (LCCA). Guidance on performing LCCA's is presented in Volume II of the Pavement Rehabilitation Manual. The third step for new or reconstructed pavements is to prepare a Pavement Type Selection Analysis to document in the project files the reasoning behind the selection. Guidance on preparing this documentation is contained in Volume II of the Pavement Rehabilitation Manual and EI 92-015. 3.2.4.2 Selection of Thickness Design Procedure Pavement thickness design procedures are classified herein as conventional (Section 3.2.4.3) or as ESAL-based (see Section 3.2.4.4). Values for conventional design thicknesses are presented in Table 3-3 and details are discussed in Section 3.2.4.3. In October of 1994, the Department issued the revised New York State Thickness Design Manual for New and Reconstructed Pavements, also known for convenience sake as the Pavement Thickness Design Manual or PTDM. This document describes the design for thicker, longer-lasting pavements and is the design guidance for new construction and full width reconstruction projects. Projects over 1.5 km in length, exclusive of bridges, should be designed in accordance with the PTDM ESAL-based design procedures discussed in Section 3.2.4.4. The two suitable options are full-width (outside of shoulder to outside of shoulder), full-depth sections of either HMA or PCC. New pavement projects less than 1.5 km in length may be exempted by the Regional Design Engineer and may be designed in accordance with the conventional design procedures presented in Section 3.2.4.3. 3.2.4 11/20/98

TYPICAL SECTIONS

3-9

Widening projects should use pavement sections that are compatible with the existing pavement design. Typically, this means that the total thickness of binder and top will be the same (preferably) or slightly greater. The same applies to the base and to the subbase layers. Furthermore, it is critically important that the effectiveness and continuity of any existing drainage layers be maintained or enhanced. The goal is to develop a widened section that will have the same response to frost, traffic loads and other effects as the existing section. 3.2.4.3 Conventional Pavement Design Conventional pavement design should be based on both the total amount of traffic and the amount of truck traffic. Conventional concrete slabs should typically be unreinforced and 6 m long on new facilities and 6.096 or 6 m on existing facilities. Designers working with older roads should be aware that some concrete pavements were built with 60 and even 100 foot long slabs. When placed adjacent to existing slabs, joints should generally be made, at a minimum, at the same locations as the existing joints. The first two slabs following the departure bridge approach slab should be reinforced. Table 3-3 gives the pavement depths that should be used for given traffic volumes. For the Interstate system, the following are minimum requirements for conventional pavement design. 1) 2) 3) The depth of PCC pavement for all Interstate mainlines shall be 225 mm. If HMA pavement is selected, heavy truck traffic shall be assumed for the pavement design. The interchange ramp pavements should generally be built of HMA with a minimum thickness of 140 mm. The ramp pavement thicknesses should also satisfy the values shown in Table 3-3. When arriving at pavement thicknesses for ramps, consideration should be given to heavy truck destination points in the immediate vicinity, such as truck terminals or refueling areas, and the pavement thickness increased accordingly. PCC pavement may be used on high speed ramps (80 km/h or greater) to preserve continuity with a PCC paved mainline. The joint between PCC mainlines and HMA ramps should be at the first transverse joint beyond the separation of mainline and ramp pavements. The change in pavement type should be at right angles to the ramp.

4) 5)

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3.2.4.2

3-10

TYPICAL SECTIONS

Table 3-3 Conventional Pavement Thickness Guide Design Hour One-way Traffic Subbase Course (all Pavements) Portland Cement Concrete Pavement 225 mm 225 mm 300 mm 225 mm 200 mm 200 to 300 Under 200 Vehicles 300 mm 300 mm Not Applicable Not Applicable Traffic Makeup Hot Mix Asphalt Pavement Base Course Heavy Normal Heavy Normal All All 200 mm 150 mm 150 mm 100 mm 75 mm 75 mm 65 mm** 25 or 40 mm 65 mm** Top* Courses 65 mm**

Over 500 Vehicles 300 to 500

300 mm

*This includes the thickness of both Binder and Top courses. **Where Heavy Duty or Rut Avoidance mixes are used (see Appendix), lift thickness limits will yield a minimum combined thickness of 80 mm. SUPERPAVE materials require a minimum combined thickness of 80 mm (or 90 mm if ESALs exceed 3 million). Heavy traffic is defined as being made up of more than 10% trucks and assumes at least half of the trucks are at or near the legal maximum weight. Normal traffic is defined as being made up of less than 10% trucks and assumes at least half are at or below the legal maximum weight.

3.2.4.3

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TYPICAL SECTIONS 3.2.4.4 ESAL-Based Pavement Design

3-11

The key input variable in the ESAL-based design process is the anticipated amount of heavy truck traffic. The truck traffic is measured and converted to a number of 80 kN Equivalent Single Axle Loads (ESALs). Appendix A of the PTDM introduces this aspect of traffic prediction. For flexible (HMA) pavements, a second key input variable is the load carrying capability of the materials below the pavement. This element is termed the Soil Resilient Modulus (Mr). This modulus is dependent on the characteristics of the underlying soil. The value of the modulus for given locations may be obtained from the Regional Geotechnical Engineer. Using the input variables and the tables in the PTDM, the designer obtains either the concrete slab thickness and length, dowel bar diameter, and tie bar length and number for a PCC option, or, for an HMA option, the overall asphalt thickness exclusive of the permeable base. Subsequent sections in this chapter provide guidance on determining the thickness of the individual layers that make up the overall asphalt thickness. As with conventional PCC design, the first two concrete slabs following the departure bridge approach slab should be reinforced. Several features of new and reconstructed ESAL-based pavement sections that were not standard prior to 1993 are 1) the 100 mm permeable base layer, 2) the use of edge drain systems along both edges of pavement, and 3) full depth shoulders (same pavement section as mainline). The PTDM introduced another significant change to Portland Cement Concrete Pavements by relocating the joint between shoulders and travel lanes to be 0.6 m outside of the travel lane.

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3.2.4.4

3-12

TYPICAL SECTIONS

3.2.4.5 Hot Mix Asphalt Selection Guidelines Beginning in 1999, the normal asphalt mixes for projects should be SUPERPAVE items. The use of Marshall mix items on a given project should have the approval of the Regional Materials Engineer. Any projects using conventional asphalt mixes should have material selection done in conformance with Appendix A. As indicated in Tables 3-6 and 3-7, selection criteria for binder and top courses should be based on the Functional Classification as defined in the Highway Sufficiency Rating manual (see Table 3-4, below), the Equivalent Single Axle Loads (ESALs) and, in some cases, the Average Annual Daily Traffic (AADT). The PTDMs recommended parameters for determining ESALs are intended for structure selection and are generally overly conservative for mix design. Mix design ESALs should not be overestimated for the following reasons: 1. 2. the aggregate properties and binder specified may be restrictive and costly, and the pavements anticipated service life may not be obtained if the predicted traffic is not present to provide reworking and compaction of the asphalt.

Therefore, when calculating ESALs for SUPERPAVE mix design, the following parameters should be used in the simple method for compound traffic growth as described in the PTDM. Criteria Design Life Percent of Trucks in Design Lane Compound Truck Weight Growth Rate Compound Truck Volume Growth Rate Input Parameter 20 years 1 lane = 100, 2 lanes = 85, 3 lanes = 70, 4 lanes = 60 0.5% 2%

When the difference between the calculated design ESALs and the next lower ESAL design level is less than 10% of the lower ESAL mix design level, consideration should be given to using the lower design level. The Regional Materials Engineer should be consulted in these situations. (For example: Calculated ESALs are 10.3 million. Choose the <10 million design level instead of the <30 million level.) Table 3-4 Functional Classification Code Descriptions (Highway Sufficiency Rating) URBAN Principal Arterial Interstate Principal Arterial Expressway Principal Arterial Other Minor Arterial Collector Local 3.2.4.5 11 12 14 16 17 19 RURAL Principal Arterial Interstate Principal Arterial Other Minor Arterial Major Collector Minor Collector Local 01 02 06 07 08 09 11/20/98

TYPICAL SECTIONS

3-13

The selection and specification of asphalt for SUPERPAVE projects is dependent on numerous factors. Those factors are discussed below. Selection of items should be in accordance with the tables. Note that this discussion applies to mainline production paving. Shoulders and Truing and Leveling are discussed in Sections 3.2.4.5 H, I and J. Location / Exposure - The Performance Graded Binder (PGB) used to bind the aggregate together shall be based on the environment that the binder will be subjected to. These effects can be taken into account by looking at geographic location as a substitute for temperature range. The designer will have to provide a special note in the proposal (see Section 3.2.4.5 D, Special Note Development) indicating which PGB shall be used in which locations. Grade Bumping - Special deterioration conditions, such as wheelpath rutting, shoving or corrugations, may occur where the pavement is subjected to higher than normal loads. Problems occur where traffic is heavy (20 year ESALs exceed 10 million), the grade exceeds 4%, or where traffic is regularly accelerating or decelerating, such as at intersections. Table 3-5, Performance Graded Binder Selection, defines which PGB is to be used as the bumped grade when 1) the traffic level is greater than 10 million ESALs based on a 20 year design life or 2) the traffic level is greater than 3 million ESALs and the roadway segment contains (a) grades in excess of 4.0% or (b) intersections that have traffic control signals (3 light signal). Repetitive Stress - ESAL-based pavement design is based on the premise that pavement damage is directly related to the heaviest load that the pavement is subjected to. ESAL-based design adjusts for this factor by estimating the total number of equivalent single axle loads that the pavement will be subjected to over its design life. The equivalencies are discussed in the PTDM. Basically, many light loads, such as those produced by passenger vehicles, are needed to produce the same distress as is produced by one heavy load. At the other extreme, one very heavy load will cause the same distress as numerous heavy loads. With ESAL-based designs, the pavement thickness is increased as a function of the ESALs. With SUPERPAVE, the asphalt binder and mix selection itself will also be a function of the heavy loads. See the beginning of this section for a discussion of the differences in determining ESALs for pavement structure and for mix selection. Friction - Pavement friction is dependent upon the coarse aggregate in the top course and, in time, the volume of traffic (AADT) passing over it. In areas where high traffic volumes are anticipated, aggregates having the appropriate resistance to polishing must be used. Different friction aggregate requirements are specified in certain locations in the state or where the pavement is considered to be high volume. Functional Classification - The functional classification of a highway, whether it is a U11 - Urban Principal Arterial Interstate, an R06 - Rural Minor Arterial, or other, is also factored into the selection process, even though the classification typically will not reflect pavement wear and distress as directly as will the ESAL count and the AADT. The full list of classifications, based on the system used in the Department's Highway Sufficiency Rating Manual, is presented in Table 3-4. Neighborhood Sensitivity - A key means of obtaining long-lasting pavements is to ensure that the material is thoroughly compacted. By carefully selecting the gradation and using appropriate compactive effort, a dense pavement can be obtained. However, this compactive effort may be so 11/20/98 3.2.4.5

3-14

TYPICAL SECTIONS

high that it could potentially damage sensitive structures, such as weak, old masonry structures that are in close proximity to the work. Where any of the neighborhood structures are potentially subject to damage from vibratory compaction, asphalt specifications with a lower compactive effort requirement (Section 3.2.4.5 B) should be used and notes should be included on the plans and Special Notes in the proposal indicating that vibration either 1) shall not or 2) should not be used during compaction of the asphalt in that area. Refer to Section 3.2.4 for sample Notes. Monitoring Considerations - As mentioned above, a primary concern in monitoring the quality of the product is assuring that the appropriate compaction has been achieved. On large jobs, it is reasonable to use a direct method, such as coring, to verify the density. On smaller jobs, it is reasonable to use indirect methods, such as nuclear density gauge readings to evaluate density. Since the method of monitoring the density is part of the specification for the item, the designer needs to include this decision in selecting which item to specify. Smaller jobs will be considered as those where less than 5000 Mg (metric tons) of each course is placed in a single location. A. Gradation Considerations

Binder Course - The choices in maximum aggregate size for the binder course are 19.0 mm and 25.0 mm. The larger 25.0 mm size should be used for pavements with an estimated 20 year ESAL count of over 3 million. Larger aggregate sizes require greater lift thicknesses to ensure thorough compaction. Top Course - In some regions, particularly the southern tier, sources of good quarry aggregate are limited and reliance is placed on gravel deposits which may contain unsound material. To help remove the unsound material and create angular faces, gravel should be crushed and screened. As a result of this process, the overall size of the aggregate available for use in asphalt pavements is reduced. To accommodate this, the Regional Materials Engineer may approve the use of a top course mix with a maximum nominal aggregate size of only 9.5 mm, rather than the preferred 12.5 mm. Designers of projects in affected areas should be aware of this issue and make sure that the Regional Materials Engineer has been consulted to determine the appropriate gradation to specify. B. Interpreting Item Numbers

An item number, such as 18403.376131 may be interpreted as follows. Responsible Organization - The first two digits indicate the organization that developed or issued the item number. In the example above, the 18 designates that the Special Specification was developed by, or on behalf of, the Materials Bureau. Refer to Chapter 21, Section 21.3.1 for a full listing of the designations. General Item Number - The three digits to the left of the decimal place. In the example above, 403 designates Hot Mix Asphalt.

3.2.4.5

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TYPICAL SECTIONS

3-15

Nominal Maximum Size - The two digits to the right of the decimal indicates the nominal maximum aggregate size in millimeters. In the example, the 37 indicates that the dimension of the nominal maximum aggregate is 37.5 mm, which is a base course mix. Top course mixes include 9.5 mm and 12.5 mm, and the binder course mixes include 19.0 mm and 25.0 mm. The 9.5 mm mix should only be used when recommended by the Regional Materials Engineer. Use of the 19.0 mm binder mix should only be considered when the computed ESALs are < 3.0 million, in which case its use is preferred. Field Compaction Procedures - The third digit after the decimal indicates the compaction monitoring requirements to be utilized in the field. A 5 indicates the highest level of compaction monitoring which requires the Contractor to take daily cores of the each days new pavement. A 5 should always be specified on full and partial access controlled pavements. The 6 in the example above indicates that pavement density monitoring is performed using a density monitoring device, such as a nuclear density gauge. For correlation to density testing, pavement cores are taken from the test section with additional cores taken at the discretion of the EIC. The cores are used to determine if a quality adjustment factor (QAF) will be applied. A 6 should be specified for all pavements where a 5 or 7 is not appropriate. A 7 indicates that pavement density will be monitored using a density monitoring device, without coring, and that the Target Density will be established by peaking out the density monitoring device during the compaction of the test section. (Peaking out occurs when the gauges detect no significant increase in density in spite of continued efforts to compact the test section.) All devices that will be used for subsequent monitoring of the production compaction must be calibrated during the compaction of the test section. A 7 should always be used 1) in areas where the Regional Materials or Geotechnical Engineer judges that there may be a vibration sensitivity problem and the possibility of damaging homes, historic sites, etc. due to excessive vibration during compaction, or 2) when less than 5000 Mg (Metric Tons) of each course will be placed in a single location. If a 7 is specified due to vibration concerns, notes should be provided on the plans indicating where vibration should not be used. In addition, a Special Note should be provided in the Proposal indicating that the test section should be compacted without vibration and that given areas, or the entire project, are not to receive vibration during compaction. Friction Aggregate - The fourth digit after the decimal place is either a 1 or a 2, indicating the type of friction aggregate to be used. A 1 should be specified on all roadways, regardless of traffic volume, in Dutchess, Orange, Rockland, Putnam, Westchester, Nassau, and Suffolk counties and the City of New York and in all other counties on roadways with a design year two-way AADT $ 8000 for 2 or 3 lanes or $ 13000 for more than 3 lanes. A 2 should be specified on roadways (in counties not specified above) with a design year two-way AADT < 8000 for 2 or 3 lanes or < 13000 for more than 3 lanes. Quality Units - The fifth digit after the decimal place has been reserved for quality payment adjustments, which are applicable to all hot mix asphalt mixtures paid for by the ton. A 0 is reserved for the Specified Contract Item. In preparing typical sections and calling out items, the designer should only use a 0 in this position. The contract, however, should have individual items for each quality adjustment factor specified for that project by the Materials Engineer. A 1 indicates a quality payment adjustment for Plant Production, and will be included in all 11/20/98 3.2.4.5

3-16

TYPICAL SECTIONS contracts that include Hot Mix Asphalt Items paid for by the ton. A 2 indicates a quality payment adjustment for Pavement Density, which will be included in high level compaction projects. Some adjustment factor items will be used less frequently. In the example above, for instance, the 3 indicates a quality payment adjustment for Longitudinal Joint Density. A 4 indicates a quality payment adjustment for Pavement Smoothness. Quality payment adjustment for other pavement properties may also apply in the future. Revision Number - The sixth digit after the decimal place is used to display the revision number. The 1 in the example indicates that it is the first version of the specification. C. Performance Graded Binder Selection

Currently, it is necessary to select, and indicate on the first typical section in the plans that calls out asphalt items, the specific performance graded binder to be used. While guidance on the selection is provided below, designers should confirm all choices with the Regional Materials Engineer before finalizing the binder selection. Table 3-5 indicates the performance graded binder (PGB) that should be specified for each "temperature zone". Table 3-5 Performance Graded Binder Selection
Location by County Location by Latitude Dominant Performance Grade and (Spec Number) PGB Grade Bumping1

Jefferson, Lewis, St. Lawrence, Franklin, Clinton, Essex, and the northern sections of Herkimer, Oswego, Hamilton, Warren, and Washington Counties All Other Counties Orange, Putnam, Rockland, Westchester, Nassau, Suffolk Counties and City of New York 1.

> 43-30'

58 -342 (702-5834)

---

# 43-30' and $ 41-30' < 41-30'

58 -28 (702-5828) 64 -22 (702-6422)

64 -28 (702-6428) 70 -22 (702-7022) 76 -223 (702-7622)

These grades should be used if 1)the traffic level is greater than 10 million ESALs based on a 20 year design life or if 2)the traffic level is greater than 3 million ESALs and the roadway segment contains (a) grades in excess of 4.0% or (b) intersections that have traffic control signals (3 light signal). See beginning of Section 3.2.4.5 for discussion of ESAL counts. A 58 -28 may be used when a single course overlay is being placed. The use of a PG 76-22 requires the approval of the Regional Materials Engineer.

2. 3.

3.2.4.5

11/20/98

TYPICAL SECTIONS D. Special Note Development

3-17

The specification of the binder grade and the mixtures design level of 80 kN ESALs must be conveyed to the Contractor in the form of a Special Note in the proposal. The note should read as follows: The Contractor should be aware that this is a performance-related specification in which the
Contractor is responsible for compacting the pavement within a specified density range. The Contractor must be prepared to select, operate, and control the paving and compaction equipment, to monitor the results, and to make necessary adjustments (without direction from the Engineer) to achieve the specified density results. Written instructions for determining pavement density and core locations are available from the Regional Materials Engineer or the Director, Materials Bureau. The Performance Graded Binder used in the production of SUPERPAVE Hot Mix Asphalt mixtures shall be a PG [XX-XX] as defined by AASHTO Provisional Standard MP1 - Standard Specification for Performance Graded Asphalt Binder. [YYYY] The mixture designs must be developed in accordance with the criteria specified in the SUPERPAVE Hot Mix Asphalt Items that are appropriate for an Estimated Traffic level of [ZZZ] Million 80 kN ESALs. Under no circumstances shall the Performance Graded Binder content in the hot mix asphalt be less than 5.6% for a 9.5 mm design, 5.0 % for a 12.5 mm design, 4.3% for a 19.0 mm design, or 4.0% for a 25 mm design.

The bracketed portions of the Special Note may be substituted as follows: First Bracket [XX-XX] [58-34] [58-28] [64-28] [64-22] [70-22] [76-22] Second Bracket [YYYY] [] [A PG 58-34 or PG 64-28 may be substituted for the PG 58-28 at the Contractor's discretion.] [] [A PG 64-28, 70-22 or 76 -22 may be substituted for the PG 64-22 at the Contractor's discretion.] [] []

Third Bracket [ZZZ] Use [<0.3], [<1], [<3], [<10], [<30], [<100], or [$100] as appropriate. (The Estimated Traffic level for Parkways shall be <3.0 Million 80 kN ESALs.) Note: The first and second bracket (PG grade) are dependent upon each other, however the third bracket (ESAL level) is independent of the first and second brackets.

11/20/98

3.2.4.5

3-18 E.

TYPICAL SECTIONS Asphalt Item Selection

Selecting the total thickness of the asphalt section (how much base, binder and top) will depend on the requirements discussed earlier for either conventional asphalt design (Section 3.2.4.3) or ESAL-based design (Section 3.2.4.4). For some low volume roads, the minimum course thicknesses may actually govern. Selection of the specific SUPERPAVE asphalt item type will involve four decision steps as laid out moving from left to right in Tables 3-6 and 3-7. The decisions are as follows. 1. 2. 3. What is the project's Functional Classification? If it has a Principal Arterial classification, does it have either Full or Partial Control of Access, or not? What is the projects location, 20 year ESAL count, and AADT/lanes relationship? For the tables, the City of New York, and the surrounding counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suffolk and Westchester are referred to as 'downstate'. All other areas are referred to as 'upstate'. 'High volume' refers to 2 or 3 lane highways with design year two-way AADTs over 8000, or for more than three lanes, with two-way AADTs over 13,000. Low volume refers to highways with lower volumes for the specified number of lanes. Does the project involve less than 5000 Mg of each lift or is it in proximity to areas where vibratory compaction may be a problem?

4.

Within each section of tables 3-6 and 3-7, the subdivision of choices places the preferred, longer-lasting pavement option first. F. Specialty Top Course Mixes

Information regarding Superpave Ice Retardant Top Course and Type 10FX Open-Graded Surface Course may be found in Appendix A.

3.2.4.5

11/20/98

TYPICAL SECTIONS Table 3-6 Pavement Selection for Principal Arterials Functional Classification U11 - Urban Principal Arterial Interstate U12 - Urban Principal Arterial Expressway U14 - Urban Principal Arterial Other R01 - Rural Principal Arterial Interstate R02 - Rural Principal Arterial Other
1.

3-19

Full/Partial Control of Access

Downstate1 OR High Volume

Over 5000 Mg AND NOT vibratory sensitive

Mix Type

Yes

18403.ZZ51QR (Top and Binder) 18403.3761QR (Base) Yes Yes No 18403.XX71QR 18403.XX61QR

No Yes No No 18403.XX72QR 18403.XX62QR

2. 3.

4. 5.

The City of New York, and the surrounding counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suffolk and Westchester are referred to as 'downstate'. All other areas are referred to as 'upstate'. 'High volume' refers to 2 or 3 lane highways with design year two-way AADTs over 8000, or for more than three lanes, with two-way AADTs over 13,000. Low volume refers to highways with lower volumes for the specified number of lanes. ZZ aggregate size may be 25.0 mm for binder, 12.5 mm or 9.5 mm for top. Note that 9.5 mm top requires concurrence of Regional Materials Engineer. XX aggregate sizes may be 37.5 mm for base, 25.0 mm or 19.0 mm for binder, 12.5 or 9.5 mm for top. Note that 25.0 mm aggregate size for binder is required when the 20 year ESAL projection is greater than 3 x 106. The 19.0 mm aggregate size binder is preferred for ESAL projections less than 3 x 106. Note also that 9.5 mm aggregate size for top requires concurrence of the Regional Materials Engineer. Q has been reserved for Quality Payment Adjustments. R has been reserved for Revision Number.

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3.2.4.5

3-20

TYPICAL SECTIONS Table 3-7 Pavement Selection for General Highways Functional Classification U16 - Urban Minor Arterial U17 - Urban Collector U19 - Urban Local R06 - Rural Minor Arterial R07 - Rural Major Collector R08 - Rural Minor Collector R09 - Rural Local
1.

Downstate1 OR High Volume

Over 5000 Mg AND NOT vibratory sensitive Yes

Mix Type

18403.XX61QR

Yes No 18403.XX71QR

Yes No No

18403.XX62QR

18403.XX72QR

2.

3. 4.

The City of New York, and the surrounding counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suffolk and Westchester are referred to as 'downstate'. All other areas are referred to as 'upstate'. 'High volume' refers to 2 or 3 lane highways with design year two-way AADTs over 8000, or for more than three lanes, with two-way AADTs over 13,000. Low volume refers to highways with lower volumes for the specified number of lanes. XX aggregate sizes may be 37.5 mm for base, 25.0 mm or 19.0 mm for binder, 12.5 mm or 9.5 mm for top. Note that 25.0 mm aggregate size for binder is required when 20 year ESAL projection is greater than 3 x 106, but 19.0 mm is preferred for lower projections. Note also that 9.5 mm aggregate size for top requires concurrence of Regional Materials Engineer. Q has been reserved for Quality Payment Adjustments. R has been reserved for Revision Number.

G.

Lift Thickness Limitations

In general, minimum lift thicknesses are constrained by the maximum size of the aggregate that is to be compacted. Maximum lift thicknesses are set to ensure that the full thickness of the lift is adequately compacted. If the required course thickness (structural requirements in Sections 3.2.4.3 and 3.2.4.4) of a given item exceeds the maximum permissible lift thickness, then multiple lifts are to be used to obtain the required course thickness. The following table lists the minimum and maximum lift thicknesses for the various nominal maximum aggregate sizes.

3.2.4.5

2/23/00

TYPICAL SECTIONS

3-21

Table 3-8 Limits on Permissible Lift Thicknesses Maximum Nominal Aggregate Size (mm) 37.5 25.0 19.0 12.5 9.5 H. Designed Pavement Shoulders Minimum Lift Thickness (mm) 75 50 40 40 40 Maximum Lift Thickness (mm) 125 75 75 50 50

Design of the shoulder section is discussed in Section 3.2.5 and elsewhere. With respect to materials, any shoulders requiring base or binder should use the same base and binder items as the mainline pavement. The specifications for those items allowed reduced frequency of testing for their use in shoulders. For the shoulder surface course, either an Item 18403.1282QR or 18403.9582QR may be used for all Functional Classifications. These items do not require friction aggregate. These mixtures must be used with the appropriate matching main-line top course (i.e., use the 12.5 mm nominal shoulder mixture with a 12.5 mm mainline mixture). The thicknesses of shoulder top courses shall be identical to those of the mainline. I. Optional Flexible Shoulders

Note that, as of the date of this revision, efforts are under way to provide guidance on thickness designed shoulders that will essentially end the specifying of Optional Flexible Shoulders. In the meantime, if Optional Flexible Shoulders are specified, Item 18303.0182QR should be used. This will permit the Contractor the option of selecting from up to five alternative flexible shoulder systems. On a given project, the designer should insert a Special Note in the proposal if any of the options are to be precluded. No friction aggregate requirements exist for this Item. J. Truing and Leveling

Item 18403.2182QR is the SUPERPAVE Truing and Leveling item, which should be used to establish the proper cross-slope and grade. Selection of the appropriate mixture should be left to the discretion of the project Engineer-In-Charge depending on the thickness needed for the truing and leveling course. No friction aggregate requirements exist for this item and it may be used for all Functional Classifications.

2/23/00

3.2.4.5

3-22 3.2.4.6 Subgrade Considerations

TYPICAL SECTIONS

Regardless of the design procedure used, the pavement structure should be supported on a properly prepared subgrade. Chapter 9 - Soils and Foundations contains detailed information on the many issues and options available. The PTDM also has a brief discussion. Only a generalized introduction is presented below. Once the alignment has been determined, the Regional Geotechnical Engineer will determine the amount of subsurface testing and investigation that is required and will subsequently identify the need for any special subgrade preparation procedures such as preloading, surcharging or undercutting for placement of select granular subgrade, and, if so, the required depth of cut, the type and thickness of fills, and any special sequencing requirements. The Standard Specifications, Section 203-Excavation and Embankment, cover materials and placement requirements. In general, where embankment fill is required, suitable material is used to bring the embankment up to subgrade surface. Suitable material is generally defined as any inorganic soil, blasted or broken rock and similar materials of natural or man made origin, or mixtures thereof. In the subgrade area, usually defined as the 0.6 m zone below the subgrade surface, particles greater than 150 mm in maximum dimension are not permitted. In situations where the Regional Geotechnical Engineer has determined that the existing soils in the subgrade area are potentially susceptible to frost heave and/or offer poor foundation support, placement of a layer of Select Granular Subgrade under the subbase course may be specified. When used as a frost layer, the thickness is normally limited to 600 mm, but may be up to 900 mm, or occasionally more, when used for subgrade stabilization. The specific type of treatment and its geometry will be determined by the geotechnical engineer to suit the actual conditions encountered. One likely set of placement details is shown for illustrative purposes in Figure 3-3. Note that drainage is usually provided at the low point of the select granular subgrade. The use of edge drains is standard for ESAL-based designs. An edge drain consists of two functioning components: the pipe and the underdrain filter material. The standard construction sequence should consist of 1) excavation of a 300 mm wide trench, 2) placement and grading of 100 mm of underdrain filter material, 3) positioning of the pipe, and 4) placement and compaction of additional underdrain filter material up to the working surface. Refer to Figure 3-6. The lateral position of the drain is intended to prevent it from being damaged when guide rail posts are driven. The depth of the pipe should provide positive drainage for the permeable base and subbase, yet be high enough to permit the outlet pipe and the underdrain filter material to daylight above the finished invert of the roadside ditches. The preferred depth for the bottom of the edge drain trench is 300 mm below the bottom of subbase, with the pipe invert being placed 200 mm below the bottom of the subbase. In some situations, particularly on older, lower volume roads, the roadside ditch invert may not be deep enough to permit positive drainage of edge drains placed at the preferred depth. In those instances, the designer may raise the edge drain pipe inverts as high 100 mm above the bottom of the subbase. If that depth still presents problems with positive drainage, consult the Regional Geotechnical Engineer. It is desirable to have one consistent depth for the edge drains throughout a given project. However, the benefits of deeper edge drains should not be routinely abandoned for the sake of consistency. 3.2.4.6 11/20/98

TYPICAL SECTIONS

3-23

If the areas where edge drain depth presents a problem are limited to discrete portions of the project, the designer should give serious consideration to specifying the preferred depth for most of the project and providing special details for those portions of the project where a shallower edge drain depth will be required. The typical slope of the outlet pipe should parallel the subgrade surface to permit excavation of a consistent (to the limit of the subgrade surface) depth trench for pipe placement. Where closed drainage systems are being used and it will be feasible to stub into field inlets, etc., the Geotechnical Engineer should be consulted for the appropriate depth and location of the edge drain. Similarly, for conventionally designed pavements, the Regional Geotechnical Engineer should be consulted as to the appropriate extent and location of edge drains. In general, edge drains are standard practice on rubblized sections and should be provided at sag vertical curves and along the low side of superelevated sections on new and reconstructed conventionally designed pavements. For further discussion and details, refer to Chapter 9. In both conventional and ESAL-based sections, a Subbase Course, Item 304.XX, typically 300 mm thick, is constructed on the subgrade surface prior to placing the pavement items. Under the full depth portions of the pavement sections for both conventional and ESAL-based designs, the subgrade surface should parallel the top surface. In ESAL-based designs, the slope of the subgrade should parallel the slope of the shoulder out to daylight. In conventional designs, the slope of the subgrade should change under normal shoulders to a 2% slope that should be carried either to daylight or to an edge drain section. The change in slope should occur at a point 0.3 m outside the edge of slab when a concrete pavement is used or at the outside edge of the bottom base course when asphalt pavement is used. Starting at the edge of traveled way, a 50 mm step-out should be allowed for each lift of asphalt that is 50 mm or less in thickness and a 100 mm step-out should be allowed for each lift of asphalt that is over 50 mm in thickness. Under heavy duty shoulders (see Section 3.2.5), the subgrade surface should parallel the top surface and should change to a 2% slope outside of the bottom lift of asphalt base course as described above. Under the shoulders, longitudinally, the transition of the subgrade surface from normal to heavy duty slopes and from heavy duty back to normal slopes should occur over distances of 10 m. For an illustration of the recommended subgrade surface slope changes, refer to Figure 3-4, Conventional Edge of Traveled Way Details.

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3.2.4.6

3-26 3.2.5 Shoulders

TYPICAL SECTIONS

In traditional NYSDOT usage, shoulders are considered to be a part of the roadway. Note, however, that the Vehicle and Traffic Law definition of roadway excludes the shoulders. | | Shoulder width and horizontal clearance are two of the critical design elements defined in Chapter 2 and for which minimum requirements are provided. (Note again, the separate standards for 3R projects in Chapter 7.) Additional width and markings may be required to accommodate bicycle traffic. The typical sections are to indicate the widths of the shoulders. Where there will be several changes in width within the project area, a table should be included in the plans showing the station limits for the various widths. When a consistent width shoulder cannot be provided, such as on some 3R projects with restricted right-of-way, the maximum and minimum widths should be indicated on the section along with the word varies. Where highways cross railways at grade and on skews $ 30, shoulders that may be used as bikeways should be locally widened to permit bicyclists to cross the rails at right angles. Refer to Chapter 18 for other bicycle facility guidance and for guidance on pedestrian use of shoulders. If an HMA shoulder is a designated bikeway or heavily used by bicyclists, the nominal maximum aggregate size of the top course should not exceed 12.5 mm, as coarser surfaces, while safe for bicycling, may be rough enough to lead bicyclists to choose to use the traveled way instead. In some residential areas, particularly where no ditches or only shallow ditches are required, rutting problems may develop at the edge of the shoulder. Refer to Section 3.3.5 for a discussion of some of the measures that may be taken to address this problem. 3.2.5.1 Shoulder Cross Slopes and Rollover Limitations The normal cross slope for shoulders on a normal section or the low side of a banked curve should be 6%. When the lane is superelevated beyond 6%, however, the cross-slope of the low side shoulder should be increased to match that of the adjacent lane. Rollover, the change in cross slope between two adjacent highway lanes or between a highway lane and its adjacent shoulder, is a critical design element. Chapter 2 lists the design criteria limit for rollover (algebraic difference in grades) between the traveled way and the shoulder. For all classifications of new and reconstructed facilities, the maximum rollover rate is 10% for narrow (1.2 m or less) shoulders and 8% for wide (greater than 1.2 m) shoulders. Cross slope breaks within the shoulder are not to exceed an algebraic difference of 10% where the breaks occur 1.2 m or less from the outside edge of shoulder and 8% where they occur greater than 1.2 m from the outside edge of shoulder. Where the traveled way is superelevated at 6% or less, an 8% maximum rollover rate is preferred for narrow shoulder widths. This means that where the traveled way is banked at 6%, a 1.2 m wide high-side shoulder should desirably be sloped no more than 2% away from the traveled way, and in no case more than 4% away from the traveled way. For illustrations of requirements and guidance on the preferred shoulder slopes, refer to Figure 3-5 Recommended Rollover Combinations. Normally, the rollovers will occur 1.2 m from the edge of shoulder, but may also occur at the edges of the traveled way for HMA pavements and 0.6 m outside the right edge of the traveled way of new rigid pavements. For projects on the NHS, rollover rates over 8% are to be justified as nonstandard features per Chapter 2, Section 2.8 of this manual and approved in accordance with the Design Related Approval Matrix. 3.2.5 7/9/04

11/24/03 TYPICAL SECTIONS 3-27

Figure 3-5 Recommended Rollover Combinations

3.2.5.1

3-28 3.2.5.2 Shoulder Thicknesses

TYPICAL SECTIONS

[NOTE: The Department recently made the decision to use shoulder thickness designs that are based on the expected amount of heavy traffic that the shoulders would be subjected to over their target design life. The specific guidance should be issued within a few months of the issuance of this revision. Designers are advised to use that Engineering Instruction for shoulder thickness design once it has been issued.] The 1994 PTDM (New York State Thickness Design Manual for New and Reconstructed Pavements, revision of October, 1994) issued the new shoulder thickness design policy for ESALbased designs: full-depth tied PCC shoulders for rigid pavements and full-depth HMA shoulders for flexible pavements. On conventionally designed shoulders, the normal thickness will be a minimum of 100 mm. The designer may specify Item 303.01, Optional Flexible Shoulder or may specify an equal or thicker section that is appropriate for the situation. Item 303.01 provides the contractor with several different options of courses and thicknesses to choose from to obtain the 100 mm minimum total thickness. Note that the Type I Optional Flexible Shoulder, which is only required to include 25 mm of top over 75 mm of bituminous stabilized course, should not be used where there is a likelihood that milled-in rumble strips ( 3.2.5.4) will be added in the future. Conventionally designed shoulders, including those on retrofit projects, must address the need for subgrade drainage. The Regional Geotechnical Engineer should be consulted for specific recommendations. There are some locations where conventionally designed shoulders will typically be subjected to more than normal traffic. To prevent premature damage to the shoulders, these locations should be provided with more durable shoulders. The usual approach is to specify that the shoulder be constructed with the same section or a section equivalent to that used in the traveled way. This thicker than normal, heavy duty shoulder, often referred to as a "beefed-up" shoulder, should be used for shoulders on the inside of curves for ramps, intersections and turning lanes, and for shoulders opposite the leg of T' intersections. Heavy duty shoulders for ramps and intersections with safety widenings (see Chapter 5, Section 5.10.5.5 D) should begin 6.0 m before the P.C. and terminate 3.0 m beyond the P.T. Where safety widening is not provided at an intersection, the heavy duty shoulder should begin 15.0 m in advance of the P.C. and end 3.0 m beyond the P.T. Where right-turning movement AADTs exceed 2500 and the shoulder is likely to be illegally utilized, the heavy duty shoulder should begin 50 m in advance of the P.C. for the shoulder. Under adverse geometric conditions, where large design vehicles will have difficulty negotiating curves or corners without encroaching onto the shoulders, the designer should use truck templates to determine whether the heavy duty shoulder should be extended beyond the limits given above. Bus traffic on shoulders, particularly starting and stopping, can cause rutting and/or rolling of HMA pavements. Where frequent bus traffic on the shoulders is anticipated, heavy duty sections should 3.2.5.2 2/23/00

TYPICAL SECTIONS

3-29

be provided. Concrete stopping pads should be considered at designated transit stops. Local bus companies or transit authorities should be consulted to assess current and projected areas of need. For a variety of reasons, shoulders on high volume highways should be designed for large volumes of traffic. These reasons include: ! Temporary detouring due to accidents, maintenance or construction, ! Legal or illegal use of shoulders as travel lanes during periods of high congestion, and ! Planned conversion of the shoulder to a travel lane. For the above reasons, full depth pavement shoulders should generally be provided on reconstruction projects when the design year AADT exceeds 15,000 vehicles per lane per day. Consideration should also be given to providing full depth shoulders on high volume 3R projects when the inclusion of that work would not result in relatively large cost increases. Note that Revision 1 of the PTDM requires full depth shoulders for new and full width pavement reconstruction projects. 3.2.5.3 Shoulder Breaks On all new or reconstructed highways, the nominal shoulder break should be a minimum of 0.7 m outside the edge of paved shoulder (to provide for present or future guide rail placement and to provide lateral support to the shoulder pavement). The shoulder break surface shall be rounded to a nominal 1.2 m vertical curve for aesthetics, ease of mowing, reduction of eddying that might promote snow drifting, and, most importantly, so that errant vehicles will be less likely to become airborne. Refer to Figures 3-6 for Typical Shoulder Details for ESAL-Based Asphalt Pavement Design and 3-7 for Typical Shoulder Details for ESAL-Based Concrete Pavement.

2/23/00

3.2.5.2

3-32 3.2.5.4 Delineation of Shoulders

TYPICAL SECTIONS

The boundaries of travel lanes warrant clear delineation. Much of the guidance on the necessary delineation is found in the NYS Manual of Uniform Traffic Control Devices, in the booklet Pavement Marking Policy issued in June 1987 by the Technical Services Division and in EI 87-30 Pavement Marking Policy issued in August, 1987. While the above delineation is important, it is generally not necessary to show it on the typical sections. On highways with full or partial control-of-access, it will generally be appropriate for additional delineation to be provided by Audible Roadway Delineators (ARDs), which are also called safety shoulder rumble strips (SAFE-STRIPS). Safety shoulder rumble strips are very effective in reducing Drift-Off-Road (DOR) accidents. The Department is promoting their expanded use on limited access highways. In certain situations, consideration should also be given to using SAFE-STRIPS on highways other than those with some control of access. These situations would include: 1) limited stretches of highway or specific locations with a proven history of DOR accidents, 2) in advance of bridges where the shoulder substantially narrows, 3) at gore areas, and 4) as short warning strips on the outside of curves that follow long tangents. It should be noted, however, that shoulder rumble strips can be a major interference for bicycle traffic and may cause bicyclists to spend more time in the traveled way. Therefore, where the nominal shoulder width is 1.2 m or less and bicycle traffic is permitted, shoulder rumble strips should not be used. On routes where bicycle traffic is permitted and the nominal shoulder width is 1.8 m, the decision to provide shoulder rumble strips should be reviewed by the Regional Traffic Engineer and the Regional Bicycle and Pedestrian Coordinator. On designated bicycle routes having shoulders with a nominal width of 1.8 m, if the decision is made to provide SAFE-STRIPS, the positioning and width of the strip should be such as to leave a nominal width of 1.2 m for bicycle traffic. The preferred means of accomplishing this is to use the milled-in geometry (400 mm width, see below and Figure 3-8A) at a 200 mm offset from the edge of traveled way. With wider shoulders, the shoulder is typically wide enough to accommodate both bicyclists and standard shoulder rumble strip arrangements, in which case the strip may act as a safety buffer between motorized vehicles in travel lanes and bicyclists on the shoulder. One type of shoulder rumble strip, Milled-In Audible Roadway Delineators (MIARDs) may be ground into existing asphalt shoulders. They may also be ground into green concrete and cured concrete shoulders, but the effort and cost are substantially greater. Details of the MIARDs configuration are shown in Figure 3-8A. The broad depression permits some wheel drop and thereby produces a distinct vibration as well as a loud noise. Its effectiveness for large-tired, loud vehicles makes it the preferred type of safety shoulder rumble strip for most applications, particularly when a significant proportion of the traffic is large trucks. A second, less-favored type of safety shoulder rumble strip is the Rolled-In Audible Roadway Delineator (RIARD), which is formed by compacting hot asphalt shoulders with a smooth drum steel roller to which 2.5 NPS pipe halves have been welded. The strips produce a noise when driven over at high speeds, but less than that produced by MIARDs and with much less vibration. Rolled-in strips are significantly less effective than the preferred milled-in type and may also encounter more constructibility and quality control problems, so their use should be limited. As use of denser, leaner 3.2.5.4 11/20/98

TYPICAL SECTIONS

3-33

SUPERPAVE mixes becomes prevalent, increased difficulty is anticipated with the rolling-in operations. Because of the lower noise levels produced, RIARDs may be considered for use in well populated areas or in locations with little truck or bus traffic. Details are shown in Figure 3-8B. There are two types of formed-in ARDs, which are made by forming impressions into freshly placed concrete. One type, Formed-In Corrugated Audible Roadway Delineators (FICARDs) consists of wide patches of corrugations approximately 600 mm by 600 mm. The other type, Formed-In Narrow Audible Roadway Delineators (FINARDs), are only about 180 mm wide by 400 mm long and approximate the shape of the MIARDs. The size and the spacing of formed-in impressions may be varied to suit the situation. Details are shown in Figures 3-8C and 3-8D. When shoulder rumble strips are to be used on highways where access is not limited, adjustments may need to be made for the entrances. Of particular concern are cases where the traffic speed and volume of the mainline are high and there are driveways to adjoining property. It is undesirable to cause traffic exiting from a high speed, high volume highway to slow down in the traveled way before turning off of the highway as this may lead to rear end or sideswipe collisions. If deceleration lanes are not provided, it would be desirable to permit use of full width shoulders for deceleration. If rumble strips were run continuously across the entrance, or if only a short break were provided, drivers might be reluctant to use the shoulder to decelerate due to its bumpiness. The designer should use judgement in deciding how to apply rumble strips in the vicinity of entrances, taking into account the following factors. a) b) c) Mainline volume and speed - the higher these are, the less impediment there should be to using the shoulder for deceleration. Shoulder width - if the shoulder is not wide enough or appropriate to use as a deceleration lane, alteration of the rumble strip location may not be appropriate either. Exiting volume - if the exiting volume is low, such as for an individual residence, the nuisance will be limited to a few times a day. Where exiting volume is very low, such as for field entrances that may only be used a few times a year, no interruption in the rumble strips should be made. For high volume exits without deceleration lanes, such as for local roads or some businesses, the combined effects of the nuisance to drivers, the noise generated, and the potential damage to the rumble strips may warrant alteration of the strip location.

When it is judged that provision should be made to facilitate the shoulders use for deceleration, the line of rumble strips should be set back on the shoulder to permit vehicles to straddle the rumble strips while slowing down. For instance, on a 2.4 m shoulder, the strip should be aligned in the middle of the shoulder for a distance of approximately 100 m prior to the actual exit. The setback should be achieved abruptly, preferably by terminating the line of rumble strips next to the traveled way and resuming it next to that point but in the middle of the shoulder. A continuous line should not be tapered over to the new offset as this could confuse night time drivers as to the location of the edge of the road and has had a poor appearance where it has been done. The same strategy should be considered for deceleration lanes serving median cross-overs on divided highways. If the median deceleration lane is wide enough to accommodate a vehicle outside of the shoulder rumble strip, then the preferred location for the strip should be adjacent to the traveled way. If there is not adequate room for both, then either 1) consideration should be given 11/20/98 3.2.5.4

3-34

TYPICAL SECTIONS

to the possibility of widening the median deceleration lane or 2) the preferred location for the strip should be in the middle of the lane, with offset details as described above. (See Figure 3-8E.) Further information concerning general policy, descriptions, installation criteria, specifications, layout and construction methods is presented in the Department's SAFE-STRIPS Policy developed by, and available from, the Traffic Engineering and Safety Division (EI 97-013). Because of their proven benefits (refer to NCHRP Synthesis Report #191), Safety Shoulder Rumble Strips should be a routine, standard design item on shoulders of rural limited access highways and other selected highways as described in the SAFE-STRIPS Policy. Generally, a site specific benefit-cost analysis will not be necessary to specify the use of SAFE-STRIPS.

3.2.5.4

11/20/98

3-38 3.2.6 Clear Zone Widths

TYPICAL SECTIONS

Chapter 2 defines and provides minimum requirements for lateral clearance. Lateral clearance may be thought of as the distance from the edge of traveled way to any element, curbs excluded, that may affect driver operation. Elements that are perceived as potential hazards may affect driver operation even though the elements are not actually hazardous. The clear zone may be thought of as the distance from the edge of traveled way to an actual obstacle or potential hazard, excluding features such as breakaway signs and non-hazardous elements. Chapter 10 provides a detailed description of the clear zone concept and the process of determining an appropriate design clear zone width. A partial summary of the process follows. For a given design speed, traffic volume, and embankment slope, a basic recovery width is recommended. This is the amount of obstacle-free distance that should be provided adjacent to a tangent section to permit the average driver to recover control of an errant vehicle. Additional distance may be appropriate on the outside of curves. Where fill slopes of between 1:4 and 1:3 (non-recoverable, but traversable) are closer to the traveled way than the required basic recovery width, additional cleared width, flatter than 1:6, should be provided at the base of the slopes since the non-recoverable slope can not be credited towards satisfying the width requirements. This additional cleared width is termed the clear runout width. To provide space for the average vehicles, the minimum clear runout width should be not less than 2.5 m and desirably should be equal to or exceed the amount by which the non-recoverable slope extends into the minimum recovery width. The clear zone is the total roadside border width, starting at the edge of the traveled way, available for safe use by errant vehicles. This may consist of a shoulder, a recoverable slope, a nonrecoverable (but traversable) slope, and a clear runout width. Note that clear zone concerns should be addressed in medians as well as at roadside areas to the right of traffic. When it is appropriate to show the limits from within which fixed objects and other potential hazards are to be removed, the typical sections should indicate the design clear zone width or, where traversable non-recoverable slopes extend into that width, the minimum clear runout width needed at the base of the slope. As indicated in Section 3.4 DRAWINGS, if there are numerous variations in the widths, a separate table should be provided. Where conditions make it impractical to provide an appropriate and reasonable clear zone width, a barrier system should normally be provided as discussed in Chapter 10. (A width is appropriate if it provides enough clear area for conditions. A width is not reasonable if it must be made excessively wide to include broad non-recoverable slopes.)

3.2.6

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3.2.7 Barriers Chapter 10 describes the various barrier systems and provides guidance on selection. Where required, the typical sections should schematically indicate the presence of a barrier and show its position. The normal position of any weak post barrier will provide a minimum distance of 150 mm between the edge of (paved) shoulder and the front of the post. For the heavy post, blocked out Wbeam guide rail, the minimum distance between the edge of shoulder and the post should be 250 mm for the currently approved wooden blockouts. For the previously accepted metal blockouts (now considered outmoded) the distance was 210 mm. As an optional maintenance measure, not related to safety, a 75 mm thick (minimum) layer of asphalt pavement mowing strip may be placed beneath the rails to prevent the growth of vegetation. Where used, it is recommended that the optional mowing strip extend 0.6 m from the edge of paved shoulder for weak post systems and 0.7 m for heavy post, blocked out systems. See Section 3.2.9.4 B and Chapter 10, Section 10.2.3.5 for further discussion of Optional Mowing Strips. Refer to Chapter 10, Section 10.2.3.5 for guidance on the need for extra length posts when posts must be placed close to steep slopes. Where concrete barriers are used, they should be placed as far from the edge of traveled way as possible up to a maximum of 3.0 m, measured at the base, or 3.6 m, where that is the minimum required shoulder width. The intent is to maximize the available recovery area while limiting the likelihood of higher angle impacts that wide separations are more likely to permit. On the inside of curves, exceptions to the maximum offset distances are permitted to the extent necessary to avoid a horizontal sight distance problem. The entire area between the traveled way and the base of the concrete barrier should be paved to at least the thickness of the adjoining shoulder. The position and type of median barriers should be indicated on the typical sections. Barriers should be indicated on the general plans using appropriate symbology. The extent (longitudinal location, limits, lengths, etc.) of the various types (pay items) of roadside and median barriers (including post lengths, post spacings and anchorage units) should be indicated on separate drawings (usually on the Miscellaneous Tables) as tables of guide rail and/or median barrier. Recently issued Engineering Instructions on the use of new guide rail terminals passing NCHRP 350 require that, if the conventional w-beam or box beam terminals are used, they must usually be extended to burial in a backslope or to near the back of the clear zone. This requirement will necessitate that the designed end location for these terminals also be included on the project plans.

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3.2.7

3-40 3.2.8 Medians

TYPICAL SECTIONS

A median is the portion of a divided highway separating the traveled way for traffic in opposite directions. Medians are highly desirable on highways carrying opposing high-speed, high-volume traffic on four or more lanes. The use of uneven medians may be an economical alternative where the topography would necessitate large volumes of earthwork to permit the travel lanes for opposite directions to be placed at the same level. The design of medians should satisfy the clear zone or barrier requirements identified in Chapter 10. In general, medians should be as wide as practical. Refer to Figure 3-9 for Typical Wide Medians. Wider medians tend to reduce the frequency of severe accidents, provide for future lane additions, and lessen headlight glare problems. All transitions in median width should be effected gracefully to preclude any appearance of distorted or forced alignment. When feasible, these transitions should be accomplished along horizontal curves. Drainage systems should be designed for wide medians, while narrow medians may either drain across the pavement or, where curbed medians are used, drain into a drainage system at the edge of the median. Any ditches used in median clear zones should satisfy the traversability, hardware and depth design criteria identified in Chapter 10 and Section 3.2.14. The guidance for selecting the appropriate width and type of median will vary depending upon the highway functional classification, the availability of right-of-way, the traffic volume and speed, environmental considerations, the presence of pedestrians, the degree of control desired over leftturning traffic, and in some cases, the desired type of barriers in the median and the desired width of the median shoulders. In developed areas, and on roads with lower functional classifications, the availability of right-of-way and the economic justification may not be sufficient to permit the use of medians. Where two-lane highways are to be built and expansion to four lane divided highways is anticipated, every effort should be made to obtain all of the necessary real estate at one time. Various narrow median alternatives are illustrated in Figure 3-10 Typical Narrow Medians. Median design considerations for various highway functional classifications are briefly discussed in the following sections. For a more thorough discussion, refer to the respective functional classifications in AASHTO's A Policy on Geometric Design of Highways and Streets, 1994, and to Chapter 18 for pedestrian factors.

3.2.8

11/20/98

TYPICAL SECTIONS 3.2.8.1 Medians for High Speed Facilities (Interstates and Freeways)

3-43

The wider a cleared median is, the lower the cross-over accident rates tend to be. Up to a width of about 20 m, the increased width will generally produce increases in safety benefits. Therefore, where right-of-way conditions permit, it is desirable for high speed facilities to be provided with clear medians at least 20 m wide. Extra width should be allowed where lane additions are contemplated. Note that Chapter 2 provides minimum design criteria of an 11 m wide median for rural interstates and freeways and 3.0 m median for mountainous or urban interstates and freeways. Where a median width of at least 11 m can not reasonably be provided, refer to Chapter 10 for warrants and guidance on the need for and use of barriers in the median. Curbing is not to be used on interstates and freeways except as noted in Chapter 10 for bridge approaches and, where necessary for drainage control, use of a 100 mm traversable curb, as described in Section 3.2.9.1, is permissible. For traffic safety, gently depressed (1:6 or flatter), wide medians are preferred with the full width cleared of obstacles. Where wider natural ground medians are selected and trees or other obstacles are present, fully developed clear zones should be provided in the median for each traffic direction or, if clear zone development is not practical, appropriate barrier systems are to be provided. When evaluating the practicality of developing adequate clear area, it should be remembered that barriers themselves constitute a potential hazard. Refer to Chapter 10 for guidance on median barrier arrangements. Refer to Chapter 5 for details of permanent median cross-over designs. Temporary median cross-overs are sometimes required to fully divert traffic off of a bridge that is to be worked on. Following completion of the work, these cross-overs are to be substantially retained for possible future reuse. To permit them to be retained, the embankments shall either utilize traversable slopes or be adequately shielded in accordance with the guidance in Chapter 10. All asphalt courses should be removed from the temporary cross-over and, after scarifying the surface, replaced with an equivalent depth of topsoil (or more if necessary) and seeded to produce a satisfactory growth of grass. In all cases, the permanent expressway shoulders shall be finished so as to preserve the continuity of their appearance and texture. Any exceptions to this policy shall be noted and explained in the Design Approval Documents (DAD). 3.2.8.2 Medians for Arterials and Collectors New arterials with four or more lanes should be divided by medians. Reconstruction of undivided multi-lane arterials or expansion of two lane arterials to multi-lane facilities should preferably include an appropriate median, particularly for high speed, high volume rural arterials. Medians can be adapted to serve a wide variety of functions on arterials and collectors. Medians may be used to 1) increase the separation between opposing traffic, 2) facilitate the operational efficiency and safety of left-turning movements, 3) limit left turn movements, 4) prohibit left turn movements, 5) provide physical barriers to reduce the frequency of accidental cross-overs, and 6) simplify pedestrian crossings by providing a refuge for non-motorized traffic, when deemed appropriate and ADAcompliant features are provided. The designer (scoper) should consult with the Regional Traffic Engineer and, for existing facilities, perform an accident analysis (see the Traffic and Safety 2/23/00 3.2.8.1

3-44

TYPICAL SECTIONS

Division's Safety Investigation Procedure Manual), to determine what functional objectives should be considered for the medians. Where raised medians are warranted, the designer should refer to Chapter IX, `At-Grade Intersections' of AASHTO's A Policy on Geometric Design of Highways and Streets, 1994 for details of the median openings and intersection geometries. A. Flush Medians with No or Minimal Turn Demands

In areas where there are no driveways or roads to cause left turn movements, a flush paved median of any width equal to or greater than 1.2 m (minimum for divided rural arterial stated in Chapter 2) is permissible and the increased separation of opposing traffic will be desirable as a benefit to safety. However, if there is some turn demand, the use of a flush paved median with a width of 1.2 m is permissible, but widths of between 1.2 m and 2.7 m are to be avoided (especially where ROW is available for 3.0 m medians) as the narrower widths may be inadequate for safe storage of turning vehicles. B. Two-Way Left Turn Lanes

The provision of a flush median as a two-way left turn lane may be justified in areas where there is a need for mid-block left turn movements and either accident analysis or projected turning movements from the through lanes across opposing traffic indicate a significant operational or safety problem. Chapter 2 provides the design criteria for the median widths. The minimum width of a median with left turn lanes on a rural arterial is 3.6 m. The desirable width of a continuous two-way left turn lane (TWLTL) median on an urban arterial is 4.8 m, while the minimum width that should be considered is 3.3 m. For urban collectors, where speeds will typically be lower and ROW generally more restricted, the desired width is 3.3 m, while the minimum is 3.0 m. If narrower lanes are used, accidents are to be expected due to rear-end collisions with the turning vehicle, side-swipes when drivers in the through lane shy away from the turning vehicle, or rear-end collisions when through traffic brakes for the turning vehicle. The need to accommodate significant amounts of crossing pedestrian traffic should be taken as a strong indication not to use continuous TWLTLs. Regardless of whether or not they are used for turn lanes, it is desirable for the surface of flush paved medians to be clearly marked, either by the use of thermoplastic and epoxy reflectorized pavement markings or by color contrasting with the surface of the adjoining travel lanes. The NYS Manual of Uniform Traffic Control Devices provides guidance on appropriate pavement marking and signage. For color contrasting, asphalt pavement may be used adjacent to cement concrete pavement or, in special circumstances, white synthetic binder pavement (see Standard Specifications Section 638) may be used adjacent to asphalt pavement. Because of the high cost and the logistical problems of the extensive preparations necessary for placing the white synthetic binder, its use is generally limited to instances of strong municipal preference. Generally, it may be used where there is a need for a TWLTL, where aesthetics are a consideration, and where the location is in a commercial district. The compacted thickness should typically be 20 mm. The item should 3.2.8.2 2/23/00

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not be used where mid-block turns are prohibited. The delineation effectiveness of the item is not good under wet or night-time conditions. C. Raised Medians with Left Turn Bays

Where higher traffic volumes, sight restrictions, rates of left turning traffic and possibly traffic speeds indicate that a problem may be expected due to the left turning movements, or the accident analysis indicates that there is a problem, consideration should be given to limiting the locations in the median from which left turn movements can be made. The preferred method of separation to restrict the location of turning movements on medium and low speed highways (80 km/h or greater is considered high speed) would be the use of turning bays in 1) a depressed median, 2) a raised curbed median, or 3) where there are few turning locations, a flush median with barriers. It is desirable for the left turn lanes to have a 1% cross slope towards the direction of the turn. Where the curbed median option is selected, mountable curbs are normally used, although non-mountable curbs are permissible on low speed (60 km/h or less) roads. Barriers are not the preferred choice where there are frequent turning bays because of the hazard presented by the frequent ends of the barriers and/or the cost of providing end treatments to make the barriers crashworthy. Raised medians should be separated from the travel lane by a curb offset of approximately 0.6 m. Curbed medians should be removed from any existing medium speed facilities where the accident analysis indicates that there is a significant history of accidents related or attributable to the curbs. Where it is necessary to have pedestrians use medians as refuge areas, non-mountable curbing is to be used on low speed facilities (60 km/h or less) while 150 mm mountable curbing is preferred for medium speed (between 60 and 80 km/h) facilities. In the latter instance, it may be appropriate to provide some form of protective barrier for the pedestrians. In either case, curbed pedestrian islands are to have curb ramps or flush pass-throughs. Flush pass-throughs should be narrow enough to prevent use by cars. In general, the minimum height of curbing at pedestrian refuges should be 100 mm, while 150 mm is preferred. In the absence of pedestrians, mountable bullnoses should be considered at the ends of raised medians. At locations where the ends of islands are likely to be struck by snowplows, (not only potentially seriously damaging, but also potentially dangerous) the leading end of the island should be flared away from the traveled way and depressed to permit the plow to ride up onto the curb. Refer to Chapter 5 for additional guidance on the design of intersections and median openings. Curbed medians are to be avoided on high speed arterials, particularly when speeds exceed 90 km/h. Where traffic volumes are low, but the speeds are 80 or 90 km/h, and it is desired to prevent some turning movements while permitting others, a raised median with mountable curbs (preferably 100 mm) and turning bays may be considered, but only when 11/20/98 3.2.8.2

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TYPICAL SECTIONS there is no other acceptable alternative and when justified in the design approval document as a non-conforming feature. In the same situation, except with high traffic volumes, preference should be given to using barriers in the median to permit turning only at intersections. Because of the destabilization hazard posed to high speed traffic by curbing, any use of mountable curbed medians in this case requires thorough documentation of the justification in the design approval document. The preferred treatments to restrict left turns between the intersections to a few openings, would be the use of 1) flush paved medians or 2) depressed, flush or gently bermed grassed medians with, for any of these cases, appropriate types of median barriers and end treatments, or, 3) for the unpaved cases, sufficient separation width. Curbed medians should be removed from any existing medium or high speed facilities where the accident analysis indicates that the curbs contributed significantly to the accident history. Refer to Chapter 10 for guidance on the need for and use of barriers in medians. D. Medians for Prohibiting Turns

In some instances, the projected traffic volumes and turning movements, or the number of accidents may be great enough to justify designing a median that prohibits left turning movements. As noted above, raised curbed medians should be avoided on high speed facilities in favor of flush paved medians with barriers, although other unpaved median options, such as those discussed above, are satisfactory. For low and medium speed facilities, the prohibition of left turns between the intersections should generally be done with the use of a depressed grassed median or a raised median with mountable curbs. While a non-mountable curb may be used on low speed roads, use of a non-mountable curb on medium speed facilities should be documented as a non-conforming feature. Frequently, municipalities desire to provide landscape development for depressed or raised medians. While this can be done without creating safety hazards, several cautions should be observed. Raised medians should be avoided on high speed facilities. Trees that will grow to diameters in excess of 100 mm shall not be planted in the median clear zone, even on low speed facilities. Mounded beds should not be used on high speed facilities. The location of any landscape features in medians should not interfere with sight distance requirements for either the mainline or at intersections. High maintenance landscaping should be discouraged on high volume, higher speed facilities as the maintenance work will be hazardous to both landscaping workers and traffic. The designer should consult with the Regional Landscape Architect whenever median planting is considered. E. Medians with Continuous Traffic Barriers

Under adverse conditions of high speed and traffic volume, the actual or anticipated incidence of inadvertent cross-median accidents may justify the use of traffic barriers to limit the potential for errant vehicles to cross over into opposing traffic. In this instance, preference should be given to the use of paved flush medians with a barrier or barriers in the median. Openings in the barriers should be avoided due to the cost and potential hazard 3.2.8.2 2/23/00

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posed by the required terminals. Chapter 10 contains guidance on the use of appropriate barriers in medians. In unusual circumstances, it may also be possible (and would be preferable) to satisfactorily alleviate the cross-over problem by widening the medians sufficiently to permit use of an unpaved median to separate the opposing traffic. When this is done, the guidance for design of wide medians in Section 10.2.4.2 should be followed. 3.2.8.3 Medians for Local Roads and Streets Medians in local urban streets and rural roads are primarily placed as landscaped islands for aesthetic purposes. The location of any landscape features in medians should not interfere with sight distance requirements. Traffic efficiency and safety may benefit, if the medians are properly designed. The design of medians for local roads and streets should generally follow the guidance on medians for arterials and collectors. Dividing local streets by the use of uneven medians may be an economical alternative where hillside developments would require large volumes of earthwork to place both travel lanes at the same level.

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3.2.8.2

3-48 3.2.9 Curbs

TYPICAL SECTIONS

Curbs may be useful for drainage control, access (driveway) control, delineation, aesthetics, orderly roadside development, and visual separation of vehicular areas from pedestrian areas. There are few clear-cut warrants governing the use or avoidance of curbing, except for limitations in medium and high speed situations. Refer to Chapter 10, Section 10.2.2.4 for detailed restrictions on curb use and curb-guide rail combinations. 3.2.9.1 Types of Curbs In terms of function, the four general types of curbs are non-mountable (barrier), mountable (150 mm and 100 mm), and traversable. Presently accepted types are shown on the item 609 series Standard Sheets. The standard sheets also show the different types of construction and installation details. Some of these are discussed briefly in Section 3.2.9.5. a. Non-mountable, or barrier, curbs generally provide a 150 mm high exposed face with a steep-faced design to discourage operators from driving off of the pavement. Nonmountable curbs have very little redirective capacity and should be considered as having no significant capacity to redirect medium and high speed errant vehicles. The 150 mm high barrier curbs are indicated on the Standard Sheets as the B150 series. The Department uses several types of mountable curbs. These may be grouped as 150 mm high mountable (M150 series on Standard Sheets) and the 100 mm high mountable (M100 series). The mountable curbs have faces that are more gently inclined than the nonmountable (barrier) curbs so that vehicles can safely mount them at a crawl speed. The 100 mm high curb presents less of a potential hazard to vehicular traffic than does the 150 mm high curb. The 150 mm provides better visibility and delineation and will accommodate a greater puddle depth. (Note that resulting storm puddle should not infringe on more than half of a travel lane. See Chapter 8, Section 8.7.4.4 C.) The traversable curb has a nominal width of 300 mm with a 1:3 slope across the top and no vertical reveal on the traffic side. It is intended to permit delineation and drainage control while minimizing the potential destabilization hazard to errant vehicles. The absence of a vertical reveal also minimizes the potential for tripping (and thereby rolling) vehicles that are skidding laterally. The 100 mm high traversable curb is shown on the Standard Sheets as the T100 series. In some developed areas, curbs may be integrally combined with a gutter shape to provide enhanced hydraulic capacity for the drainage system and/or accentuated delineation of the edge of the shoulder. Combination curb-gutters are cast-in-place, with either a mountable or non-mountable curb portion. The thickness of the gutter base should be a minimum of 150 mm and may be increased to match the lift arrangement of the pavement structure. It should be noted that longitudinal joints within the shoulder or curb offset area constitute a hazard to bicyclists. A relatively small vertical offset parallel to the bicycle wheels can cause a fall. For this reason, the use of curb-gutters is to be avoided along routes where the 2/23/00

b.

c.

d.

3.2.9

TYPICAL SECTIONS

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shoulders are regularly used by bicyclists, unless there is no other acceptable alternative. Where a curb-gutter is to be used adjacent to a designated bicycle lane, the separation between the joint and the traveled way should be a minimum of 1.2 m. e. Asphalt curbs are a considerably less expensive alternative to other curb types. However, they are much more susceptible to damage and should generally not be used where they are likely to be hit by snow plows, other heavy equipment or frequent errant vehicles.

3.2.9.2 Limitations on Curb Use Refer to Chapter 10, Section 10.2.2.4, for detailed restrictions on curb use and curb-guide rail combinations. 3.2.9.3 Potential Uses of Curb Where curb use is not limited by Section 10.2.2.4, curbs may be utilized for the reasons discussed below. A. Erosion Control

The Department is committed to controlling adverse environmental effects of erosion from its right-of-way. One of the leading potential problem areas is embankment slopes. Particular attention should be given to embankments that are steeper than 1:4, higher than 5.0 m, constructed of erodible soils, and that drain to streams, lakes, wetlands and other bodies of water. The designer should consult with the Regional Geotechnical Engineer, the Regional Landscape Architect, and Regional Maintenance to develop a consensus on the need for a traversable or 100 mm mountable curb at the edge of shoulder to form part of the erosion control system. The use of curbing on high speed facilities should only be considered as a last resort after all other feasible options have been explored. B. Closed Drainage Systems

If it has been determined that use of a closed drainage system is appropriate, curbing, combination curb-gutters, or gutters (Sect. 3.2.10) may be needed to channel runoff into the system. Refer to Chapter 8 for details of drainage system design. On high fills with full shoulders and guide rail, the selected curb may, and often will, be asphalt. Because asphalt curb is so easily damaged by snow plows, it may be advantageous to place it outside the line of the guide rail as part of an optional mowing strip. Where asphalt curb will be exposed to snow plow hits, it should be continuously backed up with appropriate fill. Where curb is required for drainage control, the type, selection and placement should be in conformance with Chapter 10, Section 10.2.2.4.

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3.2.9.1

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TYPICAL SECTIONS Typically, where curbs or gutters are used, it is necessary to provide an edge or underdrain system since the subbase cannot drain to daylight. The recommended placements of the underdrain pipe are shown in Figure 3-11 Typical Curb and Edge Drain Placement. The pipe is located under the pavement immediately on the traffic side of the curb (or gutter) to minimize interference between the curb and the drain and to avoid an area of weak support where curbing is carried across driveways (vehicles could push curb down into drain system). Any back-up concrete for curb setting should be low slump to avoid fouling the drain system. C. Access Control

The Department's Policy and Standards for Entrances to State Highways should be consulted for any access control requirements and guidance. The specific type of curbing used should be in conformance with the guidance provided in Chapter 10, Section 10.2.2.4, unless specified otherwise in the entrances policy. D. Sidewalk Separation

Refer to Chapter 18 for sidewalk warrants. Where sidewalks are warranted on low speed highways, predominantly in developed areas, curbs may be desirable to delineate and help separate vehicular from pedestrian traffic. Note that curbing, even non-mountable curbing, has very little redirective capacity and therefore should not be considered as an effective barrier for the protection of pedestrians. Its presence is meant to discourage the mingling of vehicular and pedestrian traffic. Note, also, that as traffic speeds increase, the potential hazard posed by curbing also increases. While curbing may offer a sense of protection to pedestrians on sidewalks or median islands/refuge areas, it is potentially hazardous and its use, particularly on medium and high speed highways, should be in accordance with Section 10.2.2.4. E. Access for Persons with Disabilities

The Department is required to provide access for persons with disabilities whenever our projects result in the construction or alteration of pedestrian facilities. These requirements are discussed in Chapter 18. As typical examples of the work required, curb ramps should be provided at sidewalk crossings on projects where: 1. 2. 3. 4. Curbs, gutters or sidewalks are being installed, Traffic signals (including pedestrian) are being installed Roadway resurfacing where there are sidewalks, or Pavement markings are being placed at crosswalks.

In addition, designers should consult with the Regional Landscape Architect to ensure designs are consistent with the requirements found in the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities. 3.2.9.3 2/23/00

TYPICAL SECTIONS 3.2.9.4 Curb Alignment and Typical Section Details A. Offsets

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Barrier curbs and 150 mm mountable curbs introduced intermittently (after gaps exceeding 100 m) along streets should be offset 0.6 m from the edge of traveled way; where continuous, (as along a median or interrupted only by driveways and side streets), barrier curbs should be offset at least 0.3 m, and preferably 0.6 m. The intent is to minimize driver shying responses where curbs start. On medium and low speed highways, although a 0.3 m or 0.6 m offset is preferred, 100 mm mountable curbs do not need to be offset, but the full width of the curb should be outside of the designed width of the traveled way. On all new and reconstructed high speed highways, any mountable or traversable curb that is required should be located no closer to the traveled way than the outside of the shoulder. Any exceptions should be explained in the Design Approval Document (DAD). B. Mowing Strips When curbing is placed in such a manner that the Department's machines will need to mow behind it, a 0.6 m wide, 75 mm thick (minimum) asphalt mowing strip may be placed immediately behind the curb to reduce the possibility of the mowing machines dropping off of the curb. Factors that should be considered include proximity to the traveled way, volume and speed of traffic, whether the curb is mountable or non-mountable, and aesthetics. C. Snow Plowing Considerations Both curbs and trucks may be badly damaged when snowplows strike curbs. To minimize this problem, curb ends should be introduced with either a vertical taper (preferred) or gentle lateral tapers. The problem with a lateral taper is that when a snow plow is being used to clear the shoulders, even a gradual lateral taper struck by a plow traveling at 50 km/h (30 mph) is still a significant impact that can damage the equipment and contribute to driver fatigue. The preferred termination detail (actually the initiation end with respect to direction of snow plowing ) is shown on the Standard Sheets and calls for ramping the curb up on a constant 1 on 12 slope. Alternatively, where guide rail is present and there is a reason to extend the curb behind the rail, such as for drainage to a grate or combination inlet, the curb may be tapered in at an angle not to exceed 15E.

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3.2.9.4

3-54

TYPICAL SECTIONS

3.2.9.5 Curb Material Selection and Installation Details Curbs may be asphalt, cast-in-place concrete, slip-formed concrete, precast concrete or stone, which includes bluestone, sandstone and granite. The costs vary widely as does durability. Installation considerations also influence selection. Asphalt curbing is typically the least expensive option, but its poor mechanical durability limits the locations where it can be used to areas where it is unlikely to be hit by snow plows or errant traffic. Its durability in locations exposed to snow plowing may be marginally improved by earth backing since the ground will have fairly good strength when frozen. Cast-in-place concrete is appropriate for unusual geometries or at sites where limited quantities of curb are to be installed, particularly if concrete will be needed for concurrent work. The drawbacks to cast-in-place concrete curbs are that they usually cost more than slip-formed or precast and that their forming and curing are time-consuming steps that may interfere with traffic. This may be a key concern for business or private driveways. Slip-formed concrete is most appropriate where long, uninterrupted runs of curb are required. The curing time may be a concern for traffic control plans. Where either cast-in-place or slip-formed curbs are to be placed adjacent to new concrete pavements, the pavement should be placed first, with curb anchors embedded in the pavement. When curbs are to be added next to existing concrete pavements, curb anchors should be grouted into holes drilled into the existing pavement slab. Where curb is to be used adjacent to new asphalt pavement, the curb should be placed first. Precast concrete curb may be installed quickly and, after installation costs are figured in, has a cost similar to stone curbing, but is less durable. Curved sections may be readily shop-cast. Because the effective section lengths are shorter than for the slip-formed or cast-in-place curbs, backing should be placed behind the curb to provide lateral support to resist overturning when asphalt lifts are compacted against it. The Standard Sheets provide details of the recommended backing alternatives. Where pre-cast or stone curbs are placed adjacent to concrete pavements, the space between the curb and the pavement must be filled and sealed to limit the infiltration of water. Details are shown on the Standard Sheets. Stone curbs, and particularly granite, tend to be the most durable and may frequently be reset. This reduces their life-cycle cost. Because of their high initial cost, however, stone or granite curb, (except on bridges) should only be specified as the exclusive choice when it is the prevailing local practice or an existing standard, and its use is requested in writing by the municipality. If municipal specifications exist, they should be submitted to the Design Quality Assurance Bureau's (DQAB) Specifications and Standards Section for a review of the compatibility with NYSDOT specifications. When granite is the preferred curb, but sufficient justification is not available to specify it exclusively, Optional Curb (see below) should be specified. The Standard Sheets provide details of the backing alternatives recommended for stone curbs. Because the sectional width of stone curbs, and hence their resistance to overturning, is less than the sectional width of other types of curb, the amount of backing recommended is greater.

3.2.9.5

2/23/00

TYPICAL SECTIONS

3-55

When it is appropriate to specify a particular material type, the designer should use item 609.02xx for granite curb, 609.08xx for precast concrete curb, and 609.04xx for cast-in-place. Whenever there is no need to specify a particular material, Special Specification 15609.123x should be used to give the Contractor the choice of furnishing granite or precast concrete curb. Item 609.09x may be used to give the Contractor the additional choice of furnishing cast-in-place curb. The Special Specification for items 15609.123x was issued by Engineering Instruction 96-034. 3.2.10 Gutters Gutters may be used at the outside edge of the shoulder or parking lane to collect runoff where ditches or curbs would not be appropriate. Approved gutter sections are shown on the Standard Sheets for 609 series items. The flattened and widened sections should be used at driveways. At driveways that are below the level of the road, the gutter may need to be further modified so that "bottoming" of vehicles may be avoided. Driveway profiles may be checked by the "vehicle template" method described in Section 3.2.11.4 and Figure 3-12 to determine if bottoming is likely. (For an introductory discussion of geometries of low ground clearance trucks, refer to TRR1356, Transportation Research Record 1356 - Operational Effects of Geometrics and Geometric Design.) Regardless of the profile modifications, a 65 mm channel depth should be maintained in the gutter. Generally, the inboard slope of the gutter section may be counted towards the width of the shoulder or the parking lane if the difference between that slope and the pavement slope is less than 8%. Gutter sections should not be used immediately adjacent to the traveled way. Where an accessible route crosses a gutter, the gutter needs to meet ADAAG requirements. Chapter 8 or the Regional Hydraulics Engineer may be consulted on the design of grate inlets to be used in conjunction with gutters. The Regional Geotechnical Engineer should be consulted as to the need for underdrains in conjunction with the gutter and their location. 3.2.11 Sidewalks Refer to Chapter 18 for a detailed discussion of sidewalks, their warrants and placement within the Right-of-Way. The purpose of sidewalks is to provide pedestrians with a safe, accessible and convenient alternative to walking along the shoulder or in the traveled lanes. Sidewalks should be considered wherever significant pedestrian traffic is anticipated, and where sidewalks are essential for access.

2/23/00

3.2.9.5

TYPICAL SECTIONS 3.2.11.1 Setbacks

3-57

Refer to Chapter 18 for detailed guidance on sidewalk placement within the Right-of-Way. Sidewalks should be set back as far as practicable from the roadway. The desirable setback is 2.5 m or more. Sidewalks in commercial areas may start at the curb, due to the demand for space and the need for curbside access in parking zones. When the sidewalk is adjacent to the curb line, the usable sidewalk width is measured from the back of the curb and the width should be increased to account for car door openings, sign posts, street hardware, etc. The desirable minimum setback in residential areas should be 1.25 m. A 1.0 m minimum setback is also beneficial on urban highways. Set back sidewalks (formerly referred to as ribbon walks) provide added safety to pedestrians by virtue of the separation from vehicular traffic. The space between the curb and the sidewalk is also beneficial as a storage area for snow, removal of which is particularly difficult in built-up areas. Snow that is plowed on to sidewalks may pose problems both due to the need to rehandle it when sidewalks are cleared and because pedestrians may choose to walk in the roadway if the sidewalks are impassable. It is therefore desirable for the width of the snow storage area to be adequate to hold the amount of snow that will accumulate during most winters. The required storage volume will vary with the number of lanes being plowed and the snowfall. The desirable width of the snow storage area should be calculated as the product of the 90th percentile seasonal snowfall depth (obtained from Figure 3-13) and 20% (actually, 20%/m = 6%/ft) of the distance from the centerline to the curb (or outside of plowed area). An upper limit of 4.0 m may be applied to this product. EXAMPLE: Given: Ninetieth Percentile Seasonal Snowfall = 2.5 m Single direction traffic includes one 3.0 m travel lane and a 3.0 m parking lane. Desirable Width of Snow Storage Area = 2.5 x 0.2 x (3.0 + 3.0) = 3.0 m

Solution:

While it may not be possible to provide the desirable snow storage widths in areas that are already developed, sidewalk location plans for new developments should provide the desirable snow storage widths if possible. The minimum width for residential areas should be 1.25 m. In commercial areas, the full width between the curb and the buildings will generally be paved. However, if possible, it is preferable that this width include the snow storage width appropriate for a residential area and a usable sidewalk width of at least 1.525 m.

11/20/98

3.2.11.1

TYPICAL SECTIONS 3.2.11.2 Geometry

3-59

The normal concrete thickness for sidewalks is 100 mm, which should be increased to a minimum of 150 mm at driveway crossings. The minimum width for new sidewalks should be 1.525 m. Where sidewalks are contiguous with the curb, the width may be measured from the back of the curb, but it is highly desirable for the minimum design width to be increased by 0.6 m to allow space for car door openings, sign posts, traffic poles, street hardware, etc. Refer to Chapter 18 for further guidance on sidewalk warrants, widths, cross slopes, accessible design requirements, etc. To provide drainage, sidewalks should be sloped. The normal and preferred slope is a cross-slope of 2% towards the road. However, on uncurbed fill sections, the slope may be 2% away from the road. No sidewalk cross slope should exceed 5%. Reduced or flat cross-slopes may be used if the sidewalk profile has a longitudinal grade. All sidewalks must, to the extent feasible, provide a continuous passage for persons with disabilities. The cross slope of a continuous passage must be no steeper than 2%. The remaining portions of the sidewalk width should not exceed a 5% cross-slope. Additional information regarding requirements for findings of infeasibility and other information pertaining to the accessibility standards for facilities serving persons with disabilities may be found in Chapter 18. 3.2.11.3 Alternate Materials Various materials have been used for sidewalk pavements. The normal choice is concrete reinforced with wire fabric. Asphalt sidewalks are typically installed as short term alternatives. The asphalt thickness should be 65 mm. At driveways, the thickness of asphalt sidewalks should be a minimum of 150 mm, and not less than the thickness of the driveways. Various brick, precast, and special pavers may be used for aesthetic or historical reasons. The determination of any such need should be made in consultation with the Regional Landscape Architect. 3.2.11.4 Access - Sidewalks and Driveways The Department is committed to providing access to persons with disabilities when our projects physically affect access to public and private property. Where sidewalks cross curb lines, curb ramps should be provided. Typical examples are shown on Standard Sheets for 608 series items. Curb ramps should be installed as appropriate on projects where 1) curbs, sidewalks or curb-andgutters are to be constructed, 2) pedestrian traffic signals are to be installed, 3) roadway resurfacing is to be done and there are sidewalks present and 4) the pavement is to be marked for pedestrian crosswalks. Care should be taken to ensure that projects do not reduce accessibility, for persons with disabilities, to adjacent residences or facilities. Modifications to alignment and profile should be thoroughly examined early in the design process as they can have major impacts on accessibility. Refer to Chapter 18 for additional guidance.

11/20/98

3.2.11.2

3-60

TYPICAL SECTIONS

Unless the Department has acquired access control for a given highway (ROW purchased "Without Access"), access must be maintained to adjoining private property. If guide rail is to be erected, openings must be provided for existing private walkways if no driveway is evident. To avoid placing openings in undesirable locations, consideration should be given to relocating the walkway. If a driveway and a walkway are evident, an opening only needs to be provided for the driveway (provided it meets accessibility standards or provides better accessibility than the sidewalk does) and consideration should be given to relocating the walkway. A break for both may be considered under special circumstances, such as to accommodate the needs of persons with disabilities. If no drive or walkway is evident, it is not necessary to break the run of guide rail, even if it runs across the entire frontage. Note that any proposed change in access should be presented at project public hearings or informational meetings. Figure 3-13, Template Method for Driveway Profile Design, presents a graphical method for checking to see that the position of the sidewalk at driveway crossings will not cause problems with passenger vehicle access. For additional information, refer to the Department's "Policy and Standards for Entrances to State Highways."

3.2.11.4

11/20/98

TYPICAL SECTIONS 3.2.12 Shoulder Breaks

3-61

The intersection of the shoulder slope and the embankment slope should normally occur at a point 0.7 m outside the edge of the paved shoulder. The width of the paved shoulder does not include any asphalt mowing strip that may be included under guide rails. To reduce the chances of an errant vehicle becoming airborne, and to facilitate mowing, the shoulder breaks should be rounded to approximate a 1.2 m vertical curve. Refer to Figure 3-14 for an illustration of the preferred geometry and the normal positioning of weak and heavy posts for guide rail relative to the shoulder break. The shoulder break should not be moved in unless necessitated by ROW limitations. If the shoulder break is moved in, there may be a loss of lateral support to the edge of the paved area and an unacceptable reduction in the usable width available for bicyclists and pedestrians. Another serious concern is the potential loss of lateral soil support for the guide rail posts. If the guide rail is put in close to a steep embankment slope and there is less than adequate soil support, the rail system is likely to deflect more than expected and, in the extreme case, may fail to redirect an errant vehicle. To avoid this problem, extra long posts, as discussed in Section 10.2.3.5, may be used to get extra lateral support at depth. Section 10.2.3.5 defines when the extra length posts should be used based on the offset from the back of the post to the shoulder break. The offset limits vary with the angle of the embankment slope. If the slope is steeper than 1:3, for instance, the regular length heavy post blocked out guide rail can not be used at the normal offset from the shoulder break. The extra length posts would have to be specified and the normal deflections for a given post spacing would have to be multiplied by 1.3. Particular attention should be paid to the problem of lateral support of guide rail posts on widening projects where it would otherwise be convenient to steepen the side slopes and reduce the shoulder break offset. The shoulder break may be located farther out in situations where a wider embankment is desired, such as for a future lane addition, where there is significant bicycle traffic on the shoulder, or where it is desired to spoil excess fill within the ROW. The designer should consider the impact of these widenings on all of the drainage systems that will be affected. The Standard Sheets for the 606 series items indicate that the roadway section may need to be widened at transitions from cable to box beam guide railing. An area no steeper than 1:6 must extend out 3.7 m from the normal face line of the guide rail so that errant vehicles will be less likely to be destabilized on impact in the guide rail transition area.

11/20/98

3.2.12

TYPICAL SECTIONS 3.2.13 Embankment (Fill) Slopes

3-63

A primary objective when designing side slopes should be to provide slopes which are vehicle traversable to the extent that the driver may regain control and bring the vehicle to a safe stop. If it is not possible to provide traversable slopes due to excessive embankment heights, right-of-way limitations, the close proximity of roadside hazards, and/or other considerations, guide railing should be placed at the outside edge of the shoulder in accordance with current warrants. See Chapter 10 for a discussion of recoverable, non-recoverable and traversable slopes and the warrants for barriers to shield slopes. 3.2.13.1 Slope and Height Relationships Flatter slopes improve safety and maintainability. For existing facilities, suitable excavated material should be used for flattening side slopes, whenever practical, rather than being disposed of off-site. Table 3-9 presents the desirable maximum slopes for different embankment heights and operating speeds. To the extent practical, one consistent side slope should be used for each discrete embankment. Table 3-9 Maximum Desirable Side Slopes Embankment Height (meters) 1.0 1.5 2.0 2.5 3.0 3.5 4.0 5.0 6.0 7.0

Highway Design Speeds (km/h) 70 km/h or less 1:4 1:4 1:3 1:3 * * * * * * 90 km/h or less 1:6 1:5 1:4 1:3 1:3 1:3 * * * * 110 km/h or less 1:6 1:6 1:6 1:5 1:4 1:4 1:3 1:3 * * Over 110 km/h and Interstates 1:6 1:6 1:6 1:6 1:6 1:5 1:5 1:4

Vertical measure from shoulder break to toe of slope. Slopes of 1:3 or flatter are preferred. Slopes steeper than 1:3 may be used, provided the slope stability of embankment and its foundation are deemed adequate by the Regional Geotechnical Engineer, but guide rail will normally be required. Fill slopes of 1:2 or steeper, with heights in excess of 1.5 m require a suitable barrier. Refer to the end of Section 10.2.1 for guidance on retention of existing steep slopes less than 1.5 m in height. Fill slopes steeper than 1:4 are not to be specified in the clear zone of new or reconstructed freeways and interstate highways and side slopes of 1:6 or flatter, are desirable. When conditions require the use or retention of fill slopes steeper than 1:4, but 1:3 or flatter, the designer should explain the rationale in the Design Approval Document and either design an appropriate Clear Recovery Area at the base of the slope or provide a suitable barrier system above the slope. Existing fill slopes that are steeper than 1:3 should be shielded or, preferably, flattened to at least 1:3 slopes (preferably 1:4 or flatter).

2/23/00

3.2.13

3-64 3.2.13.2 Embankment Zones

TYPICAL SECTIONS

Under certain circumstances, it may be desirable to dispose of specific types of highway construction debris within the limits of the project and inside of the highway embankment itself. The conditions under which this option may be used are specified in detail in the Standard Specifications and in Chapter 9, Section 9.3.14. The zones are illustrated in Figure 9-6. The following discussion of the subject is provided solely for general information purposes. The referenced publications should be consulted for authoritative guidance and review requirements. The portion of the embankment that is critical to the support of the roadway is the zone encompassed by lines projecting down and out 45E from the points at which the subgrade surface daylights. The portion of the fill section outside of this critical zone is referred to as the embankment side slope area as illustrated in Figure 100-1 of the Standard Specifications. As specified in section 203-3.10, the side slope area may be used for the disposal of oversized particles. At the designer's discretion, but in consultation with the Regional Geotechnical Engineer, a note may be added to the typical section indicating that between given stations, uncontaminated construction debris may be placed in the side slope area, provided it is covered by not less than 0.6 m of soil. This practice should be avoided on sections where widening may be anticipated. Logs should not exceed 250 mm in diameter and preference should be given to chipping stumps and logs. Woody matter should not be nested in one area. In addition to the side slope area, a zone designated as Area A on the 203 series Standard Sheets may be indicated on the typical sections for projects needing disposal areas for unsuitable material, such as peat and muck. Even if it is not indicated on the plans, the Standard Specifications permit the Contractor to use this Area A for disposal as designated and approved by the Engineer-inCharge. Area A is limited to the portion of the cross-section lying above a 1:2 slope starting at the shoulder break. Care must be taken, however, to ensure that the subbase is still carried to daylight to permit drainage of the subgrade. Normal compaction and lift thickness requirements need not apply to material placed in a zone designated as an Area A. Where widening may be anticipated, placement of material that will remain unsuitable is discouraged. Refer to Chapter 9 for illustration and additional discussion. 3.2.13.3 Toe Rounding All slopes that will be part of the clear zone should be liberally rounded at their intersection with existing ground. This rounding is important to facilitate mowing and traversal by errant vehicles. The rounding of slope intersections which are parallel to the road should approximate a 4 m vertical curve. Where drainage must be accommodated in a lined ditch at the juncture of the fill slope and a lateral slope, preference should be given to using a broadly rounded (10 m minimum radius on high speed facilities) ditch lined with Stone Filling. The surface of the Stone Filling should be placed flush with the planes of the highway embankment and of the lateral slope to facilitate traversal. Refer to Section 3.2.14.2. Toe rounding and traversable ditches will not be necessary where guide rail is provided to prevent entry to the area.

3.2.13.2

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TYPICAL SECTIONS 3.2.14 Ditches

3-65

The primary purpose of ditches is to convey collected water safely, efficiently and without damaging the ditch system, the adjacent roadway, or the abutting property. The hydrologic and hydraulic design of ditches is covered in detail in Chapter 8. Three types of ditches are discussed in this chapter: roadway ditches, toe-of-slope ditches and channels, and top-of-slope ditches. 3.2.14.1 Roadway Ditches Roadway ditches are for use in cut sections. They typically parallel the edge of the traveled way. Under normal circumstances, the need to promote drainage of the subbase (rather than hydraulic capacity requirements) will determine the needed depth of the ditch. The ditch depth, as measured from the outside edge of the traveled way, should typically be 1.2 m for normal to thick pavement sections, wide shoulders and gentle embankment slopes. Shallower ditches will pose less of a hazard to errant vehicles and may be used when the Regional Geotechnical Engineer finds the treatment satisfactory. The normal minimum invert width is 1.2 m. If additional hydraulic capacity is needed, consideration should be given to widening, rather than deepening, the ditch. In general, unshielded roadway ditches should not exceed 1.2 m in depth below the ditch control pavement edge. (See Figure 3-6.) The safety of motorists is a key concern in the design of roadway ditches. Ditch cross-sections should be designed to be traversable to minimize the risk to occupants of errant vehicles. All plane intersections should be liberally rounded. To promote traversability, the preferred back slope of the ditch should be 1:4 or flatter. The near or fore slope of the ditch should preferably be 1:6 or flatter for highways with anticipated operating speeds equal to or in excess of 100 km/h. Refer to Figure 3-15 High Speed Traversable Ditch Section. For highways with operating speeds less than 100 km/h, the foreslope may be steepened to 1:4 if necessary due to site conditions or right-of-way restrictions. For highways with operating speeds less than 70 km/h, the maximum desirable slope for either side of the ditch is 1:3. Note that the 1:3 fore slope can not be credited towards satisfying the clear zone recovery width requirements, since a vehicle is unlikely to be able to slow or turn on such a slope. Refer to Chapter 3 of AASHTO's Roadside Design Guide for other acceptable crosssection alternatives. Refer to Chapter 10, Section 10.3.2.2 of this Highway Design Manual for a discussion of non-traversable ditches and recommended practices for addressing them on 3R projects. When it is not reasonably practical to provide ditches within the desired clear zone width with the desirable geometry for the design speed, consideration should be given to shielding the ditch with a guide rail. If needed, non-traversable ditches may be permitted beyond the design clear zone width or where the ditch is behind a guide rail that is warranted for other reasons. Where it is necessary to provide non-traversable ditches within the desired clear zone width and a guide rail is not otherwise required, the designer should use professional judgement to decide whether it would be more appropriate to shield the ditch or to accept the available clear area to the top edge of the ditch as an acceptable design clear zone width without introducing the obstruction of a barrier. Factors to consider would include the degree of hazard presented by the ditch, its distance from the traveled way, the prevailing design clear zone widths in the vicinity, and the quality of the clear area 2/23/00 3.2.14

3-66

TYPICAL SECTIONS

that would be available if no barrier were present. Refer to Chapter 10, Section 10.3.2.2 C for discussion of ditches on 3R projects. Note in particular that, because of the tendency of steepsided ditches to `capture' vehicles, no obstructions should be permitted in their ditch lines. Where it is not practical to provide guide rail to shield a ditch with steeper than desirable slopes, such as in developed areas, consideration should be given to the use of a closed drainage system. As a last resort, steep-sided ditches should be placed as far from the road as practical to provide added recovery width, and delineation, in accordance with the NYS MUTCD, should be considered. Regardless of the rationale, the basis of the decision to not provide guide rail to shield a nontraversable ditch in the design clear zone should be documented in the DAD. 3.2.14.2 Toe-of-Slope Ditches As with roadway ditches, most of the traffic hazards associated with toe-of-slope ditches may be avoided if closed drainage is used instead. Where use of a closed drainage system is not practical and economical, the most important consideration in the design of toe-of-slope ditches, after hydraulic requirements, is whether or not an errant vehicle may encounter the ditch. Most steep embankment slopes will be provided with a guide rail system that will prevent such encounters. Three measures should be considered when shielding is not present. First, when relatively level areas are near the toe of the embankment, a runout width should be provided so that the ditch will be located beyond the clear zone. Second, if it is necessary to include the fore slope of the ditch within the clear zone, it should be made traversable by limiting the slopes to 1:4, or 1:6 for facilities with design speeds of 100 km/h or greater, and liberally rounding all plane intersections. Refer to Figure 3-15 for geometric details for high speed traversable ditches. Third, where the toe of an embankment slope rests on a hillside or another embankment whose contours run roughly laterally to it, the ditch may be formed by placing stone filling in the "valley" between the two planes. The stone filling should conform to the requirements of section 620-2.03 and be placed in accordance with the requirements of section 620-3.02 of the Standard Specifications. The top surface of the stone should be flush with the ground surfaces and should be rounded to facilitate traversal by an errant vehicle. Hydraulic requirements will dictate the lateral extent of the stone layer. Refer to Figure 3-16, Traversable Ditch at Lateral Embankment for suggested ditch geometry details. 3.2.14.3 Top-of-Slope or Interceptor Ditches The purpose of top-of-slope ditches is to intercept and divert water that would otherwise seep into the slope or flow over its face. The Regional Geotechnical Engineer and, in developed areas, the Regional Landscape Architect should be consulted to evaluate the need for an interceptor ditch above a given slope. Since these ditches will not be accessible to the general public, they may be steep sided. They should be graded to drain readily, without any low points, to avoid infiltration of water into the slope. Stone channel filling, or other satisfactory protective measures should be provided as needed to prevent erosion.

3.2.14.1

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TYPICAL SECTIONS 3.2.15.2 Rock Backslopes

3-69

Wherever errant vehicles are likely to hit rock backslopes, it is desirable for the portions that may be struck to be as smooth as reasonably practical to limit the possibility of the vehicle snagging and either stopping abruptly or becoming destabilized. In addition to the concern over vehicles striking the face, there is the possibility that material from the slope may fall on or into traffic. Assessment of this potential threat requires special training. Any time a project involves rock slopes, the Regional Geotechnical Engineer should be intimately involved in the design considerations. The Geotechnical Engineer must be consulted to determine whether an existing rock slope should be given a high priority for remediation and/or what the design details of a proposed rock slope should be. The Regional Geotechnical Engineer will normally make arrangements to involve a Departmental Engineering Geologist who will develop the evaluation and construction details for the rock excavation and any rock slope support measures. Most rock slope problems can be avoided if sufficient flattening is possible. Economics and right-ofway limitations may require the use of high and/or steep slopes.Long term slope behavior is highly variable. Massive durable rock slopes may have very little potential to develop rockfall problems, but the soil overburden may creep towards the crest of the slope conveying boulders over the edge. If adverse jointing conditions are present, frost heave and root prying may loosen large volumes of rock and soil. Weathered rock masses may be cut by weak joint material that can be eroded away leading to loss of support. Some rock masses may be heavily jointed or separated by closely spaced weak bedding planes leading to regular falls of small rocks. Some rock types, notably shales, have poor durability and may weather quickly to small size particles. The Departmental Engineering Geologist will provide recommendations designed to be a reasonable balance between 1) the desire to minimize the potential for rockfall related accidents and 2) the need to keep the cost of property acquisition and rock excavation and stabilization/retention measures within reasonable economic and environmental limits. While careful design, construction and maintenance measures, such as the use of drain systems, smooth blasting techniques (the Departments specifically prefers pre-splitting), and various rock slope stabilization techniques may delay the deterioration of the slope, most steep rock slopes will eventually weather and incur rock falls. The single most effective measure to limit the effect on traffic is to maintain a wide separation between the rock slope and traffic. The separation provides a catchment area whose designed width and volumetric capacity may be adjusted in consideration of the probable rock fall threats identified by the Departmental Engineering Geologist. In most cases, the catchment area should be level or slope toward the base of the cut to minimize redirection of falling rocks toward the road and, if the area will be part of the clear zone, to maintain a traversable geometry. The following examples illustrate some possible treatment strategies. The sections are depicted in Figure 3-17, Rock Slope Setback Options. The development of any strategy should be made in consultation with the Regional Geotechnical Engineer and the Departmental Engineering Geologist and should reflect the desire to provide clear zones as well as to address potential rock fall problems. Additional consultation, as appropriate, should be obtained from the Regional Real Estate Officer and from the Regional Traffic Engineer.

11/20/98

3.2.15.2

3-70 a.

TYPICAL SECTIONS Small Volume Rockfalls - With modest slope heights, low to moderate traffic volumes, and low anticipated rockfall volumes, it may be sufficient to provide a simple catchment area. If the width of the area does not satisfy the minimum clear zone width, a guide rail should be provided as shown in Figure 3-17 A. The location and type of guide rail selected should be such that the deflection distance will not extend to the rock slope, and preferably will permit some storage area for fallen rock beyond the deflection distance. High Slopes - Even small rocks falling from high slopes into high speed traffic can produce serious accidents. The Departmental Engineering Geologist should provide recommendations on an appropriate minimum separation between the slope and the traveled way (recommended setback) and may specify measures to control rock fall. Such measures might include hanging wire mesh to keep falling rocks close to the face, installing rock bolts to retain large blocks or shotcreting to wedge and seal wide joints. Where appropriate clear zone widths and adequate catchment area for falling rocks can be established, as shown in Figure 3-17 B, the absence of a guide rail is beneficial as it facilitates clean-up efforts and avoids the hazard posed by the guide rail itself. Regular inspection and periodic maintenance work may be required to ensure that hazardous sizes of rock are removed from the clear zone in a timely fashion. If it becomes difficult to maintain the effort needed to keep the clear zone free of fallen rocks, consideration should be given to installing a suitable barrier to shield errant vehicles from the fallen rocks.

b.

c.

Fall of Large Rocks - The Departmental Engineering Geologist may develop recommendations for measures, such as rock bolting, to prevent large rocks from falling. Because large rocks may already have a significant lateral velocity due to impacts on the slope face, a heavy guide rail system should be provided adjacent to the shoulder in zones where the fall of large rocks is judged likely. Refer to Figure 3-17 C. Large Volume Rockfalls - Where large volume rockfalls are judged to be likely, a catchment area sufficient to hold a large volume may be designed by the Departmental Engineering Geologist. (For further insight, see the Geotechnical Engineering Bureau's "Rock Slope Hazard Rating Procedure" which references a procedure to size wide, deep ditches to catch rockfalls.) A guide rail may need to be provided to shield the drop-off into the ditch. (See Chapter 10) It is desirable for provision to be made for access behind the rail to facilitate removal of accumulated fallen rock. Refer to Figure 3-17 D.

d.

3.2.15.2

11/20/98

3-72 3.2.16 Right of Way Width

TYPICAL SECTIONS

The procurement of right of way widths that will accommodate reasonable clear zone widths, stable slopes and the construction, drainage, maintenance, and development of an aesthetically pleasing highway is an important part of the overall design. The designer should pay particular attention to right of way width requirements during construction, especially where it will be necessary to maintain traffic during the construction process. If the section involves significant heights of cut or fill, a narrow right of way width may require the construction of a costly temporary retaining wall. Early in the scoping/design process, construction sequencing should be discussed with the Regional Geotechnical Engineer, who can provide valuable assistance in determining whether a temporary wall is needed or feasible and, if so, what type should be used. Wall costs may vary widely and are dependent on the type of wall and soil conditions. If any need for temporary walls is identified, the Real Estate Office should be involved to determine whether it would be preferable to build the wall or avoid that need by acquiring adequate right of way or temporary easements. Consideration should also be given to an off-site detour. Wide right of way permits the construction of gentle slopes, resulting in more safety for the motorist and easier and more economical maintenance. The acquisition of sufficient right of way at the time of initial improvement permits widening the road section and widening and strengthening the pavement at reasonable costs as traffic increases. In every case, the right of way should not be less than that required for all elements of the design cross section and appropriate border areas, typically including design clear zone widths. Refer to Chapter 10 for a more thorough discussion of clear zone widths and when it might be appropriate to provide for them when acquiring right-ofway.
/

Generally, utilities can and should be accommodated at the edge of the clear zone or between the edge of the clear zone and the existing or acquired ROW line. However, except when required for municipal utility relocations that are reimbursable by Highway Law, it will not be necessary to make a ROW acquisition for the purpose of accommodating utilities. Border areas may vary from 30 m or more, in rural areas where lower land values prevail, to a few meters (1.5 to 4.5 m) in highly commercialized areas. In developed areas, the buffer width determinations should, as a minimum, take into consideration sidewalk widths and setbacks, snow storage zones and space for signs and utilities. It may not be feasible on a particular project to provide gently graded traversable areas because of local development or other overriding effects. On those occasions where developed property is encountered adjacent to proposed slope areas, the designer is required to consult with the Regional Real Estate Group as well as the Regional Geotechnical Engineer to determine slope or embankment construction. Such factors as substantial grade change, impairment of access and loss of setback could adversely affect an adjacent improvement to such a degree that it is better to acquire and remove the improvement rather than allow it to remain in undesirable proximity to the highway.

See Chapter 5, Section 5.5 of this manual for additional information on right of way considerations.

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TYPICAL SECTIONS

3.3 EXISTING FACILITIES In general, modifications to an existing facility may be required because additional capacity is needed, because the facility has deteriorated or because a safety problem needs to be addressed. The Scoping Procedure Manual and the Design Procedure Manual describe the steps that should be followed to produce a Scope Summary Memorandum or Design Approval Document. The critical design elements for existing facilities should be obtained in accordance with the current Department guidance for the appropriate classification of Resurfacing, Restoration and Rehabilitation project (See Section 3.1.2). The two-volume Pavement Rehabilitation Manual is an important tool in scoping pavement work. Volume I, Pavement Evaluation, provides guidance on evaluating the condition of existing pavements and the preparation of Pavement Evaluation Reports. Volume II, Treatment Selection, describes accepted rehabilitation alternatives (ranging from preventive maintenance to reconstruction) and provides guidance on selection procedures. Part 3 of Volume II, in particular, describes the procedure for performing a Life Cycle Cost Analysis (LCCA) to identify the least expensive alternative over time. Note that the life cycles provided in Volume II are for a maximum AADT of 35,000. For higher volumes, regions are encouraged to use life cycles that reflect their local experience and to select treatment options accordingly. A related document, Engineering Instruction 92-026 Pavement Restoration Techniques, 1992, lists both the accepted rehabilitation techniques and the "Project Special" and "Experimental Feature" alternatives and their specification numbers. (EI 93-028 provides a minor revision.) Engineering Instruction 92-15 Project Level Pavement Selection Process provides the guidance on which procedures should be used in a given selection process. As an example, the EI indicates that an LCCA is generally required to aid in selection of the type of pavement when a reconstruction alternative is required. The sections that follow give brief descriptions of pavement rehabilitation alternatives involving modifications to the typical sections which go beyond normal preventive maintenance. The alternatives are generally ordered from least to most involved. Following these alternatives, miscellaneous retrofitting and rehabilitation treatments that affect typical sections are discussed, such as addition of underdrains. 3.3.1 Overlays Overlays of existing pavements are the most commonly used rehabilitation techniques. Overhead clearance requirements and the effects on bridges, curbs, sidewalks, guide rail, driveways, manholes, crossroads, drop inlets, etc. should be checked any time overlays are proposed. For isolated clearance problems, such as a bridge underpass, the optimum solution is pavement removal and reconstruction in the vicinity of the structure to accommodate the required clearances. The Regional Geotechnical Engineer should be contacted for thickness and drainage details. In developed areas with numerous driveways, cross streets, manholes, drain inlets, curb reveal needs and other appurtenances, the best solution may be reconstruction to accommodate the grade restrictions. Simple milling and use of a thinner overlay is not normally recommended because it 3.3 2/23/00

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will not achieve the intended service life. Thin overlays are short term maintenance solutions and should not be considered when major rehabilitation is desired. Locations that were previously overlaid and require resurfacing for functional reasons, rather than structural, may be appropriate for milling and inlaying to accommodate clearance limitations. Overlay projects should not reduce the effective height of curbs to less than 100 mm when their design height is 150 mm, or to less than 75 mm when their design height is 100 mm. To avoid reducing the effective curb heights to less than these minimums, the project may 1) mill down the existing pavement before placing the overlay, 2) reset the curbs, or 3) taper the overlay thickness down towards the curb, provided the rollover and cross slope limitations are not exceeded. While most overlays will use HMA applied to either flexible or rigid pavements, PCC may also be used as an overlay material, but only on rigid pavements, at present. Whitetopping may be introduced as demonstration projects. Overlay techniques and their conditions for use are catalogued in the Pavement Rehabilitation Manual (PRM), Volume II, Treatment Selection. 3.3.1.1 Pre-Overlay Repair and Preparation

The success of any overlay requires proper repair and preparation of the existing pavement. In general, pre-overlay repairs consist of improving or restoring drainage, removing and replacing areas of poor support within the pavement subbase or subgrade, and repairing surface defects to provide a stable platform. If the joints are in bad condition, refer to the PRM for acceptable treatment options. A. Preparation for Rigid (PCC) Overlays When placing a PCC overlay on a PCC pavement, the existing pavement repair techniques include removing cracked and broken slabs, repairing spalled areas, and scarifying the entire surface area to a depth of 8 mm. The surface is then sandblasted and cleaned. Preparations for the terminal details of a PCC overlay are complicated by the fact that the minimum thickness of overlay that should be used is 75 mm. Consequently, several slabs at each end of an overlay project must be either milled down so that the overlay thickness for a smooth transition is not thinner than 75 mm, or removed and reconstructed to match the appropriate transition profile. Overlay transition profiles should be designed to merge with the existing profile at existing transverse joints. See Figure 3-18 for guidance on appropriate transition lengths. B. Preparation for Flexible (HMA) Overlays The specific techniques used to repair surface defects prior to placing an HMA overlay depend on the existing pavement type. For existing PCC (rigid) pavements, repairing surface defects may include milling and patching spalled areas, shimming faults, removing cracked slab (if the pavement is not to be cracked and seated or rubblized), and cleaning and filling joints and cracks. 11/20/98 3.3.1

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TYPICAL SECTIONS Repairing surface defects in HMA surfaced pavements (HMA or existing HMA overlay on PCC) may include hot-in-place recycling, cold-in-place recycling, milling the entire surface (or selected areas only), shimming wheel ruts and cleaning and filling joints and cracks.

Immediately before placing an HMA overlay, the existing pavement and shoulder surfaces should be cleaned and tack-coated to bond the overlay to the existing surface. Tack coats shall be specified and shown on the typical section drawings whenever resurfacing 1) any PCC pavement, 2) any milled pavement, and 3) any asphalt pavement except when the surface is excessively flushed (high asphalt concentration at the surface). The normal application rates are between 0.14 and 0.32 l/m2. Before placing the overlay, a truing and leveling course should be used, as necessary, to correct depressions and settlement. The total thickness for overlays placed on HMA surfaced pavements ranges from 25 to 150 mm. On PCC pavements, overlay thicknesses range from 75 to 150 mm. Overlay thickness depends on the load-carrying capacity of the existing pavement and the type, severity, and extent of distresses present. Refer to the Pavement Rehabilitation Manual, Volume II, for layer thicknesses. Note that thick overlays may present problems with overhead clearances and, in developed areas, with driveways, cross streets, manhole rim elevations, drain inlets, curb heights, and other appurtenances. The designer should be aware that, in addition to the normal milling and filling operations for such cases, other techniques, such as concrete inlay or microsurfacing, and particularly reconstruction (see Section 3.3.1) may warrant consideration. Other alternatives include rapid setting polymer concrete, diamond grinding for profiling and texturing, and a patented process called Novachip. For further information on such techniques, consult the Regional Materials Engineer. Particular attention should be paid to the details of the terminations of the overlays. Since asphalt will ravel if tapered to a feathered edge, it is preferred practice to cut a recess into the existing pavement to permit placement of the top course to a thickness of at least 25 mm. Rebate depths of up to 65 mm may be used to accommodate more than one layer of asphalt. The removal of the recess or "rebate" should be scheduled to minimize the amount of time that it must be left open to traffic. On deeper rebates which will have to carry traffic prior to final paving, temporary asphalt wedges should be placed to reduce the severity of the bump effect between the rebate and the existing pavement. Because of potential compaction complications and Maintenance and Protection of Traffic conflicts, rebates should generally not be deeper than 65 mm. Figure 3-18, Detail of Asphalt Overlay Splice, illustrates an acceptable method of terminating an HMA overlay. Between the rebate and the full overlay thickness, an area of Truing and Leveling (T&L) is indicated as a means of terminating lower lifts of the overlay. The use of truing and leveling and the tapered geometry shown is intended to 1) simplify the calculation of payment quantities and to 2) recognize the greater labor involved in placing the asphalt in this location. In practice, the T&L should be the same material as that used in the adjacent lifts. Also, the T&L should not be thinned to a feather edge as it is likely to be a coarser material that could ravel quickly and become a nuisance to temporary traffic. More than one T&L wedge may be shown if it is necessary to terminate more than one asphalt layer outside of the rebate.

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TYPICAL SECTIONS

Overlays on PCC pavements tend to crack above locations of existing cracks and transverse joints in PCC pavement which are locations of thermal expansion and contraction. This is known as reflection cracking. If unaccounted for, reflection cracks will occur shortly after the overlay is placed. Subsequent deterioration of these cracks will then lead to premature overlay failure. Three techniques are used to control reflection cracks: 1. sawing and sealing joints in overlays, 2. cracking and seating existing PCC pavement, and 3. rubblizing existing PCC pavement. Sawing and Sealing should be used when the majority of thermal expansion and contraction within the PCC pavement will continue to occur at the transverse joints. (This will typically be the case when there are no more than infrequent medium and high severity slab cracks.) Using this technique, a saw cut is made in the overlay directly over the underlying joint in the PCC. This confines reflection crack development to the saw cut. A reservoir is then made by sawing a slightly wider area along the top of the saw cut. Sealant is then placed within the reservoir. This results in an easily maintained, effectively sealed joint which minimizes secondary cracking and the intrusion of water and incompressible fines into the pavement structure. Cracking and Seating (see Section 3.3.3) should be used when most of the horizontal thermal movement within the existing PCC pavement occurs at erratic transverse slab cracks, rather than at designed transverse joints. When this is the case, the locations and amounts of movement within the slabs are unpredictable. An overlay applied to such a pavement would crack above the movement locations. By deliberately cracking the pavement slabs at short intervals, the Crack and Seat technique shortens the effective slab lengths. Since thermal movement is directly proportional to slab length, the effectively shortened slabs will individually experience less thermal movement. As a result, there will be small contraction at numerous cracked joints rather than large movement at a few joints. This redistribution of stresses and strains will reduce the likelihood and rate of reflection crack occurrence in the HMA overlay. Rubblizing (see Section 3.3.3), like cracking and seating, should be used when most of the horizontal thermal movement within the existing PCC pavement occurs at transverse slab cracks, rather than at transverse joints. It is selected instead of cracking and seating 1) if the project contains underground utilities which could be damaged by a cracking and seating operation, 2) where the pavement is to be widened, or 3) on badly spalled pavements where surface repairs would be cost prohibitive. Rubblizing fractures the PCC pavement into pieces generally less than 150 mm wide, creating a high strength granular base. Various references indicate that the rubblized base has a structural coefficient approximately half that of HMA Base courses. Therefore, a 230 mm rubblized pavement overlaid by 150 mm of HMA has the structural capacity of a 265 mm full depth HMA pavement.

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Subbase drainage and good subbase/subgrade support are essential for proper rubblizing. For the first reason, edge drains are to be included, typically at the edge of traveled way, on all rubblizing projects. PCC pavement built on poor materials, or built to bridge areas of poor material, will result in structurally inadequate sections after rubblizing. A thorough investigation of subbase and subgrade support is essential. 3.3.2 Cracking and Seating Where a Portland Cement Concrete (PCC) pavement is cracked (see 3.3.1.2 B) and deteriorated to a point that the other leading feasible rehabilitation alternative is reconstruction, cracking and seating may be an appropriate alternative. (See the PRM for a discussion of other alternatives.) In the Crack and Seat operation, a pavement breaker is used to crack the pavement and a 50 t roller used to seat it. The seated pavement should be overlaid with 125 mm of HMA. Underground utilities may preclude this option. See Section 3.3.3. 3.3.3 Rubblizing Where PCC cracking and seating would be warranted but is precluded by utilities or joint separation, a resonant frequency machine may be used to rubblize the pavement to aggregate sized particles. The slab should be laterally supported with any necessary reconstructed section prior to rubblization. This support may consist of an existing or reconstructed shoulder, or may be the base for a lane addition. A 150 mm asphalt concrete overlay should be specified. Refer to Figure 3-19 for details of the rubblization process when a lane is being added.

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TYPICAL SECTIONS

3.3.4 Lane Additions and Widenings Once it has been determined that a project requires lane widening or additions, the designer must develop typical sections which adequately address, among other concerns, mobility, the roadside design considerations discussed in Chapter 10, and the bicycle and pedestrian concerns discussed in Chapter 18. Additionally, the Regional Geotechnical Engineer must be consulted to review the existing subsurface conditions and provide recommendations for an embankment foundation, drainage provisions and subgrade sufficient to support the pavement structure. At a minimum, a subbase material similar to the existing subbase should be used under the widened pavement. To better ensure adequate drainage, however, it is preferred practice to use the open graded subbase, Crushed Stone Aggregate Subbase Course. Where it is decided that an edge drain system should be installed, the area outside of the drains may be constructed of normal embankment materials, although subbase is preferred as shown in Figure 3-19. Where no drain is to be provided, the subbase should be carried to daylight and the bottom surface should slope to drain without pockets that might pond water and contribute to frost heave. Where slopes are cut, the Regional Geotechnical Engineer should be consulted for recommendations on interceptor ditches, slope geometry and treatment, and catchment areas. If a concrete lane is to be added adjacent to an existing concrete lane, 1) any damaged concrete should be milled out and repaired prior to placing the new concrete slab, 2) holes should be drilled into the existing slab in accordance with the design guidance for longitudinal joint ties contained in Standard Specification 502, 3) the subbase should be brought to a properly prepared surface to permit pouring of a concrete slab matching the thickness of the existing slab, 4) the longitudinal joint ties should be grouted into the existing slab, 5) the new slab should be poured with transverse joints matching the locations of the existing transverse joints, and 6) the longitudinal joints should be properly sealed to prevent intrusion of unwanted material. Details for concrete lane additions/widenings that are not covered by the Standard Specifications or Standard Sheets (e.g. construction of unusual transverse or longitudinal joints) should be explained in special details and specifications as necessary. If an asphalt widening is to be constructed, the subbase should be brought to the appropriate surface, the edges of the existing asphalt courses should be cleaned or saw cut to provide a sound interface, and a tack coat should be applied prior to placing the new asphalt.

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TYPICAL SECTIONS

Rutting problems may develop at the edge of shoulder in areas where shoulders are not wide enough to accommodate vehicles, where mailboxes are set well back from the shoulder, and on the inside of turns. Rutting problems are particularly likely to develop in residential areas where ditches are absent or minimal and topsoil extends close to the road. When such roads are to be reconstructed, care should be taken to ensure that steps have been taken to minimize the frequency of vehicles driving off of the shoulder and/or that the material immediately adjacent to the shoulder has reasonably good strength to resist the development of ruts. To minimize vehicles driving off of the shoulder, consideration should be given to placing any mailboxes that must be replaced between 200 and 300 mm from the edge of shoulder. Additionally, where conditions permit, the inside radius for heavy duty shoulders at intersections should be equal to or exceed the turning radius of an SU (Single Unit) truck. The treatment of the area from a depth of 150 mm up to the surface should depend on the anticipated potential for rutting. If there is judged to be little potential for rutting and the homeowners indicate a desire to extend lawn up to the edge of the shoulder, designers may indicate the placement of topsoil, provided that is consistent with Regional policy/practice. If there is the potential for rutting, the normal treatment should be to place subbase material to a thickness of 150 mm adjacent to the shoulder. While limits may vary depending on the job, normal practice would be to indicate payment limits with a depth of 150 mm and a width of 600 mm. In areas that experienced severe rutting prior to construction and where the same potential is expected to exist after construction, consideration may be given to using reclaimed asphalt material in this same shoulder backup area. For reference, see Special Specification 05203.1409 M Shoulder Backup for Newly Placed Shoulders - Reclaimed Bituminous Material Option. Where the subbase materials in reconstructed sections will not drain laterally to roadside ditches or embankment side slopes (bath tub sections), underdrains will typically be installed (see Figure 3-22). The lateral payment limit for the subbase course would typically be 300 mm beyond the edge of the paved shoulder. To limit the amount of surface water that can enter the drain, the backfill between the paved shoulder and the outside of the excavation should include a 150 mm cap of fairly low permeability fill. The lateral payment limits for this cap material should typically be a 600 mm strip, but may be adjusted to match the job. Typical sections should note that backfill between this cap and the subbase course is to be either subbase material or low permeability material selected and compacted to the satisfaction of the EIC. Normally, its lateral payment limit will match that of the underlying subbase. Note that, in many instances, the subbase will both have low permeability and provide good strength to resist rutting. Where overlays are placed, it is desirable to limit the dropoff at the edge of shoulder. Dropoffs in excess of 50 mm should be addressed during construction. This should be accomplished by either placing a wedge or ramp of backup material at the edge of shoulder or, if the overlay or resulting difference in elevation is large enough, by filling a wider area beyond the shoulder. Within 600 mm of the shoulder, this wedge or filling should be subbase quality material or, if a significant rutting problem exists, the reclaimed asphalt, referenced above, may be considered.

3.3.5

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TYPICAL SECTIONS

3.4

DRAWINGS

The typical section drawings shall show all relevant elements to be constructed. This shall include all different rates of slopes of cut and fill, the widths of the roadway, median, and sidewalk, the shape of the finished pavement and shoulders, and the curb and gutter if they are a part of the design. The location of barriers and the design clear zone widths (or clear runout widths where appropriate) shall be indicated and may be supplemented with tables as necessary. Widths should generally be shown in meters and thicknesses in millimeters. All typical sections shall show their relation to a theoretical grade line and a horizontal control line. Centered immediately below each section should be its title and the stationing of the intervals where the section applies. Scale is discussed below. Where elements of the section vary, it is permissible to indicate the variation with station for each element, rather than drawing separate sections. Where an element has numerous variations, a separate table should be provided. Such elements might include guide rail location, shoulder width, clear zone widths, edge drain locations, etc. On smaller projects, these tables may be included on the typical sections sheets. Larger tables on larger projects should be included on the sheets for Miscellaneous Tables. Regardless of where the information is provided, it should be presented in such a manner as to be clear on what the required dimensions are at any station within the project. For all items shown on the sections, the typical sections should show the payment item numbers and the payment lines (or for appropriate items, the payment limit. See definitions in beginning of Standard Specifications for distinction). In the lower left hand corner of the drawing, the description and payment units for each item number should be provided. On projects with numerous typical sections sheets, this should be done independently for each sheet. On smaller jobs, the items may be described on the first sheet of typical sections and referred to by subsequent sheets, although providing descriptions on each sheet is preferred practice. In addition to the block or blocks of item descriptions, a block should be provided for notes. If the number of notes is extensive, notes of a more general or comprehensive nature should be placed in the block and notes specific to one part of the drawing should be placed close to that part of the drawing. In general, the typical section drawings should conform to the guidance in Chapter 21. The drawings should be grouped together with sequenced drawing numbers consisting of a consistent alphabetic code indicating they are typical section drawings followed by sequential numbers. TS is the normal alphabetic code for typical sections, although TY or T may also be used. It is preferable for typical sections to be drawn to scale, but it is not considered mandatory. When all sections on one sheet are drawn to the same scale, that scale should be indicated in the title block. When individual sections are drawn to different scales, the scale block should indicate "As Shown", and the sections should have their individual scales shown. If the sheet has one or more sections that are not drawn to scale, "NTS" or the words "Not to Scale" should be placed below those sections. Regardless of whether or not the drawings are drawn to scale, all relevant dimensions should be indicated on the typical sections.

3.4

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Samples of completed Typical Section drawings are shown as Figures 3-23 and 3-24, Sample Typical Sections. These are provided for illustration of drawing organization and should not be referred to for technical details.

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3-90 3.5 REFERENCES

TYPICAL SECTIONS

1.

Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities, Dec. 1993, Landscape Architecture Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232. A Policy on Geometric Design of Highways and Streets, 1994, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Highway Sufficiency Ratings, 1994, Data Services Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232. NCHRP Synthesis 191 - Use of Rumble Strips to Enhance Safety, National Cooperative Highway Research Program, Transportation Board, National Research Council, 2101 Constitution Avenue, Washington, D.C. 20418. New York State Thickness Design Manual for New and Reconstructed Pavements (Pavement Design Manual), Revision 1, October, 1994, Technical Services Division, New York State Department of Transportation, State Campus, Albany, New York, 12232. (NYSDOT) Manual of Uniform Traffic Control Devices, 1983, request as NYCRR Volume 17B from West Group Order Fulfillment, 620 Opperman Drive, PO Box 64833, St. Paul MN 55164-9752 (Tel. 1-800-328-9352). Pavement Marking Policy, June 1987, Technical Services Division, New York State Department of Transportation, State Campus, Albany, New York, 12232. Pavement Rehabilitation Manual, Volume I - Pavement Evaluation, June 1990, Materials Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232. Pavement Rehabilitation Manual, Volume II - Treatment Selection, May 1993, Materials Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232. Policy and Standards for Entrances to Highways, 1998, Support Services Bureau (Plan Sales Unit), New York State Department of Transportation, State Campus, Albany, New York, 12232. Rock Slope Hazard Rating Procedure, October 1993, Soil Mechanics Bureau (now the Geotechnical Engineering Bureau), New York State Department of Transportation, State Campus, Albany, New York, 12232.

2.

3. 4.

5.

6.

7. 8.

9.

10.

11.

3.5

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Safety Investigation Procedure Manual, Traffic Engineering and Highway Safety, New York State Department of Transportation, State Campus, Albany, New York, 12232. Standard Specifications - Construction and Materials, 1995,Support Services Bureau (Plan Sales Unit), New York State Department of Transportation, State Campus, Albany, New York, 12232.

Engineering Instructions EI 87-030 EI 92-015 EI 92-026 EI 93-028 EI 97-013 Pavement Marking Policy Project Level Pavement Selection Process Pavement Restoration Techniques, 1992 Repair of Spalled Areas, Joints and/or Cracks in PCC Pavement Safety Shoulder Rumble Strips (SAFE-STRIPS) Policy and Revised Installation Details

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APPENDIX A - TYPICAL SECTIONS CONVENTIONAL ASPHALT MATERIAL SELECTION

3 .6

GENERAL

Selection guidelines for various conventional asphalt pavement items are given below. Refer to the Standard Specifications, Section 400 - Bituminous Pavements, for further details on these materials. As indicated in Tables 3-10 and 3-11, selection criteria for binder and top courses should be based on the Functional Classification as defined in the Highway Sufficiency Rating manual (see Table 34), the Equivalent Single Axle Loads (ESALs) and, in some cases, the Average Annual Daily Traffic (AADT). The number of ESALs may be estimated by using the "Simple" ESAL calculation method outlined in the PTDM for HMA pavements with modifications for a 15 year period and differing growth rates as discussed in Section 3.2.4.5. 3.7 ASPHALT MIXES

3.7.1

Type 1 Base Course (Dense-Graded)

This Dense-Graded mix shall be used as a base course for full-depth HMA pavements, full-depth HMA widenings adjacent to either PCC pavement or other dense-graded HMA pavements, and complete or partial replacement of PCC slabs. The base course thickness will vary according to the required pavement thickness. The minimum lift thickness for the base course shall be 75 mm. The maximum lift thickness shall be 125 mm. If a thicker course is required, multiple lifts must be shown on the plans. 3.7.2 Type 2 Base Course (Open-Graded)

This Open-Graded mix shall only be used when widening adjacent to existing pavements having an Open-Graded base course or when widening adjacent to rubblized concrete. The use of the Open-Graded base course in this manner should maintain the existing drainage pattern and provide for consistent performance across the pavement. The course and lift thickness requirements are the same as for Type I. 3.7.3 Asphalt Treated Permeable Base Course This course is required as a positive drainage layer under all full depth HMA pavements designed using the ESAL-based procedures presented in the PDM. This course, or a cement-treated permeable base, is also required under PCC pavements designed by the ESAL-based procedures in the PDM. The course shall be placed directly on the prepared subbase course (and edge drain systems) and should extend 100 mm beyond the edges of the subsequent layer.

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The thickness of the layer must be 100 mm (nominal). This mix should not be used as a substitute for either Dense Graded or Open Graded Base courses. The specification for this item is presently a Main Office insert. 3.7.4 Type 3 Binder Course Mixes Type 3 Binder Course Type 3 HD Heavy Duty Binder Course Type 3 RA Rut Avoidance Binder Course Type 3 and Type 3 RA may be used in new HMA pavements or as the Binder course for overlays on 1) PCC, 2) previously overlaid PCC or 3) full-depth HMA pavements for all Functional Classifications (as defined by the Highway Sufficiency Rating manual and shown in Table 3-4). Type 3 HD may be used in new HMA pavements or as the Binder course for overlays on PCC, previously overlaid PCC or full-depth HMA pavements, but only when placed on a prepared surface (Truing and Leveling course has been placed as needed to permit placement of the Binder at a constant thickness and compaction to achieve high density) and only for Functional Classifications Urban 11, 12, 14, and Rural 01 and 02. The selection criteria will be based on the Functional Classification of the roadway and a determination of the ESALs which will be encountered over the length of the project. The specific mix selection criteria and thickness requirements for these mixes are given in Tables 3-10, 3-11 and 3-12, which follows these sections on HMA. Type 3 HD and Type 3 RA specifications are presently Main Office inserts. 3.7.5 Type 5 Shim Course This sand asphalt mix shall be specified for filling wheel or pavement ruts when the ruts are 9 mm or greater in depth (distance measured to bottom of rut from string line stretched across lane width). Typically, the pavement evaluation and treatment selection report (PETSR) (See EI 92-15) will indicate to the designer the need to specify the use of a Shim and/or a Truing and Leveling course (see below) on the sections, but a site visit will be needed during design to confirm the need and estimate its quantity. If ruts in excess of 25 mm depth are present, other treatment options, such as milling and inlay, should be considered. When Shim is needed, the ruts shall be filled (typically to a width of approximately 1.2 m) and compacted as a separate pay item prior to paving the Truing and Leveling course or Binder course. The purpose of filling the ruts prior to paving the succeeding layers is to provide an even base on which the next layer may be placed and uniformly compacted. A uniform thickness is necessary to achieve adequate density during compaction.

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3.7.6 Truing and Leveling Course The purpose of a truing and leveling course is to bring the surface of the existing pavement to the same transverse and longitudinal slope required for the finished pavement surface. A Truing and Leveling course should be indicated on the sections when the PETSR indicates the need. There is no specific Truing and Leveling material. This course will be of variable thickness and its material composition will be adjusted in accordance with the thickness required. The Specifications in Section 401-3.07 provide general guidance on the materials that should be used for the different course thicknesses required. Specific judgements as to the thicknesses required at specific locations and the corresponding materials to be used should be left to the discretion of the Engineer in the field. In general, for thicknesses up to 40 mm, either a Type 5 Shim mix or a top course mix should be used, with the Shim being preferred for the courses that are generally on the thin end of the range. For course thicknesses over 40 mm, a dense binder course mix should be used; however, where compacted thicknesses of 100 mm or greater are required, the Engineer may approve the use of a dense base course mix. Note that Truing and Leveling is only meant for use in limited areas where it is necessary to bring the surface of the existing pavement to the correct transverse slope and longitudinal slope for the finished pavement surface. See the section on Shim Course (above) for details of the initial filling of wheel ruts between 9 and approximately 25 mm deep. Truing and leveling is not to be used as a substitute for a lift of an overlay by specifying full width applications of a given minimum thickness. When corrections are needed over the length of the project, an initial asphalt paving course of the minimum thickness and the appropriate type to correct the transverse slope is to be specified. 3.7.7 Type 6F Top Course Mixes Type 6F Top Course Type 6F HD Heavy Duty Top Course Type 6F RA Rut Avoidance Top Course Type 6FX Friction Top Course The Type 6 mixes are coarser than the Type 7 mixes. The choice of which to use is a matter of regional preference and typically reflects aggregate availability. Additional considerations may be smoothness for bicyclists and pedestrians. Type 6F and 6FX Top courses and Type 6F RA Rut Avoidance Top course may be used as the surface course for new HMA pavements or as overlays on PCC, previously overlaid PCC, or fulldepth HMA pavements. Type 6F HD Heavy Duty Top course may be used as the surface course for new HMA pavements or as overlays on PCC, previously overlaid PCC, or full-depth HMA pavement, but only when placed on a prepared surface (Truing and Leveling course has been placed as needed) and only for Functional Classifications Urban 11, 12, 14, and Rural 01 and 02.

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Depending on the Functional Classification of the highway, the selection criteria will be based on a determination of the ESALs which will be encountered over the length of the project and, in some cases, the AADT volume. When a Binder course is used with any of these materials, the type of Binder course must match the type of Top course used. (i.e. Heavy Duty Binder with Heavy Duty Top). These items should be used as the primary top course on Department maintained pavements when aggregate quality (occurrence of popouts) is not a concern. The Regional Materials Engineer should be consulted on this restriction. The specific mix selection criteria and thickness requirements for these mixes are given in Tables 3-10, 3-11 and 3-12. The special specifications for Type 6F HD, 6F RA, and 6FX are currently Main Office inserts. Where traffic volumes make dolomite content a concern, as in the downstate and high volume areas specified in note 2 below Table 3-10, Item 6FX should be specified due to its friction aggregate requirements. 3.7.8 Type 7F Top Course Mixes Type 7F Top Course Type 7F HD Heavy Duty Top Course Type 7F RA Rut Avoidance Top Course Type 7FX Friction Top Course Type 7F, 7FX and Type 7F RA may be used as the surface course for new HMA pavements or as overlays on PCC, previously overlaid PCC, or full-depth HMA pavements. Type 7F HD may be used as the surface course for new HMA pavements or as overlays on PCC, previously overlaid PCC, or full-depth HMA pavements, but only when placed on a prepared surface (as above), and only for Functional Classifications Urban 11, 12, 14, and Rural 01 and 02. The selection criteria are the same as for the Type 6F items except that the 7F items should be used when aggregate quality (occurrence of popouts) is a concern. When needed, the type of binder used should match the type of top course used (i.e., use 3 HD under 7F HD). The Regional Materials Engineer should be consulted on the use of these mixes. The specific mix selection criteria and thickness requirements for these mixes are given in Tables 3-10, 11 and 12. The special specifications for Types 7F HD, 7FX and 7F RA are currently Main Office inserts. Type 7FX, due to its friction aggregate requirements, should be specified where dolomite content is a concern, as in the downstate and high volume areas specified in note 2 below Table 3-10. 3.2.9 Type 10FX Open-Graded Surface Course This Open-Graded Surface course provides a pavement with both surface and internal drainage channels to reduce "hydroplaning" of vehicle tires under heavy rain conditions by quickly removing excess water from the traveled surface. This mix should be considered for use in areas with a history of a high number of wet-weather skidding accidents. However, open-graded mixes tend to

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cover over with snow more quickly than adjacent dense graded mixes, primarily at the beginning and end of the winter season. The minimum thickness of this course shall be 40 mm (nominal). Adjacent shoulder surface courses shall also be open-graded or they will act as dams, reducing the cross-slope drainage characteristics of the pavement. The Regional Materials Engineer must be contacted for the specification and additional guidelines to ensure the proper use of this mix. 3.7.10 Superpave Ice Retardant Top Course Mixes These surface courses are the same as Superpave top courses, except that they include the use of an anti-icing additive, at varying rates depending on traffic conditions. The additive consists of encapsulated calcium chloride pellets which break down under the action of traffic to form a mild brine which blocks the tight adhesion of ice to the surface. The ice retardant mixes have proven especially useful on bridges with a significant history of ice-related accidents. Use of this material must be reviewed and approved by the Regional Traffic Engineer (RTE) based on an analysis of accident data and traffic volumes, unless it is being used where an ice retardant overlay is presently in place. Typically, the RTE will identify the need for this material. Once an ice retardant top course is used at a site, any subsequent overlays must also use an ice retardant top course, unless a thorough engineering study indicates, to the satisfaction of the RTE, that sufficient site changes have occurred to justify returning to normal top mixes. When a new installation of ice retardant mix is being considered, its cost must be compared to other alternatives that may also reduce the number of ice-related accidents, such as removing trees which shade sections of the pavement. The current estimated cost and service life for ice-retardant asphalt overlays can be obtained from the Regional Materials Engineer (RME). The special specifications for these proprietary items can also be obtained from the RME, along with the details of the mix design, thickness, and compaction requirements. Note that schedules usually need long lead times for ordering and delivery of the additive.

3.8 ASPHALT ITEM SELECTION Selecting the total thickness of the asphalt section (how much base, binder and top) will depend on the requirements discussed earlier for either conventional asphalt design (Section 3.2.4.3) or ESALbased design (Section 3.2.4.4). For some low volume roads, the minimum course thicknesses may actually govern. Selection of the specific conventional asphalt item type will involve four decision steps as laid out moving from left to right in Tables 3-10 and 3-11. The decisions are as follows. 1. What is the project's Functional Classification? 2. If it has a high volume Functional Classification (indicated in Table 3-11), does it have either Full or Partial Control of Access? 3. What is the projects location, 15 year ESAL count, and AADT/lanes relationship? For the tables, the City of New York, and the surrounding counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suffolk and Westchester are referred to as Downstate. High volume

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refers to 2 or 3 lane highways with design year AADTs over 8000, or for more than three lanes, with AADTs over 13,000. 4. Does the project involve less than 5000 Mg of each lift or is it in proximity to areas where vibratory compaction may be a problem? Table 3-10 Functional Classification Pavement Selection for General Highways - Conventional Asphalt ESALs1 Less Than 1.5 x 10 6 Downstate 2 OR High Volume Yes U16 - Urban Minor Arterial U17 - Urban Collector U19 - Urban Local R06 - Rural Minor Arterial R07 - Rural Major Collector R08 - Rural Minor Collector R09 - Rural Local Yes No Over 5000 Mg AND NOT Vibratory Sensitive

Mix Type

18403.170201, 6 FX 18403.1901, 7 FX 403.13, 3 403.17, 6F 403.19, 7F Yes 18403.1336, 3 RA 18403.1736, 6F RA 18403.19363, 7F RA 18403.1335, 3RA 18403.1735, 6F RA 18403.19353, 7F RA 18403.1336, 3 RA 18403.1736, 6F RA 18403.19363, 7F RA 18403.1335, 3RA 18403.1735, 6F RA 18403.19353, 7F RA

Yes No No Yes No No

NOTES
1. Compute ESALs using Simple method with compound traffic growth detailed in the NYS Thickness Design Manual for New and Reconstructed Pavements using 15 year service life. For projects with differing AADTs, use the maximum AADT encountered over the length of the project. The City of New York, and the surrounding counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suffolk and Westchester are referred to as 'downstate'. All other areas are referred to as 'upstate'. 'High volume' refers to 2 or 3 lane highways with design year two-way AADTs over 8000, or for more than three lanes, with two-way AADTs over 13,000. Low volume refers to highways with lower volumes for the specified number of lanes. These mixes require the concurrence of the Regional Materials Engineer.

2.

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3.9 LIFT THICKNESS LIMITATIONS In general, minimum lift thicknesses are constrained by the maximum size aggregate used in the mixture. Maximum lift thicknesses are set to ensure that the full thickness of the lift is adequately compacted. If the required course thickness (structural requirements in Sections 3.2.4.3 and 3.2.4.4) of a given item exceeds the maximum permissible lift thickness, then multiple lifts are to be used to obtain the required course thickness. Table 3-12 lists the minimum and maximum lift thicknesses for the mix types. Table 3-11 Pavement Selection for High Volume Highways - Conventional Asphalt Functional Classification Full/Partial Control of Access Downstate 1 OR High Volume Over 5000 Mg AND NOT Vibratory Sensitive 18403.1318, 3 HD 18403.1718, 6F HD 18403.1918, 7F HD Yes Yes No No R01 - Rural Principal Arterial Interstate R02 - Rural Principal Arterial Other NOTES
1. The City of New York, and the surrounding counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suffolk and Westchester are referred to as 'downstate'. All other areas are referred to as 'upstate'. 'High volume' refers to 2 or 3 lane highways with design year two-way AADTs over 8000, or for more than three lanes, with two-way AADTs over 13,000. Low volume refers to highways with lower volumes for the specified number of lanes. These mixes require the concurrence of the Regional Materials Engineer.

Mix Type

U11 - Urban Principal Arterial Interstate U12 - Urban Principal Arterial Expressway U14 - Urban Principal Arterial Other

Yes

18403.1336, 3 RA 18403.1736, 6F RA 18403.19362, 7F RA 18403.1335, 3RA 18403.1735, 6F RA 18403.19352, 7F RA 18403.1336, 3 RA 18403.1736, 6F RA 18403.19362, 7F RA 18403.1335, 3RA 18403.1735, 6F RA 18403.19352, 7F RA

Yes No No

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Table 3-12 Limits on Permissible Lift Thicknesses - Conventional Asphalt Mix Types 3, 3 HD, 3 RA 6F HD, 6F RA 7F HD, 7F RA 6F, 6 FX 7F, 7FX Minimum Lift Thickness (mm) 40 40 40 25 25 Maximum Lift Thickness (mm) 75 50 50 50 50

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TYPICAL SECTIONS INDEX SUBJECTS

3-101

SECTION LOCATION

Access Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.9.3 C Accessibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.11.4 Access, Rockfall Clean-Up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.15.2 ARDs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.5 Asphalt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5, 3.7, 3.8 Base Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 Barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.7 Binder Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 Clear Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.6 Concrete Pavement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.3 Control Lines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.1 Conventional Pavement Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.3 Crack and Seat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1.2 B, 3.3.2 Curb . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.9 Ditches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.14 Drawings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4 Driveway Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.11.4 Earth Backslopes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.15.1 Edge Drains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.4, 3.3.5, 3.2.4.6, 3.2.9.3 B Embankments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.13, 3.2.14.2, 3.2.15.1 Embankment Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.13.2 ESAL-based Pavement Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.4 Flush Paved Medians . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.8.2 Frost Layer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.6 Gutter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.10 Lateral Clearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.6 Medians . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.8 Mowing Strips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.7, 3.2.9.4 B Overlays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1 Parking Lane . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.10 Pavement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4 Performance Graded Binders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 C Permeable Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.4, 3.2.4.5, 3.2.9.3 B Quality Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 B Raised Medians . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.8.2 C, D Rebate, Pavement Splice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1.1 Right of Way . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.11.4, 3.2.16 "Ritchie Ditch" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.15.2 Roadway Delineators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.5 Rock Backslopes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.15.2 Rollover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.5 Rounding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.12, 3.2.13.3, 3.2.14.1, 3.2.14.2 11/20/98

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Rubblizing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1.2 C, 3.3.3 Rumble Strips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.5,4 SAFE-STRIPS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.5.4 Saw and Seal (Joints) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1.2 A Shim Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 Shoulders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.5, 3.2.9.3 D Shoulder Breaks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.12 Shoulder Rumble Strips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.5.4 Sidewalks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.11 Slopes, Fill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.13 Slopes, Rock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.15.2 Snow Storage Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.11.1 Splices, Pavement Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1.1 B Subbase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.3, 3.2.4.6, 3.3.1.2, 3.3.4, 3.3.5 Subgrade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.6 SUPERPAVE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 Template, Driveway . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.11.4 Termination Splice, Pavement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1.1 Terminology, Highway . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.1 Top Courses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 Truing and Leveling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4.5 Two-Way Left Turn Lanes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.8.2 Underdrain Retrofitting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.5 Vibration Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4 Widenings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.4, 3.3.5

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Chapter 4 - Design Criteria & Guidance For Bridge Projects On Low Volume Highways

Revision 36

February 5, 1999

CHAPTER 4 DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS Contents Page

4.1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 4.1.1 4.1.2 4.1.3 Purpose & Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 4-1 4-2

4.2 HIGHWAY CLASSIFICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3 4.3 ACCIDENT ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 DESIGN SPEED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4.1 4.4.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Steps for Setting Design Speed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5 4-6 4-6 4-7 4-12 4-17 4-17 4-19 4-20

4.5 DESIGN CRITERIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.6 OTHER CONTROLLING DESIGN PARAMETERS . . . . . . . . . . . . . . . . . . . . . . . . . 4.7 SIGNING & DELINEATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.8 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.9 OTHER SOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

LIST OF TABLES 4-1 4-2 4-3 4-4 4-5 4-6 Operational Type for Low Volume Highways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4 Design Speeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-7 Form for Selecting the Appropriate Design Speed . . . . . . . . . . . . . . . . . . . . . . . . . 4-11 Design Criteria & Guidance For Bridge Approaches . . . . . . . . . . . . . . . . . . . . . . . 4-13 Stopping Sight Distance, Minimum Radius of Curve & Maximum Grade . . . . . . . . 4-15 Non-Standard Feature Justification Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-18

LIST OF FIGURES 4-1 Example Speed Study Locations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-9

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4.1

INTRODUCTION

4.1.1 Purpose & Applicability This chapter provides specific requirements and guidance for setting the design criteria for locally owned bridges and approaches on low-volume highways in rural and urban areas. It may be used regardless of the fund source. Low volume is defined as a current Average Daily Traffic (ADT) of 400 vehicles per day (vpd) or less. This chapter does not apply to: ! ! ! projects on the State highway system or the National Highway System (NHS); bridges with a current traffic volume over 400 vpd; projects with substantial, anticipated development and/or increases in traffic within the design life of the project (Refer to the latest Traffic Forecast Policy located in Appendix D of the Scoping Procedure Manual to determine the design year. For example, 30 years should be used for new bridges); or bridge work associated with a larger highway project. The standards for highway projects are Chapter 7, Section 7.3 for Non-Freeway 3R projects and Chapter 2, Section 2.7 for new and reconstruction projects. Bridge work associated with a larger highway project, such as a 3R project, should be designed in accordance with Section 2 of the Bridge Manual and either Chapter 2 or Chapter 7 of this manual.

Other chapters, manuals and Engineering Instructions provide requirements and guidance for design elements not included in this chapter, such as pavement design, traffic control devices, guide rail, accommodation of pedestrians and bicyclists, drainage, utilities, landscaping, driveways, etc. Therefore, these other chapters, manuals and Engineering Instructions must be used to produce an acceptable design product. For example, Chapter 10 of this manual should be consulted for the guide rail design on the bridge approaches. 4.1.2 Background Historically, the bridge approach alignment was constructed to allow the shortest span bridge and achieve the most economical crossing. This often resulted in a forced fit of a right angle crossing, which was probably satisfactory when vehicle speeds were low due to the condition of the approach roadway and the limitations of early motor vehicles. Today, paved highways and modern vehicles have led to progressively faster operating speeds on the adjacent highway sections, the bridge and its approaches. In many cases, the safety and operational characteristics at the bridge site have remained satisfactory. However, in some situations, the combination of the alignment and speeds have violated the expectations of the reasonable and prudent driver and have resulted in an unsatisfactory accident history on the bridge and/or approaches.

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS

When designing a bridge project, the designers responsibility is to evaluate the accident history for the bridge and approaches to determine if any adjustments in the geometrics or signing are necessary and cost effective. If the existing alignment is satisfactory from a safety and operational perspective, adjustments to the alignment are generally not cost effective, especially for a bridge rehabilitation project. To provide a cost effective design, Section 4.4 of this chapter allows a design speed that is up to 24 km/h (15 mph) below the operating speed for low volume, local bridge projects with an acceptable accident history. The basis for allowable blanket reductions in the design speed is similar to the approach taken by the Non-Freeway 3R Standards referenced in Chapter 7, Section 7.3 of this manual for retaining horizontal and vertical alignment and is consistent with the philosophy contained in Transportation Research Boards Special Report 214 Designing Safer Roads. Highway engineers have the benefit of working with the existing bridge site and can observe and measure the safety, design and operational characteristics of the bridge and its approaches, including the combined effects of the horizontal and vertical alignment. In contrast, the 3R Standards do not allow a design speed based on a reduction in the operating speed as the 3R Standards apply to long segments of highway rather than spot locations and such reductions would not occur over the length of a highway project. Individual geometric elements, such as the minimum radius and stopping sight distance may be designed with a safe operating speed less than the design speed, if justified in accordance with Chapter 2, Section 2.8 of this manual. However, when the bridge must be constructed on new alignment in order to maintain traffic on the existing bridge, the geometrics of the bridge site can often be economically designed to meet the design criteria. 4.1.3 Definitions The following definitions are provided to clarify terms used in this chapter. Additional definitions are provided in Chapter 2, Section 2.4 of this manual and Section 2.2 of the Bridge Manual. Adjacent Highway Segments - The highway segment next to the bridge site that is unaffected by the geometrics of the bridge. The length of this segment may vary from 400 m (1/4 mi.) to 800 m (1/2 mi.) or more. Bridge Approach -The portion of highway immediately adjacent to the bridge that affects the geometrics of the bridge (e.g., line, grade, width and location). The approach includes the horizontal and vertical curves and grades that connect the highway alignment to the bridge alignment. For examples, refer to the bridge sites (which include the bridge and approaches) shown in Figure 4-1. For approaches without horizontal and vertical curvature, the minimum length is 30 m (100 ft.).

4.1.2

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4-3

Bridge Project - Defined as a project with the primary objective to rehabilitate, replace or construct a bridge. Incidental highway approach work is often needed for bridge rehabilitations while substantial approach work may be needed for bridge replacement projects. Bridge Site - The bridge and its approaches.

4.2

HIGHWAY CLASSIFICATIONS

Low volume highways are defined as rural roads and urban streets with a current ADT of 400 vpd or less. This volume limitation and the following classifications are based on the Manual: Guidelines for Rural Town and County Roads, which was developed by the Local Road Classification Task Force, created by 1986 State Legislation. In rural New York State, these highways comprise a majority of the combined village, town and county highway system. The classifications establish a close relationship between the uses of low volume highways and their design, maintenance and operation. The classifications identify the traffic volumes, vehicle types and seasonal use characteristics, etc., present on New York States low volume highways. ! Low Volume Collector - collects traffic from any of the other classifications and channels it to higher level roads, such as arterials, interstates, etc. ! Residential Access - provides access to residences. The traffic volume generated depends on the number of residences. Year round access for fire trucks, ambulances and school buses must be provided. ! Farm Access - provides access to a farms center of operations, including the residence. Traffic volume is generally low, but may include occasional heavy trucks and farm equipment. ! Resource/Industrial Access - provides access to industrial or mining operations. Traffic volume can vary and can include heavy trucks and significant numbers of employees cars. ! Agricultural Land Access - provides access to farm land. Traffic volumes are low and vary seasonally. These roads should accommodate farm equipment that can be up to 6.0 m (20 ft.) wide. ! Recreational Land Access - provides access to recreational land including seasonal dwellings and parks. Volumes of traffic can vary with the type of recreation facility and season of the year, and may include recreational vehicles. Subclassifications based on the type of operation anticipated on the highway are shown in the righthand column of Table 4-1.

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS Operational Type for Low Volume Highways Vehicles Using Highway All types Average Daily Traffic 50-400 <50 Operational Type A B B C A B A B C B C

Table 4-1

Highway Classification Low Volume Collector

Residential Access

Cars, emergency and service vehicles Cars, light trucks, occasional heavy trucks, farm equip. Heavy trucks, employees cars Occasional farm equip., seasonal Cars, R.V.s, seasonal

50-400 <50 250-400 <250 50-400 <50 -50-400 <50

Farm Access

Resource/Industrial Access Agricultural Land Access Recreational Land Access

The Operational Type refers to the three types of low volume highways. The following describe the functional and operating characteristics of each type of highway. ! An Operational Type A Highway is an all-purpose two-lane road or street where an operating speed of 70 km/h to 90 km/h (43 to 56 mph) or greater would be anticipated. Vehicles can pass in opposing directions with no reduction in speed. ! An Operational Type B Highway is a two-lane, two-way road or street serving primarily local access where an operating speed of 40 km/h to 70 km/h (25 to 43 mph) would be anticipated. Opposing trucks cannot pass without reducing speeds and cars cannot pass opposing trucks without reducing speeds, but opposing cars can pass with no reduction in speed. ! An Operational Type C Highway is a single lane, two-way road or street serving primarily local access where an operating speed of 40 km/h to 70 km/h (25 to 43 mph) would be anticipated. All opposing vehicles need to take special actions to avoid a collision.

4.2

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4.3

ACCIDENT ANALYSIS

On a low volume highway, the number of accidents may be low, but the accident rate may be very high because of the low traffic volume and short study segment. Therefore, it is necessary to examine the accident history over a 5 year minimum (preferably 10 year) period for a distance of 0.5 km (1/3 mi) on each side of the bridge (or proposed bridge site). Run-off-the-road (ROTR), head-on, and sideswipe accidents indicate that roadway alignment may be a contributing factor. Note the number of accidents in Part A of Table 4-3. In addition to accident records, a site inspection should be made to observe items such as damaged guide rail that would indicate past accidents. Also, since accidents often go unreported on low volume highways, discussions with local residents, police and maintenance crews may help identify an unreported accident problem or further quantify a marginal one. If there were no accidents in the 5 to 10 year period at the existing bridge and the traffic volumes are not anticipated to increase substantially, it may be assumed that the existing horizontal and vertical alignment allows motorists to safely traverse that section of roadway and, therefore, consideration may be given to retaining the existing geometrics in accordance with the requirements of this chapter. Conversely, a history of accidents is an indication that further analysis is required to determine the cause(s) of the accident(s) and to identify what actions, if any, could be taken to mitigate the accidents. There are 6 general elements that may contribute to or cause an accident. These are: 1. Condition or actions of the driver. Was the driver alert, asleep, or under the influence of drugs or alcohol? Was poor judgement exercised (e.g., extreme speed)? 2. Condition of the vehicle. Did the brakes fail? Were the tires worn? 3. Environmental conditions. Inclement weather, fog, or slippery pavement. 4. Condition of the engineering features of the bridge and bridge approach. Horizontal and vertical alignment, width of highway, superelevation, pavement condition, guide rail, and clear zone. 5. External causes such as deer and other motorists. 6. Missing or improper signing not in accordance with the New York State Manual of Uniform Traffic Control Devices (NYS MUTCD). When analyzing the accident data, do not put too much weight on certain contributing circumstances which have tended to become "catch-alls". The fact that all the accidents are listed as due to "driver error", "speed too fast", or "following too close" is not a reason to conclude that highway geometrics were not involved and that no further consideration is required. Also, as part of the accident evaluation, it is important to take the accident summaries, reports, and collision diagrams into the field to examine them at the actual field locations. This will help determine both the factors contributing to the accidents and possible mitigation measures.

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS

Identifying the cause(s) of the accidents usually will provide an insight into what corrective measures can be taken to minimize the potential for future accidents. Current estimates for the average cost of a fatal accident in the rural areas of New York State is over $3,700,000 and the average cost of an injury accident is over $100,000. Therefore, in addition to our normal duty and obligations, there are significant economic benefits to society to minimizing the frequency and severity of accidents. Refer to Chapter 5, Section 5.3 of this manual for additional information on accident analysis. 4.4 DESIGN SPEED

The design speed for a highway is used to set the horizontal and vertical alignment criteria that allow motorists to safely negotiate the most restrictive portions of the highway at the design speed. In other words, the horizontal and vertical alignment and superelevation of a highway govern the safe operating speed. Therefore, the selection of an appropriate design speed, as well as proper signing and delineation, is paramount to designing a safe bridge and highway approaches. 4.4.1 Background Since the primary function of low volume highways is to safely provide access to the abutting properties, the requirement to get from one point to another conveniently and with a minimum of delay may not always be the governing consideration in selecting the design speed. Therefore, less weight may be given to the travelers habits and desires (i.e., the off-peak 85th percentile speed) than to the functional classification of the highway. The designer must consider the potential for an increase in the number and severity of accidents caused by selecting an arbitrary design speed that results in design features that violate driver expectations or are inconsistent with the speed limit. While motorists should be expected to drive at a reasonable and prudent speed for prevailing conditions, they should not be expected to safely adjust their speed to a sudden change in the prevailing conditions. In urban and suburban areas, the traffic speeds may be incompatible with pedestrian and bicycle safety, mobility needs, local access needs and land use. While traffic speeds alone do not cause accidents, lower speeds are more compatible with turning movements, bicycle traffic and pedestrian traffic common in urban and suburban areas. For the situations where there is a desire to reduce the current operating speeds, refer to Chapter 25 of this manual for guidance on traffic calming considerations.

4.3

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4-7

The highway classifications discussed in Section 4.2 of this chapter provide the basis to select a reasonable and appropriate design speed based on the anticipated function and operation of the highway. The range of design speeds and the minimum design speeds are shown in Table 4-2 for each type of highway. Table 4-2 Design Speeds
Operational Type of Highway Design Speeds A Normal Design Speed (1) 70 km/h - 90 km/h (43 - 56 mph) 50 km/h (31 mph) 30 km/h (20 mph) B 40 km/h - 70 km/h (25 - 43 mph) 40 km/h (25 mph) 30 km/h (20 mph) C 40 km/h - 70 km/h (25 - 43 mph) 40 km/h (25 mph) 30 km/h (20 mph)

Minimum Design Speed

Level & Rolling Terrain Mountainous Terrain

NOTES: 1. The normal design speed range is shown for guidance only. The selected design speed for Type A and Type B highways may be outside the normal range due to consideration of the existing operating speeds and accident history.

4.4.2 Steps for Setting Design Speed Use Table 4-3 to select design speed for Type A, B and C highways using the following steps: Step 1 Accident Analysis - Perform an accident analysis in accordance with section 4.3. Note the type and number of accidents which may be related to the approach highway or bridge geometrics in Part A of Table 4-3. Existing Safe Operating Speed - The existing safe operating speed is the recommended speed of the existing bridge site as defined in Section 230 of the NYS MUTCD. The safe operating speed may be determined by using the existing geometry and calculating the safe operating speed from the geometric design criteria in Section 4.5 of this chapter and the tables and formulas from Chapter III of AASHTOs A Policy on Geometric Design of Highways and Streets, 1994. The existing safe operating speed for the horizontal alignment may also be determined by using a ball bank indicator reading of 10E or, when the radius and superelevation are known, by using Figure 231-1 of the NYS MUTCD.

Step 2 -

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS Operating Speed - Determine the existing operating speed by using the 85th percentile speed on adjacent highway segments where the motorists are not affected by the bridge or approach alignment at the bridge site (or proposed bridge site). Designers should also consider whether successive curves in the adjacent highway segments should be analyzed singly or as a group. When determining the location for the speed study, the designer should consider the operating speed in each direction on the adjacent highway segments to ensure that the study measures the highest approach speeds. Refer to Figure 4-1 for examples of how to locate the speed study and the area to be used when determining the 85th percentile operating speed on adjacent highway segments. For speed studies, the operating speed is the 85th percentile speed of the measured traffic. Operating speed can be determined or estimated by: ! a radar spot speed study of at least 30 vehicles (preferably 50 vehicles) that can be performed during peak periods. This is generally only practical for higher volume highways (250 vpd or greater). test cars or following car techniques where volumes are low. by using automated speed measuring devices. by using the data used to set a speed zone at the project site, if such data is still representative of current and anticipated operating conditions. by using 95 km/h (59 mph) from the State-wide operating speed study for rural collectors.

Step 3 -

! ! ! ! Step 4 Step 5 -

Minimum Design Speed - Determine the minimum design speed from Table 4-2. Design Speed - For bridge rehabilitation or replacements (on existing or new alignment), determine the design speed as follows and round to the nearest 10 km/h (5 mph): ! If the proposed centerline of the bridge is within 15 m (50 ft.) of the existing centerline and there is no accident pattern at the site attributable to highway or bridge alignment, use Part B of Table 4-3 to select a design speed.

4.4.2

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS Figure 4-1 Example Speed Study Locations

4-9

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS ! If the centerline of the proposed bridge is within 15 m (50 ft.) of the existing centerline and there are accidents but they are not attributable to highway or bridge alignment, consider improvements, such as: 1. 2. 3. 4. 5. 6. Improve signing and delineation Improve skid resistance Improve sight distance through clearing and grubbing Improve superelevation and add spiral transitions Widen the travel lanes and/or shoulder Clean ditches and improve drainage if width of spread extends into the travel lanes

If the proposed improvements will mitigate the accident problem, select a design speed using Part B of Table 4-3. Otherwise, select a design speed using Part C of Table 4-3. ! If the bridge is on a new centerline that is more than 15 m (50 ft.) from the existing centerline or there are accidents attributable to highway or bridge alignment, select a design speed using Part C of Table 4-3.

Since speeds often increase after construction of a project, engineering judgement should be used in determining the reasonableness and applicability of the design speed obtained using the above methods. The intent is to select a design speed that will accurately reflect speed conditions after the bridge is built or rehabilitated and ensure compatibility with the adjacent highway segments. Ideally, the design speed should be consistent with the highest operating speed on the adjacent highway section. However, if there is a large difference in the operating speeds on the approaches to the bridge, the selected design speed should reflect the need for a transition from the higher speeds on one approach to the lower speeds on the other side of the bridge. In the end, the selected design speed of the bridge and approaches should be consistent (i.e. within 24 km/h (15 mph)) with the surrounding highway segments, since abrupt changes in either design or operating speeds have been linked to vehicle collisions. Table 4-3 should be photocopied from this chapter and used in accordance with the above steps to determine the design speed.

4.4.2

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS Table 4-3 Form For Selecting The Appropriate Design Speed
Considerations
Part A - Existing Information: Normal Range for the Design Speed from Table 4-2 Minimum Design Speed from Table 42 Level and Rolling Terrain Mountainous Terrain Fatalities (Yes or No, Number) Accident History At Site (See Step 1) Personal Injuries (Yes or No, Number) Property Damage Only (Yes or No, Number) Are the accidents attributed to the bridge or highway geometrics? (Yes or No) Part B - If the centerline of the proposed bridge is within 15 m (50') of the existing centerline and there ARE NO accidents attributed to the bridge or highway alignment, determine the Design Speed by using the greater of: a. Safe Operating Speed at the Existing Bridge Site (Step 2) Existing Operating Speed Minus 24 km/h (15 mph) - (Step 3) Minimum Design Speed from Part A or Table 4-2 (Step 4) 70 km/h - 90 km/h (43 - 56 mph) 50 km/h (31 mph) 30 km/h (20 mph) 40 km/h - 70 km/h (25 - 43 mph) 40 km/h (25 mph) 30 km/h (20 mph)

4-11

Type A Highway

Type B Highway

Type C Highway

40 km/h - 70km/h (25 - 43 mph) 40 km/h (25 mph) 30 km/h (20 mph)

b.

c.

Part C - If the centerline of the proposed bridge is more than 15 m (50') from the existing centerline or there ARE accidents attributed to the bridge or highway alignment, determine the Design Speed by using the greater of: a. Safe Operating Speed at the Existing Bridge Site (Step 2) Existing Operating Speed (Step 3)

b.

c.

Minimum Design Speed from Part A or Table 4-2 (Step 4)

Selected Design Speed (Step 5) rounded to the nearest 10 km/h (5 mph).

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DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS DESIGN CRITERIA

4.5

The following is a list of the critical design elements for the design of off-system bridges on low volume highways. A definition of each of the critical design elements is contained in Chapter 2, Section 2.6 of this manual. Elements that will not meet the design criteria are to be justified in accordance with Chapter 2, Section 2.8 of this manual. A form that may be used to document the non-standard feature justification is included at the end of this chapter as Table 4-6. While values for the following critical design elements represent the minimums or maximums, the proposed project should be consistent with any planned improvements for the highway. Note that the use of the minimum or maximum values may not result in the optimum design from a quality or cost effective perspective. Values more desirable should be used whenever it is practical to do so after consideration of factors such as the social, economic and environmental impacts. A. Design Speed The design speed is to be established in accordance with the methods in Sections 4.3 and 4.4 of this chapter. As an alternative, the design speed may be established in accordance with Chapter 2, Section 2.7.2.1 A, and: Section 2.7.4.1 A for local rural roads, Section 2.7.4.2 A for local urban streets, Section 2.7.3.1 A for rural collectors, or Section 2.7.3.2 A for urban collectors. Note that a non-standard design speed is not to be used. A non-standard design speed cannot be justified since a reduction in the design speed effectively lowers several speed related critical design elements, which must be justified individually.

B. Lane Width Travel lane widths shall be determined from Table 4-4. Existing widths should not be reduced unless greater than the maximum widths determined in accordance with Section 2 of the Bridge Manual. C. Shoulder Width The minimum shoulder width is 0.6 m (2 ft.). Existing widths should not be reduced unless greater than determined in accordance with Section 2 of the Bridge Manual. Wider widths may be used, however, at least 0.6 m (2 ft.) of the shoulder should be paved if the traveled-way is paved. Additionally, the total shoulder width is to be flush (contiguous) with the traveled-way. 1.2 m (4 ft.) paved shoulders are desirable for bicycle routes, where there is substantial bicycle traffic or, if substantial pedestrian traffic is anticipated and sidewalks will not be provided. See Chapter 18 of this manual for guidance on facilities for pedestrians and bicyclists. 4.5 2/5/99

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In urban areas with no shoulder or curb offset, the approach width should transition to the bridge roadway width. Additionally, refer to Chapter 10 of this manual for the limitations on the use of curb based on the operating speed.

Table 4-4

Design Criteria & Guidance for Bridge Approaches

Type of Highway A 6.0 m (20 ft.) (1) 3.0 m (10 ft.) (1) 0.6 m (2 ft.) 3.0 m (10 ft.) Asphalt Concrete Aggregate B 5.4 m (18 ft.) (1) 2.7 m (9 ft.) (1) 0.6 m (2 ft.) 0.6 m - 3.0 m (2 ft. - 10 ft.) (4) Asphalt Concrete Aggregate ADT<150 vpd Aggregate C 3.0 m (10 ft.) (2) 3.0 m (10 ft.) (2) 0.6 m (2 ft.) 0.6 m (2 ft.) (5)

Design Criteria & Other Controlling Parameters Minimum Width of Traveled way Minimum Lane Width Minimum Width of Shoulder (3) Normal Width of Clear Zone Typical Surface Material ADT>150 vpd

NOTES: 1. Add 0.6 m (2 ft.) to the traveled way if there are more than 10% trucks (including RVs, buses and trailers). This will add 0.3 m (1ft.) to the lane widths. Wider widths may be used. 2. If farm vehicles are present, consider maintaining a 6.0 m (20 ft.) clear roadway width for the bridge. Widening of the traveled way should be provided at approximately 300 m (1000 ft.) intervals to allow opposing vehicles to pass. 3. In urban areas with no shoulder or curb offset, the approach width should transition to the bridge roadway width. Consider providing 1.2 m (4 ft.) paved shoulders for bicycle routes, where there is substantial bicycle traffic, or if substantial pedestrian traffic is anticipated and sidewalks will not be provided. 4. A minimum of 1.5 m (5 ft.) is preferred above 50 km/h (31 mph). Provide 3.0 m (10 ft.), if possible, on intersection approaches for sight distance and on the outside of sharp curves and curves at the bottom of long grades. 5. On low volume roads that have been designated and signed as a "Minimum Maintenance Road," a clear zone need not be provided.

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D. Bridge Roadway Width The bridge roadway width is the total width of the bridge, including shoulders or curb offsets. The clear roadway width for bridges carrying local roads shall be determined based on the provisions of Section 2 of the NYSDOT Bridge Manual with the following modifications and clarifications. 1. Bridge Replacements and New Bridges - For bridge replacements and new bridges carrying low volumes (design year volumes of 400 vpd or less), Section 2 of the NYSDOT Bridge Manual specifies that the approach roadway traveled-way width plus minimum shoulders be carried across the bridge. For low volume local roads classified according to this policy, the bridge roadway width should be the larger of the: ! ! ! 2. total width of the existing road and paved shoulders (with a maximum of the widths determined from Section 2 of the Bridge Manual), traveled way and shoulder widths of the new approach roadway, or the minimum traveled way and shoulder widths given in Table 4-4 for the classified type of roadway.

Bridge Rehabilitation - For bridge rehabilitations that are not part of a concurrent or planned highway project, the width should be determined from: ! ! ! retaining the width of the existing bridge to be rehabilitated provided there are no operational or accident problems which would justify a width improvement, determining the minimum rehabilitation width based on Section 2 of the NYSDOT Bridge Manual, or providing consistency with the operational type by widening to the widths in Table 4-4.

NOTE: This section amends Section 2 of the NYSDOT Bridge Manual in two respects: a. It modifies the One Lane Bridge Policy by allowing one-lane bridges to replace any bridges for low-volume highways classified as Operational Type C in accordance with Section 4.2 of this chapter and having a total roadway width (traveled way plus shoulders) of less than 4.9 m (16 ft.) provided the stopping sight distance and accident history meet the One Lane Bridge Policy requirements (items 4 & 6 on page 2B-2 of the Bridge Manual), and If an existing bridge can be rehabilitated and any safety problems can be clearly mitigated by signing, delineation or other low cost countermeasures in accordance with the NYS MUTCD or by other means, this section allows rehabilitating the bridge with the proper mitigation. 2/5/99

b.

4.5

DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS E. Grade Refer to Table 4-5 for the maximum grade based on the local terrain. F. Horizontal Curvature

4-15

The minimum radius shall be determined from Table 4-5. Refer to Chapter 5, Section 5.8.3.2 of this manual for guidance on non-conforming alignment such as compound, broken back and reverse curves. The effects of the combinations of vertical and horizontal alignment should also be considered.

Table 4-5
Vehicle Speed

Stopping Sight Distance, Minimum Radius of Curve & Maximum Grade

Stopping Sight Distance Minimum Radius of Curve1 30 m (98 ft.) 55 m (180 ft.) 90 m (295 ft.) 135 m (443 ft.) 195 m (640 ft.) 250 m (820 ft.) 335 m (1099 ft.) Maximum Grade (%)2 Level 8 7 7 7 7 6 6 Rolling 11 11 10 10 9 8 7 Mountainous 16 15 14 13 12 10 10

30 km/h (19 mph) 40 km/h (25 mph) 50 km/h (31 mph) 60 km/h (37 mph) 70 km/h (43 mph) 80 km/h (50 mph) 90 km/h (56 mph)

30 m (98 ft.) 50 m (164 ft.) 60 m (197 ft.) 80 m (262 ft.) 100 m (328 ft.) 120 m (394 ft.) 140 m (459 ft.)

NOTES 1. Based on a superelevation of 6.0%. If the superelevation is less, the minimum radius of curve is greater. Refer to Chapter 2, Tables 2-9, 2-10 & 2-11of this manual for other values. 2. Refer to Chapter 2, Section 2.5.2 of this manual to determine the appropriate terrain.

G. Superelevation The maximum superelevation rate for local roads is 6%. However, an 8% maximum superelevation rate may be used if it currently exists and it is not contributing to the accident history. The superelevation transition should be based on Chapter 5, Section 5.8.3.1. Increases in the superelevation rate from 6% to 8% for sharp horizontal curves require approval as a non-standard feature on a case by case basis. However, a rigorous non-standard feature justification is not necessary since AASHTO's "A Policy on Geometric Design of Highways and 2/5/99 4.5

4-16

DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS

Streets," 1994; FHWA's November, 1992 "Safety Effectiveness of Highway Design Features, Volume II: Alignment" (Publication No. FHWA-RD-91-045); the limited right-of-way; and the social, economic and environmental impacts of increasing the curve radius can be used to justify the increased superelevation rate. H. Stopping Sight Distance (Horizontal & Vertical) The minimum stopping sight distance is shown in Table 4-5. The road should be investigated to identify vertical crests and horizontal curves that restrict sight distance. Potential hazards include turning vehicles, sharp curves, cattle crossings, narrow bridges, or other conditions that demand specific driver responses. I. Lateral Clearance Not required. J. Vertical Clearance Determine from Section 2 of the NYSDOT Bridge Manual. K. Pavement Cross Slope Travel lane = 1.5% minimum to 2.0% maximum. L. Rollover Between travel lanes = 4.0% maximum. At edge of travel lanes = 8.0% maximum. M. Structural Capacity Determine from Section 2 of the NYSDOT Bridge Manual.

4.5

2/5/99

DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS N. Pedestrian Accommodation

4-17

To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual and the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities. 4.6 OTHER CONTROLLING DESIGN PARAMETERS

Other controlling design parameters determine the characteristics of important (critical and noncritical) design elements such as lane width, turning radii, etc. Significant other controlling design parameters are addressed in detail in other chapters of this manual. Examples include design storm, design vehicle, and clear zone. 4.7 SIGNING & DELINEATION

The bridge approaches on low volume local highways must be signed and delineated in accordance with the NYS MUTCD. Projects with a design speed of less than the regulatory speed (posted or 55 mph statutory speed) must provide the appropriate advisory and warning signs in accordance with the MUTCD.

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4.5

4-18

DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS Non-Standard Feature Justification Form
NON-STANDARD FEATURE JUSTIFICATION (in accordance with HDM 2.8)

Table 4-6

1.

Description of Non-Standard Feature Type of Feature (e.g., horizontal curve radius): Location: Standard Value: Existing Value: Proposed Value: Design Speed: Safe Operating Speed: Safe Operating Speed: km/h ( km/h ( km/h ( mph) mph) mph)

2.

Accident Analysis Current Accident Rate: Statewide Rate (based on similar type highways): Is the non-standard feature a contributing factor? Potential for Future Accidents and Accident Severity: 9 YES acc/mvm acc/mvm 9 NO

3.

Cost Estimates Cost to Fully Meet Standards: Cost(s) For Incremental Improvements: $ $

4.

Mitigation (e.g., increased superelevation and curve warning signs for a non-standard horizontal curve):

5.

Compatibility with Adjacent Segments & Future Plans:

6.

Other Factors (e.g., Social, Economic & Environmental):

7.

Proposed Treatment (i.e., Recommendation):

See 4.5

2/5/99

DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS 4.8 1. REFERENCES

4-19

A Policy on Geometric Design of Highways and Streets, 1994, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Americans With Disabilities Act Accessibility Guidelines for Buildings and Facilities, Dec. 1993, Landscape Architecture Bureau, New York State Department of Transportation, State Campus, Albany, NY 12232. Designing Safer Roads: Practices for Resurfacing, Restoration, and Rehabilitation, Special Report 214, 1987, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Manual: Guidelines for Rural Town and County Roads, December , 1992, edited and reprinted by Cornell Local Roads Program (March, 1997), 416 Riley-Robb Hall, Cornell University, Ithaca, NY 14853-5701. NYSDOT Bridge Manual, 1998, Structures Design and Construction Division, New York State Department of Transportation, State Campus, Albany, NY 12232. (NYS) Manual of Uniform Traffic Control Devices, July, 1983, request NYCRR Volume 17B at West Group Order Fulfillment, 620 Opperman Drive, PO Box 64833, St. Paul MN 551649752 (Tel. 1 (800) 328-9352).

2.

3.

4.

5. 6.

2/5/99

4.8

4-20

DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS OTHER SOURCES

4.9

The publications listed below are additional sources of information related to the topics presented in this chapter: 1. 2. Cross Section Alignment Design Issues, TRR 1445, 1994, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Highway Safety Improvement Program: Procedures and Techniques, 1989, Traffic Engineering and Safety Division, New York State Department of Transportation, State Campus, Albany, N.Y. 12232. Official Compilation of Codes, Rules and Regulations of the State of New York, Part 131 (Accommodation of Utilities Within State Highway Right of Way) of Title 17, Design Quality Assurance Bureau, New York State Department of Transportation, State Campus, Albany, NY 12232. Relationship Between Safety and Key Highway Features: A Synthesis of Prior Research, State of the Art Report 6, 1987, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Roadside Design Guide, January 1996, American Association of State Highway and Transportation Officials, Suite 249, 444 North Capitol Street, N.W., Washington, D.C. 20001. Roadway Widths for Low-Traffic-Volume Roads, NCHRP 362, 1994, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Safety Effectiveness of Highway Design Features: Volumes I - VI, November, 1992, Federal Highway Administration, Design Concepts Research Division, HSR-20, Turner Fairbank Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296. Safety Effectiveness of Roadway Design Decisions, TRR 1512, 1995, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Vehicle and Traffic Law, 1996-97, New York State Department of Motor Vehicles, Empire State Plaza, Albany, NY 12228.

3.

4.

5. 6. 7.

8. 9.

D:\CDROM\HDM\Chapt_04.wpd

4.9

2/5/99

1 2 3 4 5

HIGHWAY DESIGN MANUAL

Chapter 5 - Basic Design

Revision 62 (Limited Revisions)

April 13, 2011

Section 5.4

Change Moved to Highway Design Manual Chapter 21

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CHAPTER 5 BASIC DESIGN Contents 5.1 Page

INTRODUCTION ............................................................................................................ 5-1 5.1.1 5.1.2 Project Development & Public Involvement........................................................ 5-1 Nonconforming Features .................................................................................... 5-1

5.2

SPEED STUDIES, HIGHWAY CAPACITY AND LEVEL OF SERVICE........................ 5-2 5.2.1 5.2.2 5.2.3 5.2.4 Traffic Data ......................................................................................................... 5-2 Level of Service and Capacity Analysis.............................................................. 5-6 Updating Traffic Data and Capacity Analysis ..................................................... 5-8 Speed Studies .................................................................................................... 5-9

5.3

ACCIDENT ANALYSIS ............................................................................................... 5-13 5.3.1 5.3.2 5.3.3 5.3.4 5.3.5 5.3.6 Applicability ...................................................................................................... 5-13 Timing .............................................................................................................. 5-13 Responsibility ................................................................................................... 5-14 Accident Analysis Procedures .......................................................................... 5-14 Safety Screening .............................................................................................. 5-17 Reviewing, Using, and Updating Older Data and Analysis............................... 5-18

5.4 5.5

TERRAIN DATA REQUIREMENTSMoved to Highway Design Manual Chapter 21 RIGHT OF WAY ........................................................................................................... 5-27 5.5.1 5.5.2 5.5.3 5.5.4 5.5.5 5.5.6 5.5.7 5.5.8 5.5.9 Abstract Request Maps .................................................................................... 5-27 Design Approval Document (DAD) and Preliminary Plans ............................... 5-28 Right of Way Determination ............................................................................. 5-29 Taking Line Review Meeting ............................................................................ 5-30 Design Phases V-VI, Final Design Stage ......................................................... 5-31 Types of Right of Way and Access................................................................... 5-32 Encroachments ................................................................................................ 5-39 Excess Right of Way ........................................................................................ 5-40 ROW Markers ................................................................................................... 5-40

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BASIC DESIGN

Contents 5.6 5.7

Page

ECONOMIC ANALYSIS .............................................................................................. 5-43 DESIGN ELEMENTS ................................................................................................... 5-48 5.7.1 5.7.2 5.7.3 5.7.4 5.7.5 5.7.6 5.7.7 5.7.8 5.7.9 5.7.10 5.7.11 5.7.12 5.7.13 5.7.14 5.7.15 5.7.16 5.7.17 5.7.18 5.7.19 5.7.20 5.7.21 Design Vehicle ................................................................................................. 5-48 Sight Distance .................................................................................................. 5-49 Horizontal Curves ............................................................................................. 5-52 Vertical Alignment ............................................................................................ 5-70 Climbing Lanes ................................................................................................. 5-72 Emergency Escape Ramps .............................................................................. 5-73 Travel Lanes and Shoulders ............................................................................ 5-73 Lane Drops ....................................................................................................... 5-74 Medians ............................................................................................................ 5-74 Median-Emergency Crossovers ....................................................................... 5-75 Roadway Clear Zone ........................................................................................ 5-76 Vertical and Horizontal Clearances .................................................................. 5-76 Passive Snow Control ...................................................................................... 5-77 Parking ............................................................................................................. 5-80 Access Control ................................................................................................. 5-83 Driveways ......................................................................................................... 5-85 Frontage Roads-Service Roads ....................................................................... 5-85 High-Occupancy Vehicle (HOV) Lanes ............................................................ 5-85 Transit .............................................................................................................. 5-86 Pedestrians ...................................................................................................... 5-87 Bicyclists ........................................................................................................... 5-87

5.8

DESIGN CONSIDERATIONS ...................................................................................... 5-88 5.8.1 5.8.2 5.8.3 5.8.4 5.8.5 5.8.6 5.8.7 5.8.8 Driver Expectancy ............................................................................................ 5-88 Geometric Considerations ................................................................................ 5-88 Joint Use of the Highway Corridor .................................................................... 5-89 Social, Economic, and Environmental Considerations ..................................... 5-89 Utilities ............................................................................................................. 5-90 Increasing Capacity Without Adding Lanes ...................................................... 5-90 Traffic Calming ................................................................................................. 5-93 Aesthetics ......................................................................................................... 5-93

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BASIC DESIGN

Contents 5.9

Page

INTERSECTIONS AT GRADE ................................................................................... 5-94 5.9.1 5.9.2 5.9.3 5.9.4 5.9.5 5.9.6 5.9.7 5.9.8 5.9.9 5.9.10 Types of Intersections ...................................................................................... 5-94 Intersection Capacity and Level of Service Analysis ...................................... 5-103 Intersection Geometrics ................................................................................. 5-105 Principles of Channelization ........................................................................... 5-110 Intersection Sight Distance ............................................................................. 5-118 Access Control on Uncontrolled Access Facilities.......................................... 5-122 Signalization ................................................................................................... 5-122 Intersection Widening ..................................................................................... 5-122 Bus Stops/Turnouts ........................................................................................ 5-133 Divided Highway Median Openings in Urban Areas....................................... 5-135

5.10

REFERENCES ........................................................................................................... 5-139

APPENDIX A - NYSDOT POLICY AND STANDARDS FOR THE DESIGN OF ENTRANCES TO STATE HIGHWAYS ..........................................................................5A APPENDIX B - VERTICAL HIGHWAY ALIGNMENT SIGHT DISTANCE CHARTS .................5B APPENDIX C - INTERSECTION SIGHT DISTANCE CHARTS ................................................ 5C

08/23/06

BASIC DESIGN LIST OF EXHIBITS Number 5-1 5-2 5-3 5-4 5-5 5-6 5-7 5-8 5-9 5-10 5-11 5-12 5-13 5-14 5-15 5-16 5-17 5-18 5-19 5-20 5-21 5-22 5-23 5-24 5-25 5-26 5-27 5-28 5-29 5-30 5-31 5-32 5-33 Title Page

Design Hour Volume as a Function of AADT ................................................................. 5-3 Speed Study Locations ................................................................................................ 5-12 Terrain Data Accuracies ............................................................................................... 5-22 Terrain Data Requirements for Project Design ............................................................ 5-26 Economic Analysis Problem Types, Analysis Methods, Guidance in Force, and Contact for More Information ................................................................................ 5-43 Horizontal Sight Distance ............................................................................................ 5-51 Side Friction Factor ...................................................................................................... 5-53 Recommended Speed on Horizontal Curves to Avoid Skidding (Low Speeds) ........... 5-55 Recommended Speed on Horizontal Curves to Avoid Skidding .................................. 5-56 Recommended Speed on Horizontal Curves to Avoid Truck Rollovers (Low Speeds) ............................................................................................................... 5-59 Recommended Speed on Horizontal Curves to Avoid Truck Rollovers ....................... 5-60 Maximum Relative Gradient ......................................................................................... 5-61 Method of Attaining Superelevation ............................................................................. 5-62 Method of Attaining Superelevation - Four-Lane Divided Highway .............................. 5-63 Superelevation Runoff Lr (m) for Horizontal Curves ..................................................... 5-65 Cross Section View of Travel Lane Widening Along Spiral Curves ............................. 5-67 Plan View of Travel Lane Widening Along Curves Without Spiral Transitions ............. 5-68 Highway Access Issues ............................................................................................... 5-84 Roundabout Intersections ......................................................................................... 5-100 Divided Highway Crossings and Offset Intersections................................................. 5-101 Jug Handles or Indirect Left Turns ............................................................................. 5-102 Control Delay & Level of Service (LOS) ..................................................................... 5-103 Level of Service Criteria for Pedestrians at Signalized Intersections ......................... 5-104 Cross Slopes for Intersecting Highways .................................................................... 5-109 High Capacity Signalized Intersection with Double Left Turns and Right Turning Roadway ....................................................................................................... 5-116 Approach and Departure Sight Triangles ................................................................... 5-119 Intersection Sight Distance Quick Reference ............................................................. 5-121 Intersection Widening for Heavy Through Traffic ....................................................... 5-124 Shadowing Left-Turn Lanes ....................................................................................... 5-129 Deceleration Distances for Passenger Cars Approaching Intersections (Braking at a Comfortable Rate) ................................................................................ 5-131 Safety Widening at T-Intersection on Rural Two-Lane Road ..................................... 5-134 Left-Turn Slot with Divider on Right ........................................................................... 5-137 Design of Median Lanes for Medians Over 8 m Wide ................................................ 5-138

08/23/06

BASIC DESIGN 5.1 INTRODUCTION

5-1

The Department is committed to developing projects which improve the movement of people and goods, while recognizing community needs and values. Projects should be safe, serviceable, constructible, economical to build and maintain, and in harmony with the community and its environmental, scenic, cultural, and natural resources. Successful designs result from a careful balance of safety, mobility, and capacity needs with social, economic, and environmental needs. This chapter provides guidance regarding the basic elements of highway design to designers and other project developers. The information presented is not all-inclusive, but must be used in conjunction with information found in other chapters and documents adopted by the Department to achieve the most appropriate design meeting the goals and objectives of the project.

5.1.1

Project Development & Public Involvement

There are various phases of development through which a project design must evolve. These phases are described in the Project Development Manual. Projects should be progressed through these phases with the aid and advice of project stakeholders, which include the Regional Functional Units, the Main Office, the public, and appropriate advisory and regulatory agencies. Early, effective, and continuous stakeholder involvement fosters meaningful participation and sense of ownership in the project development process. The open exchange of information and concerns between the Department and stakeholders benefits projects by identifying key issues early in the process, developing consensus for project solutions, and building trust among stakeholders.

5.1.2

Nonconforming Features

During the project development process, design element trade-offs are routinely considered. Quantitative measures are to be used, whenever feasible, to compare and evaluate the effects of trade-offs. When the Department evaluates such trade-offs in the course of considering transportation needs and community needs, public safety (whether driving, riding, walking, or bicycling) remains the foremost issue to consider. Variances from standard values established for the critical design elements listed in Chapter 2 of this manual require a justification and approval as described in that chapter. In addition to the critical design elements, there are other design elements with established values or parameters that must be considered when scoping and designing a project. These other elements are important because they can have a considerable effect on the cost, scope, schedule, and quality of a project. Any decisions to vary from recommended values or accepted practices for these elements need to be explained and documented as nonconforming features in the scoping and design approval documents and, when identified after design approval, in the project files. The more significant the deviation or the more important an element is to quality design, the more detailed the explanation will be. For example, an explanation similar in detail 08/23/06 5.1.2

5-2

BASIC DESIGN

to the requirements for nonstandard features is appropriate if the Department proposes to build an acceleration lane to 75% of the values in AASHTOs A Policy on Geometric Design of Highways and Streets, 2004, or not attain the compound curve ratio. However, not achieving the minimum length of a superelevation runout by a few meters would only warrant a brief explanation in the report. The following is a listing of some of the other elements which are described in detail in this and other chapters. It is being provided to give a representative sample of items to be considered when scoping and designing a project. It is not in priority order or intended to be all-inclusive. Level of service (This is a critical design element on interstate projects only) Clear zone Intersection radii (including accommodation of identified oversized vehicles) Intersection and decision sight distance Superelevation runoff/runout length Minimum length of vertical curves Lane drops Broken back curves Compound curves Auxiliary lane lengths Adequate provisions for pedestrians and bicyclists (See Chapter 18 of this manual) Transit and high-occupancy vehicle facilities and accommodations Design storm for drainage facilities (see Chapter 8) Curbing Guide rail Permanent and temporary soil erosion and sediment control

5.2

SPEED STUDIES, HIGHWAY CAPACITY, AND LEVEL OF SERVICE

Traffic data and a capacity analysis are used to develop the geometric design, evaluate alternatives, design traffic signals, etc. The data collection and analysis depends on the project type, highway functional class, and the presence of cross roads or major driveways. Refer to Section 5.2.3 of this chapter for guidance on using older data and capacity analysis.

5.2.1

Traffic Data

5.2.1.1 Data Acquisition Methods For most projects, the Pedestrian Generator Checklist, as described in Chapter 18, is used to determine the need for pedestrian facilities to accommodate existing, latent, seasonal and projected future pedestrian traffic. However, pedestrian traffic data acquisition may be necessary to determine the appropriate treatments and design of pedestrian facilities in areas of high pedestrian volumes and/or special use areas, e.g., central business and walking districts, colleges, amusement parks, etc. 5.2.1.1 08/23/06

BASIC DESIGN

5-3

Pedestrian data acquisition can be accomplished through pedestrian counts, pedestrian questionnaires, and pedestrian origin and destination studies. For information on pedestrian data acquisition, refer to the following: Sketch-Plan Method for Estimating Pedestrian Traffic for Central Business Districts and Suburban Growth Corridors: www.enhancements.org/trb/1578-06.pdf Guidebook on Methods to Estimate Non-Motorized Travel, Volumes 1 & 2: www.fhwa.dot.gov/tfhrc/safety/pubs/vol1/title.htm www.fhwa.dot.gov/tfhrc/safety/pubs/vol2/title.htm

For methods of gathering motorized traffic counts, refer to the Regional Planning Group, the Traffic Engineering Handbook, and EI 01-001 Traffic Monitoring Standards. Where actual ground counts are not readily available, secondary traffic data (i.e., data that was not obtained specifically for the project) may be used for: Projects on routes with little delay (LOS B or better). The level of service (LOS) should be observed during peak periods, which may include: The weekday AM and PM peaks. Saturday noon-hour peaks near shopping areas or malls. Friday and Sunday nights on summer recreation routes. Saturday and Sunday AM and PM peaks near ski areas. Immediately before and after regular sporting events, concerts, or other special events. Maintenance-type projects (e.g., pavement preventive maintenance and bridge preventive maintenance projects). Construction lane closures or detours.

Secondary traffic data includes the annual average daily traffic (AADT) data from the Highway Sufficiency Ratings and the annual Traffic Volume Report. Additional sources may be available from the Highway Data Services Bureau and the Regional Planning Group. The Highway Capacity Manual, Regional data, or Exhibit 5-1 (below), and the Traffic Engineering Handbook, can be used to obtain the design hourly volume (DHV), directional design hourly volume (DDHV), and any other required traffic data. Exhibit 5-1 Design Hourly Volume as a Function of AADT
DHV as a Percentage of AADT 38% 24% 19% 15% 12% 8% Primary Function of Route Highly Recreational Route Partially Recreational Route Secondary Rural Route Main Rural Route Suburban Route Urban Through Route

Data based on the Traffic Engineering Handbook, Institute of Traffic Engineers (ITE), 1992, p. 50, Figure 2-16.

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5.2.1.1

5-4 5.2.1.2 Traffic Projections

BASIC DESIGN

The projected traffic volumes are to be determined using the traffic data required by Section 5.2.1.3, growth rates, and the traffic volumes from planned development and reasonably anticipated/foreseeable projects. Refer to the Project Development Manual (PDM) Appendix 5 for the design year. Contact the Regional Planning Group, MPO, and municipal planners for growth rates and the traffic volumes from planned development and reasonably anticipated/foreseeable projects. To project latent and future pedestrian traffic volumes, refer to the following documents: Sketch-Plan Method for Estimating Pedestrian Traffic for Central Business Districts and Suburban Growth Corridors: www.enhancements.org/trb/1578-06.pdf Guidebook on Methods to Estimate Non-Motorized Travel, Volumes 1 & 2: www.fhwa.dot.gov/tfhrc/safety/pubs/vol1/title.htm www.fhwa.dot.gov/tfhrc/safety/pubs/vol2/title.htm

5.2.1.3 Data Requirements The following subsections present the traffic data that will generally be required to perform a capacity analysis. The Transportation Research Boards Highway Capacity Manual (HCM) or software program should be referenced to determine the specific traffic data and physical data required. A. All Feasible Build and No-Build Alternatives Determine the existing and design year (as appropriate): Percentage of trucks, buses, and RVs. Highway AADT. Highway DHV (two-way). Highway Directional Design Hourly Volume (DDHV) (one-way). Highway two-way (design hour) percent trucks. Ramp/turning roadway DHV. Peak-hour factor. Free-flow speed on highway and ramps. Weaving volumes. Ramp volumes and adjacent ramp volumes. Parking and bus stops per hour. Average travel speeds. Bicycle DHV (order of magnitude to determine appropriate facility). Pedestrian DHV (for existing or proposed sidewalks, signalized intersections, and transit-related pedestrian facilities). 08/23/06

5.2.1.3 A

BASIC DESIGN

5-5

B. Additional Requirements for Alternatives With Potential for Capacity or Level-ofService Improvements For 3R alternatives on interstates or other freeways, and reconstruction, new construction, bridge replacement, and major bridge rehabilitation alternatives, determine the following existing and design-year parameters: Peak-hour turning movement volumes for intersections with identified accident or operational problems. Peak-hour turning movement volumes for all major intersections with crossroads or commercial driveways.

Note: A major intersection for traffic count purposes is a signalized intersection, an intersection approaching any of the warrants for signalization in accordance with the Official Compilation of Codes, Rules and Regulations of the State of New York Title 17 Transportation (B) Chapter V (a.k.a. New York State Manual of Uniform Traffic Control Devices (NYS MUTCD)), or an intersection approaching the warrants for a turn lane as contained in Chapter 9 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. Traffic flow diagrams should be developed for commuter travel periods (e.g., A.M. or P.M. peak hours). The diagrams should show: For each link, the current AADT, DHV, DDHV, and design-hour percent trucks. For all major intersections with crossroads or commercial driveways, the current design-hour turning movement volumes, design-hour percent trucks, and AADTs on all approaches for intersections.

Some highways have a noon peak period that should be shown and considered in the project's geometric and traffic signal design. Also, there may be a need to give traffic volumes for other peak periods for commercial generators or special events (e.g., Saturday peak shopping hours, concert performances, fairs). The traffic flow diagram shown in the HCM's Input Worksheet for signalized intersections shall be used as the standard format for presenting traffic turning volumes. The correlation between volumes and level-of-service is not direct. Level-of-service computations based on volume may not accurately represent the traffic conditions on congested highway segments when vehicles are moving very slowly. The volume at LOS F can be the same as the volume for a higher level of service due to slow speeds and low throughput. Therefore, travel speeds are essential for assessing whether the traffic volumes reflect a forced-flow condition or a free-flow condition in potentially congested areas.

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5.2.1.3 B

5-6

BASIC DESIGN Where the existing mainline level of service is D or worse (refer to Section 5.2.2), the average travel speeds, averaged over the hour measured, should be determined for the peak hours of the day. The average speeds over a segment of highway may be determined using the test vehicle, license plate, or photography methods, as described in the Traffic Engineering Handbook. Peak-period traffic volumes and average travel speeds can be fed into the Congestion Needs Assessment Model used by Regional Planning to assess vehicle hours of delay (VHD). C. Proposed Signal Installations The ETC+5 peak-hour turning movement volumes should be determined for proposed signal installations that will meet the signalization warrants in the design year, but do not meet the warrants for the ETC+0 year. The analysis of the ETC+5 traffic data can be used to determine if a signal should be installed as part of the project or in a future signal requirements contract. Regardless, the highway geometry (e.g., pavement width) should be designed to accommodate the proposed signal.

5.2.2

Level of Service and Capacity Analysis

5.2.2.1 Level of Service (LOS) Level of service is a qualitative measure describing operational conditions within a traffic stream, based on service measures such as speed and travel time, freedom to maneuver, traffic interruptions, comfort, and convenience. Levels of service are given letter designations, from A to F, with LOS A representing the best operating condition and LOS F the worst. Level of service is specifically described for various types of highways or portions of highways in the Highway Capacity Manual. LOS C or better is desirable and LOS D is the minimum for the design year of a noninterstate project. Level of service criteria for interstate highways are given in Chapter 2 of this manual. Some projects, especially in urban areas, may provide levels of service below those shown in Chapter 2, or required above, due to social, economic, and environmental and/or policy/intergovernmental decisions made during project scoping and design. On interstate projects, such decisions for lesser levels of service are to be made as nonstandard features in accordance with Chapter 2, Section 2.8 of this manual. For noninterstate projects, lower levels of service are to be treated as nonconforming features and explained as appropriate.

5.2.2.1

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BASIC DESIGN 5.2.2.2 Capacity Analysis Requirements

5-7

Capacity analysis is a set of procedures used for estimating the traffic-carrying ability of facilities over a range of defined operational conditions. It provides tools to assess facilities and to plan and design improved facilities. Capacity analysis is performed using existing and projected (design year) design-hour traffic volumes. The existing and design-year levels of service of the following elements are to be determined for each alternative, including the no-build alternative. Highway. All approaches of intersections and driveways/entrances with one-way volumes of 100 vehicles per hour (vph) or more. Ramps. Weaving sections. Merges and diverges. Service roads and frontage roads.

For projects with an objective to reduce congestion, estimates of the existing and design-year vehicle hours of delay should be determined for the build and no-build alternatives. The results of the analysis should be included in the projects design approval document for evaluation of the various project alternatives. 5.2.2.3 Capacity Analysis Methodology Capacity analyses are to be consistent with the most recent version of the HCM. General announcements of the availability of HCM revisions will be made via Engineering Bulletins. Department policy requires the designer to use capacity analysis software consistent with the HCM. For economic, efficiency, and quality assurance purposes, the Design Quality Assurance Bureau preapproves a limited number of software programs for general use. The approved software programs and contact persons are announced on the Departments Internet site. Before running the software, designers should apply the latest patches or updates linked on the Departments Internet site to help ensure the software produces reasonably accurate results. Judgement must be used whenever a new software release becomes available or when revisions to the HCM are made, as to whether previously completed analyses should be reevaluated. While many factors may enter into this decision, the overriding consideration is whether it is likely that a new analysis will significantly change the design, investment, and/or environmental decisions. The final determination on whether to redo an analysis rests with the Regional Design Engineer. Refer to Section 5.9.2 for guidance regarding intersection capacity and level-of-service analysis. Additionally, refer to the roundabout pages on the Departments Internet and IntraDOT sites for guidance and requirements on roundabout capacity and level-of-service analysis.

08/23/06

5.2.2.3

5-8

BASIC DESIGN

5.2.2.4 Exceptions to the Required Capacity Analysis Methodology Proposals to use an analysis procedure other than the HCM or the Department-approved capacity software must be submitted to the Main Office for approval. Proposals for projects in preliminary planning, up through the project scoping stage, should be submitted to the Office of Corridor Management in the Planning and Strategy Group. Proposals for projects in either the preliminary design or detailed design stage should be submitted to the Design Quality Assurance Bureau. There are cases when capacity and level of service are inadequate measures to document the traffic performance of an existing or proposed facility. These cases often involve complex geometric and/or signal control situations (e.g., Intelligent Transportation System/Advanced Traffic Management System); roadways or ramps which are oversaturated; or where the proximity of controls (e.g., signalized intersections) cause spillback affecting nearby locations. In these cases, use of queue analysis and/or traffic simulation models to estimate other traffic performance measures should be considered in addition to capacity and level of service. Contact the Design Quality Assurance Section or the Office of Corridor Management in the Planning and Strategy Group for guidance in these situations.

5.2.3

Updating Traffic Data and Capacity Analysis

Accurate design-year traffic data is needed to help evaluate the effectiveness of feasible alternatives and to produce the most cost-effective designs that achieve full expected service life. Desirably, current traffic data should be used. However, since regathering data and redoing analysis is costly and time consuming, it may be acceptable to use older data and analysis under certain conditions. Consider updating the capacity analysis, traffic diagrams, and design year- traffic forecast (prior to distribution of the draft Design Approval Document, Design Approval, and PS&E) if any of the following factors have the potential to impact the proposed design: The estimated project completion date is postponed by more than 4 years (e.g., the ETC+20 design year is changed from 2025 to 2030). New development has or is expected to occur. Travel patterns have or are expected to change. Project limits have been expanded or modified.

Traffic data, forecasts, and analyses, whether current or not, should be reviewed with the Regional Transportation Systems Operations Engineer. If updated information is being considered, consult with the Regional Planning & Program Manager and the Regional Transportation Systems Operations Engineer on the need for, and how to do, an update of the design-year traffic volumes, traffic diagrams, and capacity analysis.

5.2.3

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BASIC DESIGN

5-9

If the older data will be used, consider spot checking current traffic patterns to determine if the older data projected to the current year is representative of current conditions. Average hourly speed data can be checked using the floating car method. Critical turning movements should be recounted, as necessary, to ensure adequate storage length, number of turn lanes, etc., is provided. The rationale for the retention and use of older data needs to be documented in the Design Approval Document or, if design approval has already been obtained, in the permanent project files.

5.2.4

Speed Studies

Speed studies provide an essential measure for evaluating highway geometry. The speed study results also serve as the basis for selecting a design speed within the acceptable range for the highways functional class (refer to Section 2.7 of this manual). The Regional Transportation Systems Operations Group should be consulted on how to conduct these studies in order to obtain statistically reliable results. As an exception to a formal speed study, the Regional Transportation Systems Operations Engineer can select an off-peak 85th percentile speed equal to or above the regulatory speed based on their expertise and experience. Note: The regulatory speed alone may not be a reasonable indicator of the off-peak 85th percentile speed. Numerous studies (including FHWAs Effects of Raising and Lower Speed Limits on Selected Roadway Sections, 1997) have shown that speed limits have only a very minor effect on operating speeds and cannot reliably be used to predict the operating speed. 5.2.4.1 Speed Terminology A. 85th Percentile Speed (a.k.a. Operating Speed)

The operating speed is a single speed that reflects the majority of motorists. Rather than use an average speed, which may only accommodate half the highway motorists, the Department and most transportation agencies use the internationally accepted off-peak 85th percentile speed to represent the operating speed. The 85th percentile speed is the operating speed that only 15% of the motorists exceed during off-peak hours.

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5.2.4.1 A

5-10 B. Recommended Speed

BASIC DESIGN

The recommended speed is the maximum speed, under optimal conditions, considered appropriate for a particular location (ref. 17 NYCRR Chapter 5 (a.k.a. NYS MUTCD) Section 230.1). The recommended speed should consider the alignment and sight distance. Other physical conditions, such as narrow lanes, roadside development, steep grades, etc., may also be considered. The recommended speed based on the vertical sight distance should be determined from Appendix B of this chapter. The recommended speed based on the horizontal sight distance should be based on Section 5.8.2.4. The recommended speed based on the superelevation and radius should be determined by (in order of preference): Calculating the speed from the geometry and equation from Section 5.7.3 of this chapter. Using a ball bank indicator reading of 10 for horizontal alignment. Using Figure 231-1 of the NYS MUTCD for horizontal alignment when the radius and superelevation are known.

Note: Each method will result in slightly different results. C. Advisory Speed

The advisory speed is defined in Section 230.1 of the NYS MUTCD as the recommended speed rounded to the nearest 5 mph. D. Regulatory or Legal Speed Limit

The Regulatory or Legal Speed Limit is the maximum speed along a highway segment allowed by local or state regulations. It may also be referred to as the posted speed when regulatory signs are posted. When regulatory signs are not posted, the speed limit is the statutory speed. E. Statutory Speed Limit

The statutory speed limit is 55 mph as established by the NYS Vehicle and Traffic Law.

5.2.4.1 E

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BASIC DESIGN 5.2.4.2 Speed Study Methods

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The existing operating speed can be determined or estimated during the off-peak hours by using (in order of preference): 1. Speed measuring devices. 2. A radar spot speed study of at least 30 vehicles (preferably 50 vehicles) that can be performed during off-peak periods. This is generally only practical for highways with 250 vpd or greater. 3. The data used to set a speed limit at the project site, if such data is still representative of current and anticipated operating conditions. 4. Test cars or following-car techniques during off-peak periods. 5. The state-wide operating speed study for a similar facility. This information is available from the Highway Data Services Bureau in the Office Technical Services. 5.2.4.3 Speed-Study Location Select a speed-study location where motorists are not affected by localized nonstandard features or traffic control devices (e.g., stop signs, narrow bridges, sharp curves). The study may need to analyze both directions to ensure that it measures the highest speeds. Refer to Exhibit 5-2 for examples of how to locate the speed study.

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5.2.4.3

5-12 Exhibit 5-2 Speed Study Locations

Exam ple 1 - Project with a short length and a localized restriction. Measure 85th% speed on adjacent highway segment

BASIC DESIGN

Measure 85th% speed on adjacent highway segm ent

Project Limits

Exam ple 2 - Restriction at one end of the project lim its. Measure 85th% speed Project Limits

Village

Exam ple 3 - C urvilinear Alignm ent. Measure 85th% speed on curves Project Limits

Measure 85th% speed on curves

NOT TO SCALE

5.2.4.3

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BASIC DESIGN 5.3 ACCIDENT ANALYSIS

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Identifying the cause(s) of accidents usually will provide an insight into what corrective measures can be taken to minimize future accidents. New York State currently suffers over 1300 fatal accidents and 189,000 injury accidents per year on its highways. Approximately 40 percent of the fatal accidents and 30 percent of the injury accidents occur on the State Highway System. The estimated average cost of a fatal accident in New York State is $3,220,000 and the cost of an injury accident is $62,400. Therefore, in addition to normal duty and obligations, there are significant economic benefits to society in minimizing the frequency and severity of accidents. The purpose of an accident analysis is to identify safety problems by studying and quantifying accidents within and immediately adjacent to the project limits, and identifying abnormal patterns and clusters. The analysis should then isolate and identify the causes of accident patterns and clusters, and suggest appropriate countermeasures. The Regional Transportation Systems Operations Group can either perform or assist in the conduct and interpretation of the analysis. Refer to Section 5.3.6 of this section for guidance on using older data and analysis.

5.3.1

Applicability

An accident analysis shall be performed on every highway and bridge project that offers an opportunity to address accident causes or severity. Exceptions include:

2R and minor bridge rehabilitations that may use the safety screening discussed in Section 5.3.5 of this chapter to determine if a full accident analysis is needed. Pavement preventive and corrective maintenance projects, which are subject to a road safety audit under the Departments SAFETAP program. Bridge preventive maintenance projects, such as Element-Specific Cyclical Bridge Work.

5.3.2

Timing

An accident analysis can aid in the development and evaluation of project alternatives, and in determining the need for safety improvements. Therefore, accidents must be analyzed early in project scoping and documented in the Project Scoping Report and in the Design Approval Document (DAD).

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5.3.2

5-14 5.3.3 Responsibility

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Project developers, in conjunction with the Regional Transportation Systems Operations Group, are responsible for retrieving and analyzing accident data in accordance with this procedure and for incorporating appropriate accident countermeasures (safety improvements) into each capital project. To achieve the Department's goal of continually improving highway safety for the public, effective accident countermeasures must be designed into its projects to the maximum extent possible.

5.3.4

Accident Analysis Procedures

The following are the specific steps to be followed in the Accident Analysis Procedure during the development of a capital project: 1. The study area shall extend 0.5 km beyond the project limits. Identify the study area by reference marker (for State highways) or link/node (for local roads). Also identify the area by physical boundaries (cross streets, intersecting roads, jurisdictional boundaries, etc.), if they exist. Identify the time period of the analysis; the most recent 3 years available are normally used. On a low-volume highway, the number of accidents may be low, with a high accident rate due to low traffic volume and a short study segment. In this case, it may be necessary to examine the accident history over more than 3 years (5 years suggested) to have enough data to analyze adequately. Similarly, for a highway with a very large number of accidents, 2 years may be statistically adequate. Collect all accident data and records for the analysis (including pedestrian and bicycle accidents) as follows: Obtain computerized accident data for the study area from the Departments Safety Information Management System (SIMS). Most situations will be covered by the State Accident Surveillance System (SASS) for State highways and by the Centralized Local Accident Surveillance System (CLASS) for local roads/streets; both SASS and CLASS are now contained in the enhanced SIMS. Check the Priority Investigation Location (PIL) list, the Safety Deficient Location (SDL) list, the Priority Investigation Intersection (PII) list, and the Specialty PIL lists, and determine if any location within the study area has been on these lists. Generally, the 3 most recent lists for each of these should be consulted. These lists are available in SIMS. They contain locations that exceed thresholds established by the Department and have statistically significantly higher accident rates (accident-prone sites) than expected for highway segments with similar characteristics.

2.

3.

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Retrieve police and motorist accident reports (MV-104A and MV-104) as needed for the study area. These "hardcopy" accident reports are available from the Office of Safety and Security Services. Order the necessary accident case documents either by requesting them electronically through SIMS. A site inspection should be made to observe items that would indicate past accidents (such as damaged guide rail, skid marks, etc.) and the potential of the study area for future accidents (such as school zones, playgrounds, parks, etc.). Also, since some accidents often go unreported or are generally underreported, discussions with local residents, police, and elected officials may help identify an unreported/underreported safety problem or better quantify a marginal one.

4.

Identify, discuss, and consider including (if not already implemented) the recommendations made in any prior Highway Safety Investigation (HSI) studies performed within the last 5 years involving the study area. These HSI studies can be obtained from the Regional Transportation Systems Operations Group. Calculate the severity distribution of the accidents and determine if it is normal or abnormal. The methodology for this determination can be found in the TE-164 (Safety Benefits Evaluation Form) Instructions. See page A-32 of Highway Safety Improvement Program: Procedures and Techniques. An electronic version of the TE-164 methodology is also available from the Transportation Systems Operations Bureau. First, calculate the accident rate(s) in accidents per million vehicle miles (MVM) for the entire study area, using all accidents (nonintersection and intersection accidents). Next, calculate the accident rate(s) for linear segments within the study area that have different highway characteristics, development density/land use (AADT; number of lanes; divided or undivided; functional class; rural or urban; controlled access or uncontrolled access) using all accidents. Then, calculate the accident rate(s) for individual intersections (in accidents per million entering vehicles (MEV)) within the study area, using only intersection accidents.
Segment Accident Rate (acc/MVM) = Intersection Accident Rate (acc/MEV) = 1,000,000 x No. of accidents per year 365 x AADT x 0.621 x Segment length (in kilometers) 1,000,000 x No. of accidents per year 365 x ( the sum of AADTs on all approaches)

5.

6.

Note: Since accidents are coded to reference markers placed approximately every 0.16 km, the segment length used in the above formula must also be in 0.16 km increments corresponding to the reference markers used for the accident rate.

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5.3.4

5-16 7.

BASIC DESIGN Compare the calculated accident rate(s) to the statewide average accident rate(s) for similar facilities. The current statewide average accident rates are listed in the Annual Update of Average (Mean) Accident Rates and Accident Costs/Severity Distribution produced by the Office of Safety and Security Services. These rates can be found in the Departments Safety Information Management System (SIMS) and on the Departments Internet site. If the project limits include highway segments having different characteristics (urban/rural functional class, divided/undivided, number of lanes, controlled/uncontrolled access), accident rates should be computed for each segment/intersection and compared to the appropriate statewide rate. The amount an accident rate varies from the statewide average for similar facilities can help identify and quantify an accident problem on the overall highway segment under study.

8. Organize, summarize, and analyze all the collected accident data. This involves assembling an Accident History (use form TE-213 or equivalent), constructing a Collision Diagram (use Form TE-56 or equivalent) and completing an Accident Summary Sheet (Figure 23 in Highway Safety Improvement Program: Procedures and Techniques). Consult with the Regional Transportation System Operations Group to assist with determining accident patterns and causes. The Regional Safety Evaluation Engineer in each Region is familiar with these techniques and is experienced in their application. The accident analysis should identify specific locations with clusters of accidents. An accident cluster is defined as an abnormal occurrence of similar accident types occurring at approximately the same location or involving the same geometric features. The severity of the accidents should also be considered. A history of accidents is an indication that further analysis is required to determine the cause(s) of the accident(s) and to identify what actions, if any, could be taken to mitigate the accidents. There are 6 general elements that may contribute to or cause an accident. These are: Condition or actions of the driver. Was the driver alert, asleep, or under the influence of drugs or alcohol? Was poor judgement exercised (e.g., extreme speed)? Condition of the vehicle. Did the brakes fail? Were the tires worn? Environmental conditions. Inclement weather, fog, or slippery pavement. Condition of the engineering features of the highway or bridge. These include the alignment, width, superelevation, pavement condition, guide rail, clear zone, etc. External causes such as deer and other motorists. Missing or improper signing, delineation, or other traffic control devices not in accordance with the NYS MUTCD.

5.3.4

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When analyzing the accident data, do not put too much weight on certain contributing circumstances which have tended to become "catch-alls". The fact that all the accidents are listed as due to "driver error", "speed too fast", or "following too close" is not a reason to conclude that highway geometrics were not involved and that no further consideration is required. Also, as part of the accident analysis, it is important to take the accident summaries, reports, and collision diagrams into the field to examine them at the actual field locations. This will help determine both the factors contributing to the accidents and possible mitigation measures. 9. Using the data and analysis results obtained from the above, identify, evaluate, and select appropriate accident countermeasures (solutions to accident problems) to incorporate into the project (including adjustments to the project limits if necessary). For accident countermeasure ideas, refer to: Table 1 in Appendix D of Highway Safety Improvement Program: Procedures and Techniques. Although this table is extremely useful, it is not all-inclusive and should be used as a guide rather than a standard. The Departments Internet site for a list of Accident Reduction Factors for various improvements. Tables 7-13 and 7-14 in the 1999 Traffic Engineering Handbook. The Regional Safety Evaluation Engineer in the Regional Transportation System Operations Group for assistance.

Where capital construction is proposed as the safety improvement, a safety benefitcost ratio should be calculated. The methodology for determining safety benefits is contained in the TE-164 Safety Benefits Evaluation Form Instructions and Annual Update. Use the TE-204 Project Benefit and Cost Summary Form to complete the safety benefit-cost calculation.

5.3.5

Safety Screening

2R and Minor Bridge Rehabilitation projects may undergo a safety screening to determine if a full accident analysis is needed. The steps for the screening are: 1. Follow the full accident analysis procedure steps 1-7 with the exception that police and motorist accident reports are not needed. (These steps can be quickly accomplished using readily available products from the Department's Safety Information Management System (SIMS) and the computerized TE-164 methodology.)

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5.3.5

5-18

BASIC DESIGN 2. If the accident history review indicates the following, a full accident analysis is not needed. The overall three-year accident rate is less than the average rate for a comparable type of facility, as shown in SIMS. The occurrence of Fatal, Injury, and combined Fatal+Injury accidents is not above average. Locations listed on the regular Priority Investigation Location (PIL) list within the project limits are addressed. A PIL is considered addressed if it has been investigated in the last five years and the recommendations implemented or are incorporated into the proposed project. Locations listed on the Fixed Object & Run-Off Road PIL list within the project limits are addressed. Locations listed on the Wet-Road PIL list within the project limits are addressed.

Note: Segments that do not meet all of the above shall undergo an accident analysis using the methodology in Section 5.3.4 of this chapter.

5.3.6

Reviewing, Using, and Updating Older Data and Analysis

The original accident analysis should be reviewed during the project development process. In most cases, the review needs only to be done shortly before project design approval. In rare cases, it should also occur in the final design stage: Prior to project design approval, the original accident analysis should be compared with the latest available computerized accident data included in the Departments SIMS to determine if there has been a major change in accident patterns or clusters at the project site. The accident analysis should be updated if a new accident pattern or cluster has appeared, and cost-effective mitigation measures should be recommended, as appropriate. The recommendations resulting from the accident analysis should be reevaluated if substantial changes have occurred at the project site that may affect accidents. These changes may include, among others, different traffic patterns or substantial volume changes, increased intensity or change in type of development (commercial, industrial, residential, etc.), new/different traffic control devices (signals, signs, markings, etc.), roadway feature changes, etc. Any revisions to the recommendations or proposed mitigation measures should be documented in the Design Approval Document. If 3 or more years elapse between design approval and PS&E, the accident data should be reviewed prior to PS&E submittal and the analysis and recommendations revised, as described above. This review can be done in conjunction with the Regional Transportation Systems Operations Group. The designer should inform the Regional Design Engineer if there are any recommendations for changes affecting the project or any proposed modifications to the project. 5.3.6 08/23/06

BASIC DESIGN 5.4

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This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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BASIC DESIGN This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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BASIC DESIGN This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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BASIC DESIGN This section has been deliberately left blank. TERRAIN DATA REQUIREMENTS has been moved to Highway Design Manual Chapter 21.

5.4

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BASIC DESIGN 5.5 RIGHT OF WAY (ROW)

5-27

The designer is responsible for determining the right of way needs necessary for the construction and maintenance of a proposed project. An assessment of right of way needs should be made during the project scoping stage. Specific right of way needs are determined after the various design alternatives have been identified and evaluated. Each alternative's potential impact upon the residents, environment, neighborhood, businesses, land use, and users should be examined and evaluated. The designer should coordinate with all involved program area groups to gain a varied perspective on the impacts of all alternatives. This should be done as early as possible and programmed into the project schedule.

5.5.1

Abstract Request Maps

Once properties which are affected by the various alternatives being considered are identified, the designer should submit the proposed right of way limits to the Right of Way Mapping Group (i.e., consultant or Regional). These proposed right of way limits will be outlined on base mapping, as described in Chapter 3 of the Right of Way Mapping Procedure Manual, to create an Abstract Request Map (ARM). The Right of Way Mapping Group sends the ARM to Regional Real Estate for forwarding to the Department of Law (DOL). An ARM is prepared to obtain the necessary title data for the properties that may be acquired by the project. It provides the DOL with a means of identifying the properties for which title data is required. Supplemental ARMs should be submitted whenever changes in a projects work limits occur which will affect which properties are being acquired. DOL requires title data before they can provide title certification of most right of way acquisitions. Title certification is required by Real Estate (i.e., Regional and Main Office) before compensation offers can be extended to land owners. The size of the ARM will vary depending upon whether it includes just the preferred alternative, or all of the feasible alternatives. The decision on how many alternatives to include should be based upon the size of the project, the amount of time needed to research the title data, the cost to the Department for requesting additional title searches, and the complexity of the title data along the projects corridor. The designer should consult with the Regional Real Estate Group and review the project schedule to determine when this information needs to be available. ARMs should generally be submitted to the Real Estate Division a minimum of 12 to 24 months prior to the PS&E for the project, depending upon the amount and complexity of the title data requested. A Table of Temporary Reference Numbers (TRNs) is generated as part of the ARM. This table lists all proposed acquisitions from properties that could be affected by the project. (Refer to Chapter 3 of the Right of Way Mapping Procedure Manual for more information on TRNs). This table will be updated and further expanded during later stages of the project to tabulate the anticipated right of way acquisitions.

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5.5.1

5-28 5.5.2

BASIC DESIGN Design Approval Document (DAD) and Preliminary Plans

The designer should provide information about the magnitude, types, and overall cost of preliminary right of way for each of the feasible alternatives in the Design Approval Document (DAD), for both federally and state-funded projects. This information is provided to the public and other evaluators of the project to assist them in determining the magnitude of the right of way acquisitions and the proposed limit to which the acquisitions extend into private and public properties for each feasible alternative. All feasible alternatives which involve right of way acquisitions should be shown on the preliminary plans in the appendix of the DAD. These preliminary plans should include, along with existing and proposed highway alignments, the schematic delineation of the approximate limits of existing and proposed right of way (see Section 9.2 of Appendix B of the Design Procedure Manual). Note: Right of Way Plans, for use in a separate right of way approval process, are not required as part of the documentation of right of way required for a project. The contract plans will provide the Departments documentation of what right of way was determined to be necessary to be acquired for a project. In addition, the DAD should also include (in the appendix) for each feasible alternative, a Table of Anticipated ROW Acquisitions which lists all property owners from whom right of way is anticipated to be acquired (Ref. Project Development Manual Chapter 4). A tabulated list is not required for a project which does not have ROW acquisitions. The Table of Anticipated ROW Acquisitions should include the following information for each property from which a ROW Acquisition will be appropriated: Land owners name Type of acquisition Estimated ROW area to be acquired

This summary of ROW information will be utilized by private land owners, municipalities, and FHWA (if federally funded) to evaluate the magnitude and limit of the ROW acquisitions as part of the project review process. This information will also be used by the Regional Real Estate Group (upon receipt of the final Design Approval Document) to obtain Acquisition Phase Authorization.

5.5.2

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BASIC DESIGN 5.5.3 Right of Way Determination

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The design should include proposed ROW lines on the working plans which encompass the areas required to access, construct, and maintain the proposed facility. The designer shall allow room beyond the construction limits (toe or top of slope) for construction equipment and for future maintenance operations, such as mowing or cleaning ditchlines. The type of acquisitions should be determined by the use for which the land is taken, the party for whom the access will be provided, and whether the need for the land will continue after the construction contract is completed. If no work extends beyond the existing highway boundary, there is no need to acquire additional ROW. General guidance for width of right of way to be acquired beyond the construction limit includes: A distance of approximately 3 m - 4 m is desirable when it can be obtained with little extra cost or impact to the adjacent property, such as in rural areas with no nearby dwellings. A minimum of 0.5 m - 1.5 m should be used where right of way costs are more expensive or impacts are more significant, such as on front lawns of houses or in commercial areas with limited building setbacks. A minimum of 0.3 m should be considered in urban settings where buildings are set close to the roadway, or outside of sidewalks which are separated or detached from the highways by a wide utility strip or grass area.

In addition to cost, consideration should be given to visual aesthetics, maintenance activities, roadside safety (i.e., clear zones and clear areas), regional guidance such as "Guidelines for the Adirondack Park", future development (e.g., zoning setbacks), accommodation of utilities, drainage design, soil erosion and sediment control during construction, and disruption to adjacent property owners, when determining taking lines. Discussion with all involved functional units, municipalities, utility companies, and regulatory agencies should occur early in the design process to ensure all impacts are fully evaluated. The reestablishment of driveways, private sidewalks, and other approaches to private lands should be accomplished by use of releases. This work shall only include what is necessary to reconnect a privately owned approach to the adjoining highway. This work should not include any construction activities that are critical to the successful completion of the project. Therefore, work done within a release should not include grading for roadway support, installation of highway drainage (as opposed to those driveway culverts which do not form a part of the highway drainage system), municipal utility lines or structures, or construction of public sidewalks. Refer to Section 5.5.6.6 for additional guidance regarding reestablishment of approaches to private lands. Taking lines should generally avoid frequent angle points. When angle points in the taking lines are necessary, they should generally be kept a reasonable distance (3 m minimum) from property lines which are transverse to the roadway, to avoid being mistaken for property line corners between adjacent owners. Refer to Section 5.5.6 for additional guidance regarding types of right of way and access. 08/23/06 5.5.3

5-30 5.5.4 Taking Line Review Meeting

BASIC DESIGN

Once the preferred alternative is chosen for a project and the initial right of way taking lines are detailed, the designer is to schedule a meeting (commonly referred to as a Taking Line Review) to discuss the limits and types of the proposed right of way acquisitions, any concerns, the project schedule, and make final determinations regarding the size and type of acquisition(s) to be mapped. On large projects, it may be advisable to break the project into segments and schedule separate meetings to discuss each segment. The taking line review meeting is to include the project designers, consultant manager (for consultant-designed projects), and Regional representatives from: Real Estate Survey Landscape Architecture Environmental Services Right of Way Mapping

Representatives from Regional Construction, Maintenance, Transportation System Operations, and Program & Project Management are to be invited to attend the meeting. If taking line changes become necessary after the meeting, the group should be reconvened to discuss the changes. For a taking line review meeting, the designer should portray the following information on project base mapping so that it is easily understood by the attendees. Colored lines or colored shading may be used to improve clarity. Baselines and center lines. Proposed construction work limits such as toes and tops of slopes or safety-related clear areas. Anticipated construction operations and stages, traffic control plans, erosion and sediment control plans. Proposed structures such as bridges with wingwalls, buildings, sidewalks, retaining walls, and sign and lighting structures. Existing private underground services such as utility lines, wells, septic systems, and storage tanks (especially when the site is known as a former gasoline station location). Approximate boundary of contaminated soils, if known. Existing and proposed access control delineated and labeled. Existing and proposed aboveground and underground private and municipal utilities (e.g., fire hydrants, underground utility lines & structures, utility poles, signal poles, pull boxes. Proposed drainage facilities, including piping, underground structures, headwalls, open ditchlines with the direction of flow indicated, and stormwater management facilities. Existing highway boundary lines and proposed right of way acquisitions. Types of acquisitions indicated and labeled with the purpose of each easement. The limit of work on all side roads and driveways.

5.5.4

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BASIC DESIGN

5-31

Any building acquisitions and all structure encroachments into the ROW. The separate identification of all properties from which ROW is being acquired but were not identified, or were identified but are no longer needed on the Abstract Request Map.

In addition to the project mapping, the designer is to provide cross sections with the proposed construction work limits and right of way limits shown for reference during the Taking Line Review. 5.5.5 Design Phases V-VI, Final Design Stage

The contract plans will document what right of way acquisitions were determined to be necessary to construct and maintain the project with the ROW acquisition maps serving as documentation of the actual right of way acquisition. Thus, the contract plans should include an accurate representation of all the right of way acquisition maps which demonstrate the properties which are to be appropriated for that project. To provide this documentation, the contract plans should include a graphical presentation of all acquisitions on the general plans. Separate Acquisition Plans should be prepared for projects in which the general plans would otherwise be too congested to clearly portray both the construction improvements and the right of way acquisitions on the same plan sheets. In addition to the general plans or acquisition plans, a Table of Right of Way Acquisitions shall be prepared. This table is expanded from the Design Approval Document Table of Anticipated Right of Way Acquisitions. To keep this information current and inclusive of all changes that occur during design refinement, frequent communication between the designer and ROW Mapping Group is necessary, so that all changes can be reflected on both the contract plans and the ROW Acquisition Maps. The designer should also contact other groups when changes affect their interests. Design changes in areas of land acquisitions need to be communicated to the Regional Real Estate Group during final design, so they are aware of potential impacts to adjacent landowners. Regional Real Estate meets with each of the affected landowners along a project to describe the type and size of the acquisition that the State is appropriating from their property. These discussions include how the project will affect the topography, structures, and landscaping of a property. Therefore, Regional Real Estate needs to be kept abreast of construction impacts and any changes to those impacts on adjacent land parcels and receive periodic updates of general highway plans, profiles, and cross sections. Design changes in areas of land acquisitions that impact environmental issues (e.g., historic, parkland, wetland) need to be communicated to the Regional Landscape and Environmental Section during final design, so that they are aware of any changes to permits or mitigation needs.

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5.5.5

5-32

BASIC DESIGN

The Table of Right of Way Acquisitions shall include: Reputed owners name. Map and parcel numbers. Types of acquisitions. PEs and TEs shall include the purpose of the easement. ROW area to be acquired. State highway number (on projects which include more than one state highway).

A copy of this table should be forwarded from Design to Regional Real Estate at least two weeks prior to PS&E, for Real Estates use as a checklist to determine if all acquisitions have been processed, and for obtaining ROW Certification. This list in the plans will provide a tabulation of all ROW acquisitions for use by the Contractor and EIC, as well as for historic reference of what ROW was acquired for that specific project.

5.5.6

Types of Right of Way and Access

Right of way is usually acquired by appropriation. Appropriation is the acquisition of property by the government through the right of eminent domain. The amount of right of way acquired shall be limited to only what is necessary to access, construct, or maintain a highway and its designed features and appurtenances. The different types of right of way acquisitions and access are described in Sections 5.5.6.1 through 5.5.6.9. 5.5.6.1 Fee with full access - Fee (W/A) A. Definition Acquiring absolute right, title, or estate to a parcel of land for use by the state for purposes related to highways or other transportation related facilities.

5.5.6.1 A

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BASIC DESIGN B. Types of Use

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Fee with full access is used for the construction or maintenance of roadway pavements, structures, appurtenances, and their supporting foundations. Fee acquisitions should be appropriated to include all permanent structures which are part of the highway infrastructure, but are not within the existing highway right of way. These should include wingwalls, headwalls, guide rail, sign structures, signal equipment, public sidewalks, drainage structures, and retaining walls used to support the highway. In addition, fee acquisitions should be appropriated to include all highway elements which are necessary to support or protect the integrity of the highway (e.g., roadside ditches or side slope protection installations) or to mitigate environmental impacts associated with the proposed project (e.g., the acquisition of land for wetland creation). In certain situations such as in highly developed commercial areas, a fee acquisition may reduce a commercial property to below a standard size lot required by local zoning or reduce a building setback below the minimum requirement. These two situations could cause undue hardship on the owner should they end up with a substandard lot. The implications of a fee acquisition in these cases far outweighs the cost of the land, therefore, a Permanent Easement acquisition may be more appropriate. Acquisition of ROW should be avoided around areas which include private wells and septic systems, underground tanks, private drainage systems which collect, transport, or discharge storm water from a private property, and retaining walls which support private property embankments. Appropriation of these facilities will implicate the state for their maintenance responsibility or liability in the future. 5.5.6.2 Fee without access - Fee (W/OA) A. Definition Same definition as Fee W/A, except that the remainder parcel of the abutting owner is denied direct access across the fee parcel to the public highway. Fees W/OA that are purchased to limit access are usually acquired at a minimum width of approximately 0.5 m, but can include the entire acquired parcel. B. Types of Use Fee without access is used to control (deny) access onto limited access types of highways such as interstates or parkways, or to control access in highly congested or accident prone portion of highways. Fees W/OA may also include all of the types of use listed under Fee W/A.

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5.5.6.2 B

5-34 5.5.6.3 Permanent Easement (PE) A. Definition

BASIC DESIGN

Permanent easement is the acquisition of certain rights and interest to use or control a property for a designated purpose. In most cases, the property owner retains the use of the property for other functions which do not interfere with the purpose of the easement. B. Types of Use Permanent easements provide for the limited use of private property which is necessary for highway purposes. The PE Map must describe the specific right that is being acquired and for what purpose. Examples of this use are: Drainage - To control the direction and maintain the flow of storm water. This may include minor underground drainage lines which collect storm water from low areas adjacent to the highway, or discharge storm water to naturally occurring watercourses which lie adjacent and downstream of the highway. (See also, discussion of rights of entry in Section 5.5.6.8.) Sight Distance - To allow for clearing and maintaining of a critical sight distance area. Slopes - To maintain the stability of a side slope along a highway which does not support a critical highway element, (e.g., large back slope out from a ditchline). Viewsheds - To allow for the conservation and development of roadside view sheds and natural features. Maintenance Operations - To allow maintenance crews access to highway structures or other appurtenances for the intent of maintaining their integrity or purpose. Bank Stabilization - Banks of streams or rivers which are susceptible to erosion near a highway may require stabilization efforts to be maintained. Commercial Access Control - Along highways, where commercial access control is desired, a PE can be acquired for highway purposes to allow for construction of roadside traffic control elements (PEs can be used in these instances, as a last resort, where minimum commercial lot sizes, setbacks, or green spaces would be reduced and property value would be significantly compromised by a fee taking). Clear zones and clear areas - To create and maintain clear zones and clear areas. Railroad properties - For construction of any permanent highway bridge structures across an operating railroad property, in most situations a PE is acquired from the applicable owner. In some situations, specific railroad companies have not agreed to PEs, but have provided permits to allow for the construction work and future maintenance. Contaminated soil - To acquire the rights of access and/or use a piece of real estate without owning the underlying fee and contamination liability. Refer to Section 5.5.6.9 A for additional guidance. Snow fence - to allow for the construction and maintenance of permanent snow fence installations. 08/23/06

5.5.6.3 B

BASIC DESIGN 5.5.6.4 Temporary Easement (TE) A. Definition

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Temporary easements acquire the use or control of a piece of property for specific use(s) during a construction project, for a set or limited duration of time (usually the length of the construction contract). The owner is compensated for their inconvenience, loss of value, or loss of access on the TE. B. Types of Use Temporary easements should be used for work which is essential to the proper, timely, and safe completion of the project, but not for work which restores private access to a highway. Examples of temporary access are: For construction and removal of a temporary detour or onsite diversion, including bridges. For construction and removal of temporary pedestrian bridges or walkways. To demolish or raze a structure on a property where the state has taken title to the structure, but does not own the underlying property. To slightly modify the land features or grade characteristics of an adjacent property that improves the safe use or integrity of the highway while not affecting the existing land use. To allow access for specialty construction equipment such as pile drivers or cranes. For stream realignment including the excavation or clearing of a new streambed or backfilling and seeding a former streambed both of which reside on the same owners property. For use by the contractor for the temporary storage of equipment or materials used on the construction project (if deemed beneficial to the Department), or for temporary access by the contractor across private property. To install and maintain temporary soil erosion control measures.

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5.5.6.4 B

5-36 5.5.6.5 Temporary Occupancy (TO) A. Definition

BASIC DESIGN

A temporary occupancy maps a specific area of private property, which under Section 404 of the Eminent Domain Procedure Law and Section 30 Subdivision 17 of the Highway Law allows the state or its designees (contractors) to enter upon for project-related business. A TO allows for compensation to the landowner up to $2500 for loss of use or damage to their property during construction activities. However, since the land is not appropriated, some situations have arisen during which construction work has been delayed by the landowner, or the assessed damages have exceeded the $2500 limit. In some cases, the TOs have been reprocessed as TEs; duplicating much of the effort. B. Types of Use Temporary occupancies are discouraged and shall only be processed with the concurrence of the Regional Real Estate Group. TOs are only to be used in isolated situations where there is a definite advantage to the state, and then, only used on areas which are noncritical to the completion of the project. 5.5.6.6 Reestablishment of Approaches to Private Lands Section 54a of the Highway Law, Reestablishment of Approaches to Private Lands, allows the Department to reestablish existing entrances, approaches, or driveways to meet the new highway grade. Entrances, approaches, and driveways have been interpreted to include driveway, curbs, sidewalks, stairs, etc. Before the contractor is allowed to make any adjustments outside the States ROW, a release from the property owner must be obtained as discussed in Section 107-14 of the Contract Administration Manual, MURK Part 1A. The release provided in Section 107-14 should be used. A release is a nonbinding agreement (without compensation) between a landowner and the state to allow for the reconnection of a private or commercial access to a highway. No TE or TO maps are used for this purpose, and no compensation is paid to the land owner since the reconnection is for their benefit. No project-related work should be included under this release that, if the owner were to deny access, would prohibit the contractor from completing an essential element of a project. Refer to Appendix A of this chapter for the Driveway Design Policy.

5.5.6.6

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BASIC DESIGN 5.5.6.7 Planting Trees and Shrubs Along State Highways

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Section 19 of the Highway Law, Planting Trees and Shrubs Along State Highways, allows the Department to plant trees and shrubs on private property with the consent of the property owner. If plantings on private property are to be specified, form HC91, illustrated in Section 107-14 of the Contract Administration Manual, MURK Part 1A must be used to obtain the property owners permission before the work can begin. 5.5.6.8 Rights of Entry The rights of entry discussed in Sections 5.5.6.8 A and B should be used with caution. If exercised inappropriately or without proper cause, it could lead to claims filed by the adjacent land owners. These rights do provide for access in situations where the integrity of the roadway is threatened or the safety to the public users of the highway could be in jeopardy. For any work in a stream or creek which is performed outside the existing highway boundary and alters the channel location, flow characteristics or the underlying land use, should be accomplished within ROW acquired by appropriation. This appropriation should compensate the adjoining land owner for any change in the riparian rights they had prior to this work. A. Section 45 of the NYS Highway Law This section states that DOT employees or contractors working for the state can enter upon lands adjacent to a state highway or which contain a stream or creek to: Open, maintain, or construct an existing ditch or drain for the free passage of water for drainage of such highway. Construct, reconstruct, or maintain drainage channels in order to keep the waters of such streams or creeks within their proper channel and prevent their encroachment upon state highways or bridges. Remove or change position of a fence or other obstruction, which in DOTs judgement, prevents the free flow of water under or through a state bridge or culvert. Remove private fences or obstructions which cause snow to drift in and upon a state highway, or to construct or remove temporary snow fences which prevent the drifting of snow in or upon a state highway. Inspect, remove, or prune trees which in DOTs judgement, constitute a danger to the users of the adjacent highway.

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5.5.6.8 A

5-38

BASIC DESIGN B. Section 404 of the Eminent Domain Procedure Law (EDPL) and Section 30, Subdivision 17 of the Highway Law These sections of the law allow for DOT employees or contractors working for the state to enter upon private land, prior to acquiring any real property, to engage in work connected with a proposed public project. This right of entry shall be for the purpose of making surveys, test pits and borings, or other investigations needed for the project. The states representatives shall be responsible to notify the private land owners, by mail, prior to entry upon the land. The state shall also be liable to the landowner for any damages caused by or as a result of entry.

5.5.6.9 Special Considerations A. Contaminated Soil Acquisitions along properties which have in the past or still do contain commercially sold or used hazardous materials (including petroleum based) should be investigated for possible contamination of the soil on the site. Procedures described in Chapter 5 (Hazardous Waste and Contaminated Materials) of the Environmental Procedures Manual should be followed and investigations coordinated with the Regional Environmental Contact. When acquisitions are deemed necessary on properties which have been determined as contaminated, care should be used in determining the limits and types of acquisitions due to possible legal implications. Therefore, the following guidance is provided to assist in these determinations: Outer limits of the soil contamination in areas of possible ROW acquisitions should be determined as closely as present technology allows. Existing sources of the contamination should be investigated and appropriate action taken to prevent further contamination. If any possible sources of contamination are located within a proposed acquisition, (such as underground petroleum storage tanks or piping system which leaks), it shall either be avoided, or removed and appropriately disposed of. This removal shall be performed under the use of a Temporary Easement. Acquisitions of hazardous waste contaminated soils which are absolutely necessary, (other than petroleum based contamination) shall be acquired as Permanent Easements. This action avoids acquiring the underlying fee title and the possible contamination liability. Final determinations of these type of acquisitions should be coordinated with the Departments Office of Legal Affairs.

5.5.6.9 A

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BASIC DESIGN

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Acquisitions of petroleum-based contaminated soils, (which do not include any remaining sources of the contamination) are regulated by different federal and state statutes than other hazardous wastes, and thereby have different liabilities associated with them. Thus, fee acquisition of petroleum contaminated soils may be permitted, if the Department does not acquire any part of the system from which the release is believed to have occurred. If uncertain of the potential implications of a specific acquisition, seek legal counsel from the Departments Office of Legal Affairs.

B. Utility Easements Utilities acquire easements from private land owners for the purpose of locating their facilities across private property. These easements are generally affected when a proposed project requires acquisition of some or all of the land rights of the same property that the easement is located upon. The two ways the Utility easement may be affected are as follows: An acquisition in which the Utility is required to relocate their facility - In this case, all project-related relocations of utility facilities located on private property will be reimbursed from construction funds pursuant to Section 10 (24-b) of the Highway Law, and Chapter 13 of this manual. By reimbursement for this relocation, all existing Utility easements located within proposed acquisitions shall be assumed to be compensated for and extinguished. An acquisition in which the Utility in not required to relocate their facility - In this case, the Utility retains their easement rights that they held prior to the proposed acquisition. The proposed acquisition is thus made subject to the rights previously held by that Utility.

5.5.7

Encroachments

Encroachments exist on many highway rights of way. Generally, the owners should be requested by Regional Transportation Maintenance to remove these encroachments. However, an encroachment may be allowed to remain if it can be shown that the structure in no way impairs or interferes with the free and safe flow of traffic on the highway. Encroachments are allowed to occur when a "Use and Occupancy Permit" has been granted, however, FHWA must also approve an encroachment that remains on a project requiring FHWAs design approval. The designer, in consultation with the other program area groups, may recommend to the Regional Director that the encroachment remain. If approval is granted, the Real Estate Group is responsible for managing the encroachment.

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5.5.7

5-40 5.5.8 Excess Right of Way

BASIC DESIGN

Excess right of way is defined as existing transportation property beyond that which is sufficient to ensure safe, efficient operation of the highway as it exists and as it will exist in the foreseeable future. Changes in the highway alignment often result in an excess of right of way, or an existing excess is noticed in the design process. Excess right of way is established on a project specific basis. When determining excess right of way, the designer must consider the following: Probability of the need for future improvement (check the present volume/capacity ratio, level of service, accident rate, etc.). Horizontal sight distance. Adequate clear zone widths. Surface and subsurface drainage. Snow storage. Pedestrian facilities. Bicycle facilities. Bus turnouts. Traffic control devices. Utilities. Access control. Effects on property owners. Wetland mitigation. Preservation of views and aesthetics.

The Real Estate Group has responsibility for the disposal of excess right of way. See M.A.P. 7.8-5-1 Disposal of Surplus Real Estate and A02-5-29 Excess Property Identification for details of the procedure.

5.5.9

ROW Markers

Right of Way (ROW) Markers along a highway delineate the right of way: To assist adjacent land owners in the identification of the limits of the highway boundary adjacent to their property. To assist maintenance crews in determining the limits of the highway which they are maintaining. To monument the limits of the right of way, which provides secondary control for future reestablishment of the highway boundary.

5.5.9

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BASIC DESIGN 5.5.9.1 Where and When to use ROW Markers

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ROW Markers are intended to delineate the boundary between the highway and private property, and mark any changes in the direction of that boundary line. All new right of way limits should be monumented as part of their associated construction projects. ROW Markers should be installed at all angle points along the proposed or new right of way boundary. ROW Markers are not intended to monument the property lines between private properties. Therefore, no markers should be placed at property lines, except in unavoidable situations where an acquisition has to end at a property line. Recommendations on where and when to place ROW Markers should be reviewed by the Regional Land Surveyor. 5.5.9.2 Which ROW Markers to Use The Department uses concrete and steel pin and cap ROW markers. Refer to the Departments 625 series standard sheets for the ROW marker details. The following factors need to be considered when choosing between the various types of ROW markers. Proposed ROW Marker locations and types should be reviewed by the Regional Land Surveyor. Safety - Consider whether pedestrians, bicyclists, land owners, or vehicular traffic could be exposed to a hazard by placing a high or low concrete marker adjacent to, or within a sidewalk, public path, lawn area, or driveway. Aesthetics - Consideration should be given to the visual impact of ROW markers on a project area. For example, the placement of a line of high concrete markers (fence post look) may be visually intrusive to the project area. In situations where markers will be visually evident and could potentially create a less than desirable effect on the areas aesthetics, use of low or steel pin markers should be considered. Any use of concrete markers on or adjacent to historically significant or contributing properties, should be coordinated with the regional contact for historic and cultural resources. Land Use - Consider the present or anticipated land use for the adjacent properties. It is not desirable to install concrete markers in existing or proposed parking lots, driveways or sidewalks, maintained lawn areas, or on parklands. In contrast, it is advisable to consider the use of either high or low concrete markers near cultivated fields (since they need to be seen to be avoided), and use high concrete markers in unimproved areas which are heavily underbrushed, swampy, or include standing water, to simplify their rediscovery in the future. Low concrete or steel pin markers are appropriate along interstates which also have fencing to delineate the right of way limits. Low concrete or steel pin markers should be used on or near commercial properties, depending on proximity to walks or driveways, and the resulting landscaped appearance after installation.

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5.5.9.2

5-42

BASIC DESIGN Ground Conditions - Consider the types of ground materials or the underground utilities where markers are to be set. Rock outcroppings may necessitate the use of steel pin markers (by drilling and grouting), and high water table or unstable soils may warrant concrete markers to ensure their stability. While underground utilities warrant care on the contractors part during installation, the designer may need to include a special note to establish the depth that a marker is to be set over utilities or pipes.

5.5.9.2

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BASIC DESIGN 5.6 ECONOMIC ANALYSIS

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The objective of economic analysis is to help select the most efficient transportation project or plan that minimizes the use of valuable resources (money, land, time, materials, manpower, etc.). A variety of methods exist for selecting the most cost-beneficial projects or for selecting a superior alternative from among a group of proposals. The following are brief descriptions of four common methods used by the Department, with simple examples of each. Exhibit 5-5 offers a reference to determine which method is usually used for various project types, and the functional unit generally responsible for the analysis. Exhibit 5-5 Economic Analysis Problem Types, Analysis Methods, Guidance in Force, and Contact for More Information Method Life Cycle Cost User Benefits Agency costs Life Cycle Cost Guidance Bridge Manual Section 19 Economic Analysis Worksheet for Bridges Comprehensive Pavement Manual Chapter 3 Highway Safety Improvement Program Procedures and Techniques Manual Highway User Cost Accounting Package Environmental Procedures Manual Contact Structures Division Mobility Management Bureau Materials Bureau Traffic Engineering and Highway Safety Division Mobility Management Bureau Environmental Analysis Bureau

Analysis Type Bridge Rehabilitation vs. Replacement Bridge Abandonment vs. Preservation Decisions Pavement Rehabilitation Alternatives Accident Reduction Treatments Mobility Betterment Social, Economic & Environmental Impacts

User Benefits Agency Costs

Incremental B/C Ratios B/C Ratios

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5.6

5-44 Methods 1.

BASIC DESIGN

Present Worth Method - When two or more alternatives are capable of performing the same functions, the superior alternative will have the largest present worth when determining the present worth of benefits, and the smallest present worth when determining the present worth of costs. All alternatives must have the same lives and be mutually exclusive. The present worth for a single future benefit is calculated from the equation: Ps = F(1 + i) -n The present worth for uniform annual benefits is calculated from the equation: Pu = A (1 + i) n -1 i (1 + i)n Where: P= F= A= i = n= Present Worth Future Benefit Benefits per period (usually annual) Interest rate per period (usually annual) Number of compounding periods

The present worth of the net benefit of each alternative should be calculated by subtracting present alternative costs from present worth benefits. Example: Given two projects, A and B, i= 5%. A costs $10,000 today and has a single future benefit of $11,500 two years in the future. B costs $8,000 today and has benefits of $4,500 in each of the next two years. Present worth of the net benefit (Alt. A) = - $10,000 + $11,500 (1 + .05)-2 = Present worth of the net benefit (Alt. B) = - $8,000 + $4,500 x $431

(1 + .05)2 -1 = $367 0.05 (1 + .05)2

Alternative A is superior, since the present worth of the net benefit for Alt. A is higher than the present worth of the net benefits of Alt. B. 2. Equivalent Uniform Annual Cost (EUAC) - (also called Annual Return Method and Capital Recovery Method). The EUAC method assumes that each alternative will be replaced by an identical twin at the end of its useful life. The alternatives must be mutually exclusive and infinitely renewed up to the duration of the longest-lived alternative. The annual cost is given by the equation: A=P i(1 + i)n (1 + i)n -1 Where: A = Annual Cost P = Present Cost i = Annual interest rate n = Number of years

5.6

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BASIC DESIGN

5-45

Example: Given two highway improvement projects and the following information, determine which is superior over a 30-year period at an annual rate of 4%. Type Life Cost Maintenance A Rehabilitation 30 years $1,800,000 $5,000/year B Pavement Resurfacing 10 years $450,000 $20,000/year

EUAC(A)= $1,800,000 x 0.04(1+.04)30 + $5000 = $109,040 (1+.04)30 -1 EUAC(B)= $450,000 x 0.04(1+.04)10 + $20,000 = (1+.04)10 -1 $75,485

Alternative B is superior, since its annual cost of operation is the lowest. It is assumed that three pavement resurfacing projects each with a life span of 10 years and cost of $450,000 will be built to span the 30-year period. 3. Capitalized Cost Method - There are times when a series of equivalent uniform annual costs (EUAC) will start at some future date and must be combined with lump sum payments in other years. This is accomplished by converting the EUAC to a capitalization amount in the year the annual payments start. The capitalization amount is the amount of money that when invested today at the effective interest rate would give an annual return equal to the annual payments. It can be determined by the following equation: Where: CA = EUAC i CA = Capitalization amount in year annual payments start EUAC = Equivalent Uniform Annual Cost i = Effective interest rate

The Capitalization amount in some future year can be converted to a Present Cost in a similar manner as the present worth is calculated above. Example: A decision must be made whether to spend $500,000 on a bridge rehabilitation project now or to do nothing and replace the bridge in the future at a cost of $1M. Without the rehabilitation, the bridge would last ten years before replacement. The rehabilitation would add 15 years to the life of the bridge and, thus, the bridge would require replacement in 25 years. The effective interest rate is 4 percent and a new bridge life is 50 years. For perpetual bridge replacement: EUAC = $1,000,000 x 0.04(1+.04)50 = (1+.04)50 -1 CA = $46,500 0.04 08/23/06 = $46,500 $1,164,000

5.6

5-46

BASIC DESIGN Bridge Rehabilitation 1. Present Cost of Rehabilitation 2. Present Cost of Capitalization Amount occurring in 25 years: P = $1,164,000 (1+.04)-25 3. Total Present Cost of this Alternative Delay Rehab and Replace in Ten Years Present Cost of Capitalization Amount in 10 years P = $1,164,000 (1+.04)-10

$500,000 $437,000 $937,000

$786,000

The analysis shows that delaying the rehabilitation and replacing the bridge in ten years will have the lowest life-cycle cost. 4. Benefit-Cost Ratio Method - To determine the B/C Ratio, the present worth of all benefits is divided by the total present worth of all costs. The project is usually considered acceptable if the B/C Ratio exceeds 1. When the Benefit/Cost Ratio is used, disbursements by the initiators, or sponsors, are costs. Disbursements by the users of the project are known as disbenefits. It is often difficult to determine whether a cash flow is a cost or a disbenefit. The numerical result can be considerably different, since if it is disbenefit, it is subtracted from the numerator, and if it is a cost, it is added to the denominator. Example: Given a public works project with: Estimated benefits Present costs Additional cash flow item(s) = = = $ 1,600,000 $ 650,000 $ 200,000 B/C = $ 1,600,000 = 1.88 $650,000 + $200,000

Assume additional item(s) is a cost:

Assume additional item(s) is a disbenefit: B/C = $1,600,000 - $200,000 = 2.15 $ 650,000 For this reason, the B/C method should not be used to rank competing alternatives unless an incremental analysis is used. The optimum alternative may not necessarily be the one with the greater B/C. In order to do an incremental analysis, first determine that the B/C is greater than one for each alternative. Then, for each possible pair of alternatives, calculate the ratio: B2 - B1 C2 - C1 If the ratio exceeds 1, alternative 2 is superior to alternative 1. Otherwise, alternative 1 is superior.

5.6

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BASIC DESIGN Example: Given two highway improvements with the following information: Condition Existing Roads Plan 1 Plan 2 Annual Road User Costs $ 5,730 4,760 4,697 Annual Incremental Benefits $ 970 1,033 63 Annual Highway Costs $ 46 234 264 Annual Incremental Costs $ 188 218 30

5-47

Comparison Plan 1 vs. Existing Plan 2 vs. Existing Plan 2 vs. Plan 1

B/C 5.2 4.7 2.1

Both Plans are superior to the existing situation. However, when compared to each other, Plan 2 is superior to Plan 1.

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5.6

5-48 5.7 DESIGN ELEMENTS

BASIC DESIGN

5.7.1

Design Vehicle

The Design Vehicle is the largest vehicle that frequently uses a facility. Projects with several types of facilities may have different design vehicles for each part. The physical and operating characteristics of the design vehicle are controlling parameters in highway design. Designs should accommodate the size and maneuverability of the design vehicle to allow it to operate without encroachment into adjacent travel or parking lanes. Such designs help reduce collisions and operational delays from lane encroachments. 5.7.1.1 Minimum Design Vehicle for Various Routes The geometric characteristics of the various design vehicles are found in Chapter II of AASHTO's, A Policy on Geometric Design of Highways and Streets, 2004. Below are the minimum required design vehicles for various highway categories: For interstate highways, Designated Qualifying and Access Highways on the Designated Truck Access Highway Network, and their interchanges, the minimum design vehicle is the WB-20. For parkways, the design vehicle is the largest vehicle that will be regularly used on the highway, typically either an SU vehicle representing a maintenance vehicle or large school bus (S-BUS-12). (Note that Parkways are highways where commercial traffic is prohibited.) For most other noninterstate highways, the minimum design vehicle is the single unit truck (SU), which will also accommodate a large school bus (S-BUS-12). Some projects may require the larger city transit bus (CITY-BUS), articulated bus (A-BUS), WB-15, WB-19, WB-20, or larger design vehicle.

5.7.1.2 Encroachments Vehicle encroachments occur when any portion of a vehicle extends beyond the vehicle's lane. With the exception of some low speed local streets and roads, designs that cause frequent encroachments are undesirable as they may increase the likelihood of delays and collisions. However, designs that eliminate encroachments may also reduce safety since large turning radii allow faster turning speeds and wide turning paths create longer walking distances for pedestrians and may increase confusion for motorists confronted with large paved areas. In order to provide a balanced design, encroachments are generally acceptable for: 5.7.1.2 Shoulders at intersections (Refer to Chapter 3, Section 3.2.5.2 for a discussion of additional shoulder pavement thickness at intersections). Intersections along low-speed urban streets. 08/23/06

BASIC DESIGN

5-49

Intersections along low-volume rural roads. Single left turns that require two receiving travel lanes. Double left and right turns that cannot accommodate side by side operation of the design vehicles. (Designs should accommodate a passenger car along side the design vehicle.)

5.7.1.3 Oversized Vehicles The selected design vehicle is often not the largest vehicle that may use the facility. Oversized vehicles require additional paved areas that are often not practical to construct due to the infrequency of these vehicles. We recognize that these oversized vehicles will occasionally be present and may encroach into other lanes and/or traverse shoulders and curbs. Designers should check proposed designs using the largest oversized vehicle anticipated to use the facility. This helps determine what changes would be needed to accommodate the oversized vehicle and helps decision makers determine whether or not such changes are practical. Designers should contact their Regional Transportation Systems Operations Group to help determine an appropriate oversized vehicle. For many areas, the oversized vehicle is a modular home unit on a WB 20 trailer. The dimensions of the trailer load may be assumed to be a maximum of 4.9 m high including the trailer, 4.9 m wide, and 17 m to 24.5 m long. The wheel path for this vehicle can be easily checked using a WB 20 design vehicle. The vehicle overhangs should be checked to evaluate the location of trees, signals, poles, signs, shrubs, street appurtenances, etc. When oversized vehicles encroach beyond the traveled way, the designer may need to consider: Traversable curb. Full depth shoulders. Wide shoulders. Stabilized areas behind curbing. Relocation of signals, poles, signs, trees, shrubs, street appurtenances, etc. Removable signs and street appurtenances.

As an alternative to a site specific evaluation of oversized vehicles, the Region may coordinate with the Office of Safety and Security Services to develop alternative routing that bypasses a particular site.

5.7.2

Sight Distance

Sight distance is the length of road ahead visible to the driver. This distance should be long enough for the driver to see a situation and successfully react to it. There are a number of different types of sight distances important in highway design. Refer to Section 5.9.5.1 of this chapter for a discussion of intersection sight distance. 08/23/06 5.7.2

5-50 5.7.2.1 Stopping Sight Distance

BASIC DESIGN

Stopping sight distance is the distance necessary for a vehicle traveling at or near the design speed to stop before reaching a stationary object in its path. There are three types of stopping sight distance. These are: stopping sight distance for a crest vertical curve, stopping sight distance for a sag vertical curve (also called "headlight sight distance") and stopping sight distance for horizontal curves. Each of these types is equally important and only when all three conditions have been satisfied, can stopping sight distance requirements be considered satisfied. Stopping sight distance is one of the critical design elements and is discussed in Chapter 2 and the "Standards for Non-Freeway Resurfacing, Restoration and Rehabilitation (3R) Projects". The NYSDOT "Vertical Highway Alignment Sight Distance Charts" in Appendix B of this chapter provide values for stopping sight distance and length of vertical curve for various algebraic differences in grade. 5.7.2.2 Passing Sight Distance Passing sight distance is only a concern on two-lane, two-way roadways. On these highways, provision for passing is an important factor in maintaining the capacity of the highway. For a vehicle to pass a slower vehicle it has overtaken, it must occupy the lane regularly used by opposing traffic. To do so, the driver must be able to see far enough ahead to determine that the road is clear of opposing traffic and there is sufficient distance to complete the passing maneuver. Values for passing sight distance are found in Chapter 3 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. The NYSDOT "Vertical Highway Alignment Sight Distance Charts" in Appendix B of this chapter presents values for passing sight distance as a function of length of crest vertical curve and algebraic difference in grade. 5.7.2.3 Decision Sight Distance Decision sight distance is the distance required for a driver to recognize a complex situation and safely react to it. Values for decision sight distance are substantially longer than for stopping sight distance. The increased sight distance is beneficial whenever the motorist encounters a condition which may increase the likelihood for error in information reception, decision-making, or control actions. The increased distance provides a greater margin for safety and is desirable where these kinds of errors are more likely, such as at interchanges and intersections, approaches to lane drops, and other locations where competing sources of information greatly complicate the tasks of driving. Further discussion and values for decision sight distance are found in Chapter 3 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004.

5.7.2.3

08/23/06

BASIC DESIGN 5.7.2.4 Horizontal Sight Distance

5-51

Concrete barriers and other similar items have grown in popularity in recent years. The effect of these barriers must be considered along with other visual obstructions when determining sight distance. A concrete barrier placed on the inside of a horizontal curve will restrict the sight distance around that curve. This is a common problem on curvilinear urban freeways with concrete median barrier. Refer to Chapter 10, Section 10.2.2.5 of this manual for median barrier options. The following equation, a graphical method using CADD, or field measurements should be used to ensure sufficient stopping sight distance is provided along horizontal curves with obstructions, such as signs, concrete barrier, retaining walls, bridge abutments, etc., (see Exhibit 5-6). The equation is valid for curves with radii to the center of the inside lane that is equal or greater than the stopping sight distance. The eye height is 1080 mm and the object height is 600 mm. HSO = R (1 - cos (28.65 S/R)) Where: HSO = Horizontal Sightline Offset (m) R= Curve Radius to Center of Inside Travel Lane (m) S= Stopping Sight Distance (m) Measured Along the Travel Lane.

Exhibit 5-6 Horizontal Sight Distance

08/23/06

5.7.2.4

5-52 5.7.3 Horizontal Curves

BASIC DESIGN

The horizontal alignment of a highway consists of a number of straight (tangent) sections connected by horizontal curves. These curves are sections of a circle or spiral. Curves should be designed to minimize vehicles skidding off the traveled way (excessive vehicle yaw) or overturning (excessive vehicle roll). Refer to Chapter 2 of this manual for curve radii, design speeds, and superelevation rates for various facilities. 5.7.3.1 Horizontal Curve Design to Minimize Vehicle Skidding Crashes The point at which a vehicle begins to skid is based on a complex interaction of many variables, including: Traveled way superelevation, radius, grade, and coefficient of friction adjusted for weather, wear, and surface roughness. Vehicle mass, center of gravity, suspension, number of tires, velocity, antilock braking system, stability control system, steering angle, and acceleration/deceleration (i.e., accelerating or braking). Tire size, compound, tread design, wear, temperature, inflation, and contact patch. Motorist.

The following basic horizontal curve equation accounts for most of these variables (Ref. Equation 3-10 from AASHTOs A Policy on Geometric Design of Highways and Streets, 2004).
R = V2 . 127 (0.01e + f)

The basic horizontal curve equation can be used to calculate: Radius, speed, or superelevation for all low-speed urban streets. The minimum radius for the selected design speed and maximum superelevation rate for rural highways and high-speed urban streets. Do NOT use the basic horizontal curve equation to determine the superelevation for intermediate curves (i.e., having radii greater than the minimum) on turning roadways, rural highways, and high-speed urban streets. Refer to Chapter 2 of this manual for the applicable superelevation table for these facilities. The recommended speed based on the radius and superelevation rate for all curves, as discussed in Section 5.2.4.1 B of this chapter. The recommended speed is shown in Exhibits 5-8 and 5-9.

5.7.3.1

08/23/06

BASIC DESIGN Exhibit 5-7 Side Friction Factor

0.50 0.45 0.40 0.35 0.30 0.25 0.20 0.15 0.10 0.05 0

5-53

Assumed for low-speed design

Assumed for high-speed design

0 0

10 10

20 20

30 30

40 40

70 80 60 Speed (km/h) 70 80 50 60 50 0.17 0.15 0.14

90 90

100 100

110 120 110

130

120 130

Side Friction Factor (f) = 0.35 0.28 0.23 0.19 (rounded for design)

0.13 0.12 0.11 0.09 0.08

Where: R = Radius (m). The horizontal curve radius to help prevent a vehicle from sliding out of its travel lane is based on a combination of the vehicle speed, side friction factor, and superelevation. Measured to the centerline for highways and the inside edge of the travel lane for turning roadways. V = Speed (km/h). The approach design speed is used to determine the curve design speed. f = Side Friction Factor from Exhibit 5-7. The side friction factor is the ratio of the lateral forces to the normal forces acting on a vehicle traveling around a curve. The friction factor is used to account for the complex interaction of the vehicle (mass, center of gravity, suspension, number of tires, and velocity) and the traveled way (coefficient of friction adjusted for weather, wear, and surface roughness). Exhibit 5-7 shows the side friction factor for speeds of 15 km/h through 130 km/h and was used to create Exhibits 3-12 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. 08/23/06 5.7.3.1

5-54 e =

BASIC DESIGN Superelevation in percent. The superelevation is the banking of the traveled way cross slope to counter the centrifugal forces of a vehicle traveling around a curve. The basic horizontal curve equation minimizes the use of superelevation, which minimizes the margin of safety since the cornering vehicle must use large amounts of side friction to avoid sliding off the curve. Refer to the superelevation distribution method 2 discussion in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004.

Note: The superelevation for intermediate curves on rural highways and high-speed urban streets is based on superelevation distribution method 5, as discussion in Chapter 3 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. Superelevation distribution method 5 uses a number of complex equations to place added superelevation on intermediate curves. As the radius decreases, the added superelevation allows the side friction demand to increase gradually, which increases the margin of safety over superelevation distribution method 2. AASHTOs intent is to provide additional superelevation on curves with large radii to avoid violating driver expectancy. Motorists negotiating large radius curves are more likely to overdrive the curve and less likely to anticipate large cornering forces. The additional superelevation also allows the remaining available side friction to be used for changing roadway conditions, evasive maneuvers, braking, accelerating, etc. The minimum radii and maximum percent of superelevation are found in Chapter 2 of this manual for new construction, reconstruction, and bridge projects with over 400 ADT. For 1R projects and 2R/3R projects, refer to Chapter 7 of this manual for allowable values. For bridge projects with 400 ADT or less, refer to Chapter 4 of this manual. The maximum and minimum values should not be confused with desirable values. In new construction or reconstruction of high speed facilities, the largest radius possible is usually the most desirable solution. When evaluating nonstandard horizontal curves, note that the side friction factor can be reduced by longitudinal forces from braking, accelerating, and the increased tractive forces needed to maintain speed on steep inclines. Where these actions are likely additional superelevation and other measures should be considered.

5.7.3.1

08/23/06

BASIC DESIGN

5-55

Exhibit 5-8 Recommended Speed on Horizontal Curves to Avoid Skidding (Low Speed)
450

400

350

300

250 Radius (m)

200

150

100

50

0 20 30 40 50 Speed (km/h) e=-2% e=0 e=2% e=4% e=6% e=8% e=10% e=12% 60 70 80

08/23/06

5.7.3.1

5-56

BASIC DESIGN

Exhibit 5-9 Recommended Speed on Horizontal Curves to Avoid Skidding

1600 1500 1400 1300 1200 1100 1000 900 Radius (m) 800 700 600 500 400 300 200 100 0 20 30 40 50 60 70 80 90 100 110 120 130 Speed (km/h) e=-2% e=6% e=0 e=8% e=2% e=10% e=4% e=12%

5.7.3.1

08/23/06

BASIC DESIGN 5.7.3.2 Horizontal Curve Design to Avoid Vehicle Rollover Crashes

5-57

The typical passenger car will skid long before it rolls over on the pavement, particularly in wet weather. Trucks, vans, and sport utility vehicles have much higher centers of gravity and may rollover before skidding, particularly in dry weather and at lower speeds. Vehicle rollover is generally not a limiting factor that influences horizontal curves meeting current standards. Vehicle rollover should be considered for nonstandard curves, particularly when they are likely to violate driver expectancy (such as a nonconforming compound curve), which is discussed in Section 5.8.3 of this chapter. The point at which a vehicle begins to rollover is based on a complex interaction of many variables, including those listed in Section 5.7.3.1 of this chapter. Based on The Effectiveness of Truck Rollover Warning Systems, August, 2000, the horizontal curve equation to determine the point of impending rollover is: R = V2 . 127 (0.01e + a/g)

Where: R = Radius (m). The horizontal curve radius to help prevent a vehicle from rolling over is based on a combination of the vehicle speed, superelevation, and the maximum allowable lateral acceleration for given vehicle. For multilane facilities, the radius is measured to the inside edge of the inner most travel lane. For two lane facilities, the radius can be measured to the centerline or inside edge of the inner most travel lane. V = Speed (km/h). The approach design speed is used to determine the curve design speed. e= Superelevation or banking of the traveled way cross slope. a= The maximum allowable lateral acceleration for given vehicle, determined from:
Where: a = (RT - SM)g 1.15 RT = Rollover Threshold based on vehicle characteristics (g). SM = Safety Margin (usually 0.1g). g= Acceleration due to gravity (9.81 m/s2). a = Maximum allowable lateral acceleration for given vehicle (m/s2).

Exhibits 5-10 and 5-11 present the horizontal curve rollover speeds for large trucks with weights of 36 to 45 metric tons. The approximate Rollover Threshold (RT) for some selected vehicles are:
Vehicle Passenger cars SUV, vans, light trucks Large trucks with weights of 36 to 45 metric tons High center-of-gravity tankers Rollover Threshold 1.0g to 1.4g 0.8g to 1.2g 0.36g 0.22g

08/23/06

5.7.3.2

5-58

BASIC DESIGN

Note: Based on Rollover of Heavy Commercial Vehicles, University of Michigan Transportation Research Review, October - December, 2000, significant changes in lateral acceleration (from a nonconforming compound curve or nonstandard curve radius) can induce significant dynamic effects for unrestrained loads (e.g., a partially full liquid tanker). Rapid steering input induces a change in the lateral acceleration that may cause the load to displace further than it would for a more-gentle curve. This overdampening or overshooting of the load causes a dynamic effect that can reduce the rollover thresholds to as low as 0.22g for vehicles with rectangular-shaped tanks or cargo areas. The horizontal curve rollover speeds for these vehicles without any adjustments or margin of safety is nearly equivalent to the speeds shown in Exhibits 5-10 and 511 for the 36 to 45 metric ton truck. Solutions to an existing truck rollover problem may include: Provide additional signing with flashing lights. Install a truck rollover warning system (flashing lights are activated by truck approach speeds). Increase the superelevation up to a maximum of 8.0%. Increase the lane width. A wider lane width allows maneuvering area for large vehicles to steer to the outside of the curve for a brief moment to induce a righting force and to reduce speed. Reconstruct the horizontal alignment to current standards.

5.7.3.2

08/23/06

BASIC DESIGN Exhibit 5-10

45 0

5-59

Recommended Speed on Horizontal Curves to Avoid Truck Rollovers (Low Speed)

40 0

35 0

30 0

Curve Radius (m)

25 0

20 0

15 0

10 0

5 0

0 20

30

40

50 S p eed(k m /h)

60

70

80

T ruck e=-2%

T ruck e=0

T ruck e =2%

T ruck e =4%

T ruck e=6%

T ruck e=8%

08/23/06

5.7.3.2

5-60 Exhibit 5-11

1600 1500 1400 1300 1200 1100 1000 900 800 700 600 500 400 300 200 100 0 20 30 40 50 60

BASIC DESIGN Recommended Speed on Horizontal Curves to Avoid Truck Rollovers

Curve Radius (m)

70

80

90

100

110

120

130

Speed (km/h) Truck e=-2% Truck e=0 Truck e=2% Truck e=4% Truck e=6% Truck e=8%

5.7.3.2

08/23/06

BASIC DESIGN 5.7.3.3 Superelevation Transitions

5-61

The purpose of transitions at the ends of horizontal curves is to change the cross slope from normal crown to full superelevation and back. The length of these transitions should be chosen to provide a smooth-riding and pleasant-appearing transition. Superelevation transitions can be achieved over a tangent-spiral or tangent-circular curve combination. In both cases, the length of the transition is found in Exhibit 5-15 in this section. Exhibits 5-13 and 5-14 indicate the methods of attaining superelevation. Refer to Chapter 3, Section 3.2.5.1 of this manual for the shoulder cross slope along superelevated sections. A. Runoff In a transition, the runoff is the distance used to change the section from the point where adverse crown is removed (the high side is level) to the point where full superelevation is achieved. The runoff (Lr) is determined from the lane width (w) in meters, number of lanes (n1), percent superelevation (ed), an adjustment factor for the number of lanes to be rotated (bw), and the maximum relative gradient () from Exhibit 5-12, in percent. Superelevation Runoff Equation: Lr = w ed (n1bw )

Exhibit 5-12

Maximum Relative Gradient

Maximum Relative Gradient (%) 0.80 0.75 0.70 0.65 0.60 0.55 0.50 0.47 0.44 0.41 0.38 0.35

Design Speed (km/h) 20 30 40 50 60 70 80 90 100 110 120 130

08/23/06

5.7.3.3 A

5-62 Exhibit 5-13

BASIC DESIGN Method of Attaining Superelevation

5.7.3.3 A

08/23/06

BASIC DESIGN Exhibit 5-14 Method of Attaining Superelevation Four Lane Divided Highway*
Full Norm al Cro wn Med ia n Ed ge of Pa vem e nt C L Tran sition Supe releva tion

5-63

Le ft R oad wa y

Edge o f Pave m ent

N orm al C rown

Full Tran sition T.S. Tang ent Run out Le ngth o f Spiral = Le ngth o f Ru noff Supe releva tion

S.C.

C L Rig ht R oadw ay R eve rse C row n Med ia n Ed ge of Pa vem e nt

Sections for Curve to Left*

C L A Med ia n** C L

B *Figur e depic ts c urve to left with p ave m ent ro tating ab out m ed ia n edge s of tr ave le d wa y. C urve to right w ill be s imilar bu t opp osite h and . **Sho ulders n ot Show n C

08/23/06

5.7.3.3 A

5-64

BASIC DESIGN

The length of runoff for 1 lane rotated and 2 lanes rotated should be determined from the superelevation runoff equation or by Exhibit 5-15, which assumes a 3.6 m wide lane. For other situations, the runoff equals the length of 1 lane rotated multiplied by the factor (n1bw) provided below:
Number of Lanes Rotated 1 1.5 2 2.5 3 3.5 Length to Increase Relative to 1 Lane Rotated (n1bw) 1 1.25 1.5 1.75 2 2.25

A spiral is a curve of constantly changing radius. The radius at each end matches the alignment into which it is going. A spiral curve provides a smooth, natural path for a vehicle entering or leaving the circular curve. The spiral curve is used to achieve only the runoff portion of the banking transition. The runout portion is placed on the tangent. As a general rule, spirals are to be used for new or reconstructed curves. Introducing spiral transitions in curves that do not have them will shift the center line of the circular curve toward the center of the curve radius. B. Runout Runout is the change from a normal crown section to a section with no adverse cross slope (i.e., e = 0 on the high side of the traveled way). To effect a smooth edge of pavement profile, the rate of removal should equal the relative gradient used for the superelevation runoff. For sections with -2% cross slope, the runout length can be determined using the 2.0% superelevation row in Exhibit 5-15, adjusted as needed for the number of lanes rotated. For 1.5% or other cross slopes, the runout length should be determined using the runoff equation provided in Section 5.7.3.3 A using a percent superelevation (ed) equal to the cross slope. To avoid ponding storm water on the traveled way, a minimum grade of 0.5% should be maintained where the transition has travel lanes superelevated less than the normal cross slope.

5.7.3.3 B

08/23/06

BASIC DESIGN Exhibit 5-15 Superelevation Runoff Lr (m) for Horizontal Curves

5-65

08/23/06

5.7.3.3 B

5-66

BASIC DESIGN

5.7.3.4 Widening Along Horizontal Curves Travel lane widening along horizontal curves compensates for vehicle off-tracking, steering difficulty, and lane infringement. The need for travel lane widening is common along relatively sharp horizontal alignments. This need is exacerbated by narrow lane widths, narrow shoulder widths, or the lack of spiral transitions. It applies to both one-way and two-way facilities. It does not apply to turning roadways at intersections or interchanges, which are to be designed using Table 2-9 in Chapter 2 of this manual. A. Benefits of Widening Along Sharp Horizontal Curves Table 7 in FHWA's Safety Effectiveness of Highway Design Features, Volume II: Alignment, November, 1992, shows that the accident rate can be reduced by 5% to 21% by widening the traveled way along horizontal curves. Widening or providing paved shoulders along a horizontal curve can also result in substantial accident reductions. B. Design of Widening Along Sharp Horizontal Curves Refer to Exhibit 3-47 in AASHTOs A Policy on Geometric Design of Highways and Streets, 2004, for the recommended pavement widening along horizontal curves. The values are based on three traffic conditions and should be modified by Exhibit 3-48 when other traffic conditions will be present. Although paved shoulders provide some compensation when travel lanes are not widened along sharp horizontal curves, the highway should be designed so that vehicles only use the shoulder in emergency situations. When the right of way is severely constrained and paved shoulders are provided, a portion of the paved shoulder width may be subtracted from the above values since drivers can use part of the paved shoulder to increase the offset between passing vehicles. However, if there is frequent truck traffic (>10%), bicycle traffic, or a history of side-swipe, run-off-the-road, head-on, fixedobject, or rollover accidents, the full pavement widening values should be used. When widening the traveled way, the additional paved width should be added equally to both sides of the curve along spiraled curves, as shown in Exhibit 5-16, and to the inside edge of the curve for curves without spiral transitions, as shown in Exhibit 5-17. The pavement structure of the traveled way widening should be designed to meet the rigors of the additional vehicular traffic. Since the traveled way widening is often directly over the shoulder, the existing shoulder may require removal and replacement with the appropriate course(s) where the shoulder is severely deteriorated, unpaved, or inadequate to handle the projected traffic. As shown in Exhibits 5-16 and 5-17, the centerline markings should be placed along the centerline of the final, surfaced roadway. The edge striping should be located so that the normal shoulder width, from the tangent or unwidened curved sections, are maintained along the curve to permit use of the shoulder by bicyclists, pedestrians, and stopped vehicles. 5.7.3.4 B 07/30/10

BASIC DESIGN Exhibit 5-16 Cross Section View of Travel Lane Widening Along Spiral Curves

5-67

08/23/06

5.7.3.4 B

5-68

BASIC DESIGN

Exhibit 5-17 Plan View of Travel Lane Widening Along Curves Without Spiral Transitions

5.7.3.4 B

08/23/06

BASIC DESIGN 5.7.3.5 Combinations of Curves Avoid combinations of circular curves occurring together, whenever possible. number of special types of these combinations. A. Compound Curves

5-69

There are a

A compound curve is two or more curves of different radii but curving in the same direction and connected together. When this cannot be avoided, the ratio between the successive curve radii should be a maximum of 1:1.5 for mainline and 1:2 for ramps. Larger radius curves followed by lesser radius curves are of special concern because of inconsistencies with driver expectation. B. Broken-Back Curve A broken-back curve is two curves, turning in the same direction, with a short tangent between them. On new construction or reconstruction, a minimum tangent of 450 m should be provided between curves turning in the same direction. C. Reverse Curves A reverse curve is two curves, turning in opposite directions, and connected together. A tangent section between reverse curves that is of sufficient length to provide for full runoff and runout for both curves is desirable. If sufficient distance (i.e., more than 100 m) is not available to permit the tangent runout lengths to return to a normal crown section, a large area can be at the same plane with the edges of pavement and centerline at the same elevation. This condition results in poor transverse drainage. To prevent drainage problems, the superelevation runoff lengths should be increased until they abut, thus providing one instantaneous level section. The pavement is continuously rotated from full superelevation in one direction to full superelevation in the other. If the minimum superelevation runoff lengths cannot be obtained for each curve, realignment should be considered.

08/23/06

5.7.3.5 C

5-70 5.7.4 Vertical Alignment

BASIC DESIGN

5.7.4.1 Grades Grades affect the operating characteristics of vehicles. Braking distances increase on downgrades and decrease on uphill grades. It is difficult for heavy vehicles to maintain their speed on steep- uphill grades. Consideration should be given to adjusting the required stopping sight distance to account for the effects of grade. Chapter 3 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, contains a detailed discussion of the effects of grade. The maximum allowable grade on a roadway is generally determined by its functional classification, the design speed, and the terrain. See Chapter 2 of this manual for the appropriate values and a discussion of terrain and design speed. The minimum grade will generally be controlled by the design of the drainage system. In cut sections, it is desirable to have a minimum grade of 0.5% to avoid constructing special ditches. While flatter grades may be acceptable in some situations, curbed roadways and superelevation transition sections with less than 1% of cross slope should have a minimum grade of 0.5%. In fill sections, a level profile may provide adequate drainage. When evaluating the vertical alignment, the placement of a sag vertical curve on a structure should be avoided whenever possible due to fabrication problems as well as drainage problems on curbed structures. 5.7.4.2 Vertical Curves Vertical curves provide for a gradual change in grade between the approach tangents. Vertical curves should be designed to provide sufficient sight distance, comfortable operation, efficient drainage, and a pleasant appearance. Long vertical curves generally have a more pleasing appearance than short vertical curves. When faced with a choice, designers should use shorter sag vertical curves in favor of providing longer crest vertical curves. A. Crest Vertical Curves The provision of adequate sight distance for the design speed is the primary factor in the safe operation of crest vertical curves. The minimum stopping sight distance should be provided in all cases. Wherever economically and physically feasible, additional sight distance should be provided. AASHTO recommends providing the desirable stopping sight distance in these instances.

5.7.4.2 A

08/23/06

BASIC DESIGN

5-71

For appearance and comfort, even small changes in grade generally warrant a vertical curve. For appearance, AASHTO recommends a minimum length of 0.6 times the design speed. (For example, a 100 km/h speed would result in a minimum length of 60 m.) The minimum length of crest vertical curves should be the greater of: 1. 2. B. Six-tenths of the design speed. The length needed to provide the minimum stopping sight distance.

Sag Vertical Curves

Four criteria are used to establish the minimum length of sag vertical curves. They are sight distance, riding comfort, drainage and appearance. Sight Distance When a vehicle traverses a sag vertical curve at night, only a portion of the roadway is lighted by the vehicle's headlights. The lighted distance is considered the headlight sight distance. The minimum headlight sight distance required in a sag vertical curve is equal to the stopping sight distance for the design speed. Riding Comfort Riding comfort is the effect of the change in vertical direction. The effects of riding comfort are greater on sag vertical curves than on crest vertical curves. The gravitational and centrifugal forces are combining rather than opposing. There is a detailed discussion of riding comfort in Chapter 3 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Drainage In sag vertical curves, the surface drainage of curbed pavements requires special attention. Flat gradients may result in ponding. The design of the drainage system may control the minimum vertical curve length on curbed roadways. Generally, providing a minimum grade of 0.30% within 15 m of the level point ensures adequate roadway surface drainage. Refer to Chapter 8, Section 8.7.4.4 of this manual.

08/23/06

5.7.4.2 B

5-72 Appearance

BASIC DESIGN

The need for a minimum length of vertical curve may be based on appearance. For this purpose, AASHTO recommends a minimum length of 0.6 times the design speed. The minimum length of sag vertical curves should be the greater of: 1. 2. 3. 4. The length needed to provide the headlight sight distance. The length needed to provide adequate riding comfort. The length needed to provide adequate drainage. Six-tenths of the design speed.

C. Intersections on Vertical Curves Vertical and horizontal sight distances are crucial elements in the design of intersections. At all design speeds, the sight distance needed to perform entering and crossing maneuvers is considerably longer than the minimum stopping sight distance. For further discussion, see Section 5.9 "Intersections at Grade."

5.7.5

Climbing Lanes

A climbing lane is an additional lane provided to permit the passing of slow-moving traffic in the uphill direction. Its purpose is to improve the operational and safety characteristics of the roadway. It is desirable to provide a climbing lane when the grade, traffic volume, and the heavy vehicle volume combine to significantly degrade traffic operations. Heavy vehicles are those with a mass to power ratio of 120 kg/kW or greater. On two-way, two lane roadways, meeting the following three conditions would justify a climbing lane. However, other conditions may arise on low-volume highways where sufficient passing opportunities are not available where it might be advantageous to provide a climbing lane even though the following warrants are not met. 1. 2. 3. An upgrade traffic flow rate in excess of 200 vph. An upgrade truck flow rate in excess of 20 vph. One of the following conditions exists: a. A 15 km/h or greater speed reduction is expected for a typical heavy truck based on Exhibit 3-59 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. b. The level of service on the grade is E or F. c. A reduction of two or more levels of service between the approach and the grade.

5.7.5

08/23/06

BASIC DESIGN

5-73

On multilane highways and freeways, a climbing lane is justified when both of the following conditions are met: 1. 2. A 15 km/h or greater speed reduction is expected for a typical heavy truck based on Exhibit 3-59 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004. Either of the following conditions is met: a. There is a drop of more than one level of service between the desired design level of service and the level of service on the grade. b. The level of service on the grade is E or F.

The point of need for the climbing lane is the spot where the truck operating speed is reduced 15 km/h. The climbing lane should be developed through an abrupt 45 m taper starting 75 m before the point of need. Ideally, the climbing lane should be extended beyond the crest to a point where the truck operating speed is within 15 km/h of the highway operating speed. Due to the poor acceleration characteristics of heavy trucks, it may be impractical to obtain the desired length. In these cases, the climbing lane should be extended as far as practical. For the minimum passing sight distance and appropriate taper lengths, refer to Tables 262-1 and 262-2 of the NYS MUTCD.

5.7.6

Emergency Escape Ramps

Long, descending grades distinctly increase the potential for heavy vehicles to experience loss of braking ability. For grades where this is an identified problem, a properly designed emergency escape ramp at an appropriate location can safely slow and stop out-of-control vehicles away from the main traffic stream. Sandpiles, arrester beds, dragnets, and ascendinggrade gravity ramps, alone or in combination may be used. See Chapter 3 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, and Chapter 10 of this manual for a general discussion of emergency escape ramps. See Chapters 10 and 16 of this manual and Chapter 8 of AASHTO's Roadside Design Guide for specific information on arresting devices and attenuation systems.

5.7.7

Travel Lanes and Shoulders

Refer to Chapter 2 of this manual for the minimum and desirable travel lane and shoulder widths. Refer to Chapter 3 of this manual and the Comprehensive Pavement Design Manual for information on pavement sections.

08/23/06

5.7.7

5-74 5.7.8 Lane Drops

BASIC DESIGN

Lane drops are used whenever it becomes necessary to reduce the number of through lanes. Proper lane balance should be maintained to reduce bottlenecks and reoccurring congestion. A capacity analysis should be performed to evaluate the consequences of any lane reduction. On freeways, the lane reduction should be effected between interchanges or at a two-lane exit ramp. To allow for adequate signing, the lane reduction should be located at least 600 m to 900 m from the previous interchange and beyond any acceleration lane. The reduction should not be made so far downstream that motorists become accustomed to the number of lanes and are surprised by the lane reduction. Visibility of the lane reduction is an important consideration. Desirable locations are on tangents, on approaches to crest vertical curves, and on the uphill side of sag vertical curves. Lane drops on moderate to sharp horizontal curves should be avoided. AASHTO suggests that the lane reduction be on the right side of the roadway. Speeds are generally lower in the right-hand lane and the merging maneuver is more common than a merge from the left. Following exit ramps, there is usually less traffic in the right-hand lane. The lane drop shall be tapered. The minimum taper length should be in accordance with the merge taper lengths in Table 262-2 of the NYS MUTCD. A three- or four-lane highway transitioning to a two-lane, two-way roadway produces another lane drop situation. The lane shift can be centered or placed on either side. The appropriate signing and pavement markings for these situations are shown in the NYS MUTCD.

5.7.9

Medians

Medians are desirable for streets with four or more traffic lanes. The primary functions of medians are to provide the following: Storage space for left-turning vehicles Separation of opposing traffic streams Access control to/from minor access drives and intersection Traffic Calming

For additional information on medians, refer to Chapter 3, Section 3.2.8 of this manual. Chapter 2, Section 2.7 includes minimum widths for Interstates, other freeways and multilane, rural, divided arterials. Refer to Section 5.9.8.2 C for information on Two-Way Left-Turn Lanes.

5.7.9

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Median crossovers are needed to facilitate maintenance and emergency operations on controlled-access facilities. Maintenance crossovers may be required at one or both ends of an interchange. Crossovers may be provided on rural freeways when the interchange spacing exceeds 8 km. Generally emergency crossovers are placed every 5 km to 6.5 km between interchanges. The placement of the crossovers should be coordinated with the Regional Highway Maintenance Engineer. The appropriate police and emergency services should be contacted for their input. Maintenance and emergency crossovers should not be located within 450 m of the end of a ramp. Crossovers should be situated at locations where decision sight distance is available. If possible, they should not be located on curves requiring superelevation. To minimize the effect on an out-of-control vehicle, crossovers should be constructed with seeded side slopes of 1:10 or flatter. A rounding with a 15 m radius should be provided at the crossover's toe of slope and at the intersection of the mainline fill and the crossover fill. If drainage is carried through the median in a pipe with a diameter greater than 300 mm at a location accessible to an errant vehicle, a slanted grate should be used over the beveled end of the pipe. The 15 m rounding and the slanted grate may be eliminated when guide railing on the mainline adequately shields the motorist from the hazard. The minimum recommended crossover width is 7.5 m. On narrow medians, a greater width of pavement may be necessary to safely accommodate turning vehicles. Crossovers should not be used in restricted-width medians. The median must be wide enough to store a typical maintenance vehicle. The surface and shoulders should be designed to support the appropriate maintenance equipment. A parallel-type deceleration lane should be provided. See Chapter 10 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Its length should be determined from this AASHTO policy. It should be designed to accommodate the appropriate maintenance vehicle and surfaced with the same type of material and have the same cross slope as the mainline shoulder. A design speed of 100 km/h should be used and a 1.2 m shoulder provided. The design speed may be decreased on low-speed facilities. An acceleration lane is normally not provided. However, in special circumstances, an acceleration lane may need to be evaluated, depending on traffic volume, speed, accident history, etc. When the crossover is constructed in an area with a median barrier, the median barrier should be designed to limit the hazard. Opposing end sections should be shielded from oncoming traffic. It may be necessary to design the barrier to guide vehicles away from the median opening or to use impact attenuators. See Chapter 10, Section 10.2.5 of this manual for suggested flare rates.

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5-76 5.7.11 Roadway Clear Zone

BASIC DESIGN

A clear unobstructed roadside is highly desirable. The term "clear zone" is used to designate the width that the Department has committed to maintain as an unobstructed, traversable area provided beyond the edge of the traveled way for the recovery of errant vehicles. The desirable width of the clear zone is influenced by the traffic volumes, speed, horizontal curvature, and embankment slopes. Although AASHTO has established desirable design values for clear zone widths, actual values may vary for different projects or project segments. Projectspecific values, determined by sound engineering judgment during design, shall be documented in the Design Approval Document. Most Department projects require the establishment of design clear zone widths. See Chapter 10 of this manual for specific requirements and guidance.

5.7.12 Vertical and Horizontal Clearances Vertical and horizontal clearances are important elements in the design of a highway. Clearances to be considered are: Vertical over and horizontal along a roadway. Vertical over and horizontal beside a railroad. Vertical over and horizontal beside a waterway. Vertical and horizontal between a roadway and an airway.

5.7.12.1 Roadway The policy for vertical clearance over a roadway is stated in Section 2 of the Department's Bridge Manual. Vertical clearance is a critical design element and is discussed in Chapter 2 of this manual. Vertical clearance is the minimum vertical clear distance to an obstruction over any part of a highway's pavement or shoulders. Horizontal clearance is one of 17 critical design elements and is discussed in Chapter 2 of this manual. The clear zone(s) for a project are determined from guidance in documents such as Chapter 10 of this manual and AASHTO's Roadside Design Guide. 5.7.12.2 Railroad Clearances The minimum vertical clearance over the operating mainline tracks of a railroad is generally 6.71 m. Other clearances may be justified on some occasions. See Chapter 23 of this manual and Section 2 of the Department's Bridge Manual. The Structures Division will provide guidance, with the cooperation of the Rail Design Support Section of the Design Services Bureau. 5.7.12.2 08/23/06

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The Department's policy on the minimum vertical clearance over streams and navigable waterways is contained in Chapter IV C and D of the Department's Bridge Manual. The Structures Division will provide guidance on specific projects. The United States Coast Guard shall be contacted to determine the required horizontal clearance along navigable waterways. 5.7.12.4 Airway Clearances Whenever a project is proposed within 3.2 km of an airport or heliport, the vertical and horizontal clearance between the highway and the airway must be considered. The guidelines for these clearances are contained in Part 75 (Approval of Privately Owned Airports) of Title 17 of the Official Compilation of Codes, Rules and Regulations of the State of New York. The Aviation Division in the Main Office and the Regional Aviation Liaison will provide assistance. The Aviation Division in the Main Office must be notified of any possible conflicts. The administrator of the airport or heliport should be contacted to determine the facility's long range plans. Any planned changes in the operation of the facility should be considered in the development of the plan and profile of the highway.

5.7.13 Passive Snow Control Passive snow control involves the mitigation of blowing and drifting snow conditions on roadways through the installation of engineered snow fence, planting of shelterbelts, or by design of an aerodynamic roadway cross section. Use of passive snow control techniques will improve roadway safety by reducing whiteouts and drifting. Removal of snow by mechanical means is approximately 100 times more expensive than trapping snow by passive control. Passive snow control measures should be considered where implementation is feasible and cost-effective. More detailed information on the design and installation of passive snow control measures can be found in references 7 and 19 in Section 5.10 of this chapter. 5.7.13.1 Snow Fences Snow fences may be permanent or temporary. Permanent fences erected on private property will require the acquisition of a permanent easement. Temporary fences may be erected on private property under Article 3, Section 45 of the Highway Law. Some important factors for designing snow fences are:

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5.7.13.1

5-78

BASIC DESIGN The most important factor in designing a snow fence is capacity. Fences should be of adequate height to store the average annual amount of snow that will be transported (blown) through the problem area. To maximize effectiveness, fences should be at least 2.4 m in height, but may be as short as 2 m in areas of limited snow transport or restricted right of way. Fences should be located at least 35 times their effective height (total height minus ambient snow depth) from the road shoulder. A single row of tall fences is preferable to multiple rows of shorter fences. Fences should be perpendicular to prevailing wind directions but departures up to 25E are acceptable. They should be placed parallel to the roadway whenever possible. A gap equal to 10% of the total fence height should be left under the fence to reduce snow deposition near the fence. Deposition at the fence reduces the fences efficiency.

5.7.13.2 Shelterbelts Also referred to as "living snow fences," shelterbelts are multiple rows of trees, preservation of agricultural crops, or shrubs planted to provide protection from wind-driven snow. There are many advantages to shelterbelts as compared to snow fences, including roadside beautification, wildlife benefits, little or no maintenance after establishment, and long service life. The Regional Landscape Architect and Maintenance Environmental Coordinator should be consulted whenever shelterbelts are considered. Some design tips for planting shelterbelts are: Trees should be placed no closer than 3 times their mature height from the edge of shoulder. Generally, trees should be coniferous. Shrubs may be effective in areas of limited blowing and drifting snow. Two or more staggered rows should be planted to provide full coverage and to prevent gaps caused by plant loss or damage. Trees should be spaced so that crown closure will be achieved within ten years. Shrubs may be used where cost or space limitations do not allow for the planting of trees. An effective shelterbelt can be achieved by requesting farmers to leave six to eight rows of corn stalks standing through the winter. The minimum setback from the road shoulder should be 35 times the effective stalk height (height minus ambient snow depth).

5.7.13.2

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BASIC DESIGN 5.7.13.3 Drift-Free Roads

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Providing an aerodynamic roadway cross section will allow the roadway to be swept clear by the wind. It should be recognized that this is generally not a good solution where whiteouts are a problem. However, there may be some instances where the existing cross section may be contributing to the visibility problem and roadway redesign will be a viable alternative to mitigate the problem. In some areas it may be possible to reduce drifting by altering the cross section to provide for additional snow storage upwind from the road. Minor grading on private property may be accomplished with a property release from the owner. The following guidelines, implemented individually or in combination, as appropriate, will improve drift-prone areas: Backslopes and foreslopes should be flattened to a 1:6 slope or flatter. Ditches should be widened as much as possible. The profile of the road should be raised to 0.6 m above the ambient snow cover. Provide a ditch that is adequate for storing the snow plowed off the road. Widen cuts to allow for increased snow storage. Eliminate the need for guide rail. If existing W-beam guide rail appears to be contributing to a drifting problem, consideration should be given to replacing the W-beam with cable or box beam guide rail.

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5.7.13.3

5-80 5.7.14 Parking 5.7.14.1 On-Street Parking

BASIC DESIGN

On-street parking spaces in village and urban settings complete for usable streetscaping and pedestrian space. Early contact with local officials and business owners is important to identify acceptable locations for parking spaces. On-street parking adds an element of traffic calming whereby drivers are inclined to lower their speeds when confronted with slow-moving drivers looking for a parking space, or drivers of parked vehicles opening their doors. However, care must be taken in introducing any new onstreet parking. Since high-speed traffic is not compatible with slow-moving vehicles and limited sight distances, on-street parking is not to be added to facilities with design speeds of 80 km/h or more. When adding on-street parking to low-speed facilities, the designer should consider: The impact on the highways safety and capacity. Snow removal. Midblock crossings and curb bulb-outs to help motorists anticipate and see pedestrians among the parked vehicles. Parked vehicles can block emergency vehicles, such as fire trucks, from direct access to buildings.

To provide for adequate sight distance, vehicle turning paths, and emergency vehicles, parking is to be restricted near an intersection, fire house, commercial driveway, railroad crossing, fire hydrant, safety zone, pedestrian crosswalk, etc. As an exception, parking may be permissible opposite a minor T-intersections along a low speed highway. Refer to 1202 of the NYS Vehicle & Traffic Law for additional guidance (Note that 1621 of the NYS Vehicle & Traffic Law allows the Department to establish other distances). A. Parallel Parking

On local roads and streets, collector roads and streets, and arterials, parallel parking is a design consideration due to land-use patterns and a lack of off-street parking facilities. Chapter 2 of this manual presents minimum parking lane widths for functional classifications of highways. Parking stalls should 6.6 m to 7.8 m long. Parking lanes normally are not carried across bridges unless the bridge is less than 15 m in length, in which case it may be considered.

5.7.14.1 A

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BASIC DESIGN B. Diagonal (Angled) Parking

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Front-in diagonal parking is to be avoided due to restricted driver visibility while backing out of the parking space into traffic. Where this type of parking exists, it should generally be eliminated by providing parallel parking or back-in diagonal parking in low-speed areas, and off-street facilities in high-speed areas. Back-in diagonal parking allows motorists to back into parking stalls, similar to backing into parallel spaces, while retaining the greater parking density of diagonal spaces. Backing into the space is no more disruptive to traffic than parallel parking. Compared to front-in diagonal parking, back-in diagonal parking places the motorist in a much better position to view motor vehicle and bicycle traffic when pulling out of the parking stall. It also makes it safer to load groceries and other items into the rear of the vehicle. Back-in diagonal parking has been successful in Canada, Washington State, and other areas. In instances where other parking measures are not feasible and no related accident experience exists, front-in diagonal parking may be retained on local streets and collectors where design speeds are 60 km/h or less and traffic volumes are low. Diagonal parking stalls should be 2.5 m to 2.7 m wide and 5.2 m to 5.5 m long. Although wheel stops are desirable to prevent parked vehicles from encroaching into the sidewalk area, they should not be installed since they will interfere with snow removal operations. A snow storage area may be used to prevent parked vehicles from encroaching into the sidewalk area. C. On Street Parking Requirements for Persons with Disabilities Parking requirements for persons with disabilities requires special consideration, and includes some requirements that are mandatory. This section and Standard Sheet M6084R1 contain information on requirements for accessible parking for persons with disabilities in accordance with the "Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities" (ADAAG), the Vehicle and Traffic Law, and the State Building Code. While there are no specific standards specifically related to accessible on-street parking, there is an ADA "program access" requirement to provide accessible on-street parking when other on-street parking is provided. In general, accessible on-street parking should be located near facilities such as post offices, drug stores, medical facilities, Social Security offices, neighborhood markets, convenience stores, etc. Passenger loading zones are places specifically designated for dropping off or picking up passengers and can be ideal locations for accessible on-street parking. Passenger loading zones are commonly found at park and ride lots, schools, rest areas, and other similar locations.

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5.7.14.1 C

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BASIC DESIGN Where on-street accessible parking spaces are provided: The cross slope should not exceed 2.0%. Back-in diagonal spaces are preferred as they allow an area, outside the travel lane, for exiting and entering the vehicle (Refer to Section 5.7.14.1 B of this chapter). A curb ramp should be provided. Accessible parking spaces that are located adjacent to intersections may provide an opportunity to use the sidewalk curb ramps at the intersections as the routes to and from the parking spaces. An additional 1.5 m should be added to the stall length where a parallel type stall is used to allow for a wheel chair to access the sidewalk curb ramp. Where possible, drainage inlets should not be placed within the accessible parking stall. Street appurtenances and utility poles should be relocated, as needed, to allow a vehicles door to be fully opened.

The Regional Landscape Architect can provide additional advice regarding the location and design of accessible on-street parking spaces. 5.7.14.2 Off-Street Parking When on-street parking spaces are eliminated to improve traffic operation and safety, replacement off-street parking should be considered in accordance with Section 10-40 of the Highway Law. The off-street lots should be located as close as possible to the eliminated onstreet spaces to provide adequate access to properties formerly served by the on-street spaces. The number of off-street spaces provided should approximate the numbers of eliminated onstreet spaces unless a parking utilization study indicates otherwise. A. Off-Street Parking for Persons Who Are Not Disabled Stall widths of 2.9 m or 3.0 m should be provided for lots with short-duration, high-turnover parking and for lots serving customers with packages. Stall widths of 2.6 m or 2.7 m should be used for lots with longer duration, lowturnover parking.

B.

Off-Street Accessible Parking

All off-street accessible parking spaces must also comply with the provisions of Section 1101.1(d)(4) of the NYS Uniform Fire Protection and Building Code as required by the NYS Vehicle and Traffic Law. Additionally, off-street accessible parking spaces must conform to the requirements of ADAAG, especially Section 4.1.2(5), which requires:

5.7.14.2 B

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BASIC DESIGN

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When passenger vehicle parking is provided as part of a Department project, the number of accessible parking spaces must be consistent with ADAAG requirements. Access aisles must be at least 2.44 m wide. All parking spaces that have 2.44 m wide, or wider, access aisles should be designated as "van accessible" with a supplemental sign mounted below the required "reserved parking" sign. The minimum vertical clearance in parking lots and on the entry level of parking garages that exceed 90 m2 in area must be 2.9 m. The vertical clearance in parking lots and garages that have areas of 90 m2 or less and on all levels other than the entry level of garages exceeding 90 m2 in area shall be 2.5 m.

The Regional Landscape Architect and Regional Transportation Systems Operations Engineer should be contacted for further information on design of off-street parking lots including stall depths, aisle widths, and other layout dimensions and features such as provisions for persons with disabilities, landscaping, and lighting (see Chapter 12 of this manual).

5.7.15 Access Control Access control is the regulation of public access to and from properties and roads abutting highway facilities to preserve safety and capacity. These regulations are categorized as full control of access, partial control of access, and driveway or intersection approach regulations. Full control of access gives preference to through traffic by providing access connections only with selected public roads utilizing interchanges. Criteria for interstate highways and other freeways are presented in Chapter 2 of this manual. Interchange access control principles are presented in Chapter 6 of this manual. Partial control of access gives preference to through traffic to a degree that, in addition to access connections with selected public roads utilizing interchanges, there may be some atgrade intersections and/or driveway connections. Driveway and intersection approach regulations allow access to and from all abutting properties and streets in a controlled manner. Access control should be included in the design of all highways, especially where the likelihood of commercial development exists. The extent of control should be coordinated with the local land- use plan to ensure that the desired degree of control can be maintained through local zoning ordinances. Access management will enhance highway safety and minimize vehicle delays. Refer to Exhibit 5-18 for a key to highway access issues.

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5-84

BASIC DESIGN

Exhibit 5-18 Highway Access Issues

Access Issues General Access Management Department Requirements, Guidance, and Procedures C C C ROW Acquisition and Management C Best Practices on Arterial Management, 1997. HDM 3.2.8 - Medians. HDM Ch 5, 5.5.6 - Types of ROW and Access. Real Estate Manual/Directives Nonmotor vehicle access (e.g., locked gate access to billboards) and relinquishment of ROW. Highway Work Permit Process1. Law, Regulations, and Policy AASHTOs A Policy on Geometric Design of Highways and Streets, adopted as standards by FHWA for the NHS.

C C

23 CFR 620B Relinquishment of Highway Facilities 23 CFR 713C Disposal of Rights-ofWay.

C C C Accommodation of Utilities C C HDM Ch 13 - Utilities. Highway Work Permit Process1. C C

17 NYCRR Part 131 Accommodation of Utilities within State Highway Rightof-Way. AASHTOs Utility Guide(s). 23 CFR 645 B - Accommodation of Utilities. Accommodation Plan for Longitudinal Use of Freeway Right of Way by Utilities, 1995. Requirements for the Design and Construction of Underground Utility Installations Within the State Highway Right of Way. Section 52 of the NYS Highway Law Permits for work within State highway right of way. AASHTOs A Policy on Design Standards - Interstate System. AASHTOs A Policy on Geometric Design of Highways and Streets, adopted as standards by FHWA for the Interstate and NHS, respectively. Section 52 of the NYS Highway Law Permits for work within State highway right of way. 17 NYCRR Part 125 Entrances to State Highways.

Access Control Limits

C C C C C C C C

HDM Ch 2, 2.6.15 - Access Control. HDM Ch 2, 2.7 - Standards. HDM Ch 5, 5.7.10 - Access Control. HDM Ch 6, 6.04.09 - Control of Access [Limits]. HDM Ch 3, 3.2.9 C - Access Control. 1 Highway Work Permit Process . HDM Ch 5, 5.7.11 - Driveways. HDM Ch 5, Appendix A, NYSDOTs Policy and Standards for Design of Entrances to State Highways (a.k.a. Driveway Design Policy). Highway Work Permit Process1. PDM Appendix 8 - Freeway Access Modification Procedures. 1 Highway Work Permit Process .

C C

C C

Driveways C Freeway Breaks in Access Note: 1. C C

FHWA 2/11/98 Federal Register Notice Interstate System Access Modification Policy, Application and Implementation.

The Highway Work Permit Process is for work not progressed by Department projects or maintenance forces.

5.7.15

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BASIC DESIGN 5.7.16 Driveways

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Where driveways are allowed for access to and from the highway, they are to be designed in conformance with the latest edition of the Department's "Policy and Standards for Design of Entrances to State Highways" included as Appendix A of this chapter. When curb is used for driveway control, it shall be consistent with the guidance and requirements of Chapters 3 and 10 of this manual. To obtain adequate geometrics for driveway entrances, it may be necessary to extend the limit of work beyond the existing highway boundary. Section 5.5.6.6 discusses releases for Reestablishment of Approaches to Private Lands to be used for this work.

5.7.17 Frontage Roads - Service Roads Frontage roads are partially or uncontrolled access highways parallel to controlled access highways. Frontage roads: Provide access to the adjoining property and local traffic circulation. Segregate lower speed local traffic from higher speed through traffic. Help preserve the safety and capacity of the controlled access highway by reducing or eliminating access points to the through highway.

The design criteria of the frontage road should be based upon its functional classification. See Chapter 2, Section 2.7.5.6 of this manual. Frontage roads are generally local roads or streets. In most cases they should be turned over to the local unit of government for maintenance. For further discussion of frontage roads, see Chapter 4 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004.

5.7.18 High-Occupancy Vehicle (HOV) Lanes HOV lanes are travel lanes along freeways and other multilane highways which are designated solely for use by carpools, vanpools, buses, and other vehicles carrying a specified minimum number of people. When operated at a suitable level of service, an HOV lane is more efficient than a conventional-use lane because more people are moved per hour. An HOV lane can be constructed with the capability of being reversed to serve the peak hour direction. HOV lane(s) may provide an alternative solution to existing or projected congestion problems when environmental, fiscal, or policy decisions preclude construction of additional or adequate numbers of conventional lanes. Drivers may be encouraged to use HOV lanes through incentives such as reduced, reliable travel times compared to adjacent conventional use lanes, special access ramps, reduced tolls, special toll booths, and preferred and/or cheaper parking at the job site. More detailed information including design guidelines for HOV facilities can be found in Chapter 24 of this manual. 08/23/06 5.7.18

5-86 5.7.19 Transit 5.7.19.1 Bus Stops

BASIC DESIGN

Bus stops are generally located where there is concentrated commercial, residential, office, or industrial development or at intersections of arterial or major collector streets. Bus stops can be provided at the far side or the near side of an intersection or at midblock. Whenever possible, bus stops should be located at the far side of intersections to facilitate bus and traffic operations. The transit operator should be consulted for all bus stop placements. Pedestrian design treatments such as placing bus stops at signalized intersections, and providing adequate sight distance for pedestrians should be considered when pedestrians will be required to cross the road. The curb adjacent to the bus stop should be painted and signs posted to clearly identify the area as no parking or stopping except for buses. Pedestrian facilities should be provided (e.g., sidewalks and wheelchair access ramps). A marked pedestrian crosswalk should be considered if one is not in the immediate vicinity and there are pedestrian generators (e.g., school, commercial areas, residential areas, a sidewalk, a park) on the other side of the street. See Chapter 18 for a discussion of marked crosswalks. Ideally, bus passenger shelters should be provided at every bus stop. Transit providers should be consulted on shelter design. Design standards must comply with the requirements of the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities (See Chapter 18 for further information). Chapter 24, Section 24.3.5 in this manual provides additional information on bus stops. 5.7.19.2 Bus Turnouts A bus turnout is a bus stop (see Section 5.7.19.1) located in a recessed area adjacent to lanes of moving traffic. A turnout should be considered whenever potential for auto/bus conflicts warrants separation of transit and general-purpose vehicles, but especially where a bus stopping in a travel lane may be unsafe or impede traffic flow. Turnouts must be designed to safely accommodate bus ingress and egress movements and passenger loading and unloading activity. Conflicts with driveways should be avoided for the length of the turnout. The transit operator should be contacted to ensure the turnout will be used by the bus drivers. See Section 5.9.9 of this chapter, Chapter 24, Section 24.3.6 of this manual, and Chapter 4 of AASHTO's A Policy on Geometric Design of Highway and Streets, 2004.

5.7.19.2

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Bus turnarounds are facilities that expedite a bus's return to the service route. Turnarounds can be used at the termini of routes to turn transit vehicles or they can be incorporated into a landuse development design. Turnarounds should be designed to allow a bus to turn in a counter-clockwise direction to improve the driver's visual capabilities. The design should allow adequate space for a bus to pass a standing vehicle. A jug-handle bus turnaround design may be used at midblock bus terminal locations. "Cul de sac" and loop designs are acceptable for developments that do not have internal roadway networks to return a bus efficiently to the arterial roadway. They should be used only at the end of a bus route. The transit operator should be consulted for all turnaround placements and designs. Chapter 24, Section 24.3.7 in this manual provides additional information on bus turnarounds.

5.7.20 Pedestrians The needs of pedestrians, especially disabled pedestrians, are an important part of the roadway environment in rural as well as in urban areas. The needs of the pedestrian are important considerations during scoping and design. Chapter 18 of this manual provides specific design details and standards for pedestrian accommodation. Coordinate with the Bicycle/Pedestrian Coordinator when assessing the need for pedestrian facilities and the Regional Landscape Architect for assistance designing appropriate facilities.

5.7.21 Bicyclists The accommodation of bicyclists is important as more and more cyclists are utilizing the transportation system recreationally, for commuting, and the delivery of goods and services. The benefits derived in relieving congestion, reducing air pollution, lowering energy costs, promoting healthy lifestyles, and contributing to quality communities should not be underestimated. Project developers should coordinate with the Regional Pedestrian/Bicycle Coordinator in assessing the need for bicycle facilities and the Regional Landscape Architect for assistance designing appropriate facilities. A discussion on necessary provisions for bicyclists and specific design standards is included in Chapter 17 of this manual.

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5.7.21

5-88 5.8 DESIGN CONSIDERATIONS

BASIC DESIGN

5.8.1

Driver Expectancy

Drivers expect and anticipate certain geometric and operational characteristics along a roadway. Roadway features that violate driver expectancy have a direct influence on safety. Drivers, particularly those unfamiliar with or inattentive to their surroundings, can be lulled into complacency and may react inappropriately when confronted with unexpected changes. To reduce potential collisions, designers should maintain consistency throughout a highway segment and gradually transition from one segment to another. Gradual transitions notify and prepare the driver for upcoming changes. When gradual transitions are not practical, warning signs, lighting, flashing warning lights, and additional sight distance should be considered. Some typical features to avoid are: Sharp horizontal curves (i.e., those curves requiring a design speed drop of 15 km/h or more following long tangents). Upgrading alignment without corresponding cross section improvements. (This can cause an erroneous and possibly a false illusion of improved safety, which may encourage operating speeds that are excessive for the pavement width and clear zone.) Compound curves - See Section 5.7.3.3A. Broken back curves - See Section 5.7.3.3B.

5.8.2

Geometric Considerations

5.8.2.1 Combination of Horizontal and Vertical Alignment Horizontal and vertical alignments should not be designed independently. They complement each other and their interrelationship can have a significant effect on the operational and safety characteristics of a section of roadway. Proper combinations of horizontal alignment and profile should be determined by engineering study and consideration of the nine (9) general controls listed on pages 281 and 282 of AASHTOs, A Policy on Geometric Design of Highways and Streets, 2004. 5.8.2.2 Right of Way Impacts The effects of land acquisition must be considered in every stage of a project's development. Although it is of primary importance to meet appropriate standards for the selected highway, designers must not be so concerned with traffic data and standards that they neglect entirely the value of local culture and the natural beauty of the land traversed. Much controversy can be avoided by knowing what features are considered important by the people who live in the 5.8.2.2 08/23/06

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project area and by designing to minimize a project's impact on those features without compromising safety. Some principles to keep in mind when designing projects are: In rural areas, shallow fill sections generally require less right of way than cut sections because they reduce the amount of roadside ditching. (Shallow fill sections are also less susceptible to blowing and drifting snow problems than cut sections.) Although right of way impacts cannot always be avoided, many times they can be reduced through creative design efforts, particularly in sensitive areas. The use of centerline shifts, special ditches, lawn pipes, tip-up shoulders, field inlets, and gabions are just a few of the techniques which could be considered when investigating alternative designs. The cost of right of way is an important factor to consider when investigating project alternates. Right of way cost should be balanced against construction and future maintenance costs.

5.8.2.3 Balancing Cuts and Fills When developing a roadway profile, it is generally cost-effective to provide a balance between cut and fill sections. However, the need to minimize impacts to adjacent properties often overrides the benefit of a highway with balanced cuts and fills.

5.8.3

Joint Use of the Highway Corridor

The joint use of transportation corridors is a legitimate and necessary utilization of right of way. The accommodation of pedestrians, bicyclists, and utilities, along with transit, commercial, and private motor vehicles, provides a more comprehensive transportation system resulting in significant cost, mobility, and environmental benefits. The designer must recognize the positive implications of this sharing of the transportation corridor and consider not only the safe, efficient movement of vehicles, but also, the movement of people, the distribution of goods, and the provision of essential services.

5.8.4

Social, Economic, and Environmental Considerations

Throughout the project development process, consideration must be given to mitigation for areas impacted by Department projects. Mitigation is defined by the Council on Environmental Quality as avoiding, minimizing, rectifying, reducing/eliminating, and compensating for impacts. Detailed information is provided in the NYSDOT Project Development Manual and Environmental Procedures Manual.

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5.8.4

5-90 5.8.5 Utilities

BASIC DESIGN

Utility facilities occupy State highway right of way either by law or by permission of the Department. Utility occupation is subordinate and subject to the use of the right of way by the Department for highway or other purposes authorized by law. It is in the public interest for utilities to be accommodated within the highway right of way. Utilities must be considered when scoping and designing a project. Early coordination between the Department and utilities is vital to a successful design. With early and reliable utility as-built information, many costly relocations can often be reduced or eliminated through minor design changes. While it may be necessary for designers to make adjustments for utility accommodations, acceptable safety standards must always be maintained. Some types of utility relocations are eligible for reimbursement by the Department, but the Department does not subsidize utility accommodations. For additional information refer to Part 131 (Accommodation of Utilities Within State Highway Right-of-Way) of Title 17 of the "Official Compilation of Codes, Rules, and Regulations of the State of New York" and Chapters 10 and 13 of this Manual.

5.8.6

Increasing Capacity Without Adding Lanes

As congestion increases and there is less opportunity to provide additional lanes, there are a number of options that can and should be considered when designing a project to relieve congestion. The following subsections briefly describe some of the measures that may be used. Mobility measures are described in more detail in Chapter 24 of this manual. The design effort for these measures should be coordinated with the Regional Planning and Program Manager and the Regional Transportation Systems Operations Group. 5.8.6.1 Intelligent Transportation Systems (ITS) Applying the technologies of advanced communications, information processing, sensing systems, and computer control systems to control vehicles operating on the highway and transportation network is known as ITS. Employing ITS strategies can improve the operation of the existing transportation system by redirecting traffic to avoid congestion, providing assistance to drivers and other travelers on planning and following optimal routes, increasing the reliability of and access to information on public transportation routes and schedules, and refocusing safety efforts on accident avoidance rather than just minimizing the consequences of accidents. It will include such strategies as rapid response to road accidents to restore traffic flow, changeable message signs to inform drivers of current road conditions, better information on ridesharing opportunities, control of traffic movement, route guidance systems, and electronic toll collection, to name a few.

5.8.6.1

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BASIC DESIGN 5.8.6.2 Ramp Metering

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Ramp meters are considered to be a very cost-effective technique for improving traffic flow on freeways, protecting mainline capacities and improving overall operational efficiencies during peak flow periods. A ramp meter is a modified traffic signal which is located on a ramp and which operates at a controlled rate to regulate the flow of traffic from the ramp to the freeway. The rate at which vehicles are released into the freeway lane is based on the freeway traffic volume. When congestion on the freeway is heavy, the release rate is less frequent. During off-peak periods, the signal may revert to pretimed intervals or may be taken out of service until the next period of congestion. Further information can be found in Chapter 24, Section 24.5.1 of this manual. 5.8.6.3 Reversible-Flow Traffic Lanes When the peak travel demand on a multiple lane facility is significantly greater in one direction than in the other and that demand is reversed between the morning and evening periods, reversible-flow operation may be justified. It can be applied to mixed-use traffic on undivided or divided urban arterials and to express buses or other HOVs on arterials or freeways. Reversible-flow lanes are usually located in the center or median lane(s). During off-peak periods the operation on arterials can revert back to the normal traffic pattern. It is generally desirable to separate reversible-flow traffic lanes from the mixed-use traffic by physical barriers. In addition, the lanes to be reversed and the direction of traffic flow can be designated by specific traffic signals suspended over each lane and by permanent signs advising motorists of changes in traffic regulations and the hours they are in effect. Further information on reversibleflow lanes may be found in Chapter 24, Section 24.2.4 of this manual. 5.8.6.4 Shoulders as Travel Lanes on Freeways On a freeway that requires increased capacity due to congestion, converting the existing shoulder to a travel lane may be the most expedient and economical method of adding capacity when compared to the alternative of purchasing additional right of way and adding a new lane. It may be done, for example, when queues develop at freeway-to-freeway interchanges, or when congestion occurs at bottlenecks or merge points, or when peak periods exceed 3 hours in duration. Care should be taken to ensure that the resultant loss of the shoulder(s) does not produce more congestion-related problems and accidents than it eliminates. Driving on the shoulders of state-controlled access highways is prohibited and must be authorized by the Department. Further discussion of the use of freeway shoulders as peak-hour travel lanes is found in Chapter 24, Section 24.5.4 of this manual.

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5.8.6.4

5-92

BASIC DESIGN

5.8.6.5 Priority Treatment for HOVs on Arterials Providing priority treatments for buses at traffic signals on arterial streets has the potential for reducing delays, in effect, increasing capacity. For example, turn restrictions are often used to increase capacity where limited space prevents the addition of a lane or lanes. The turn restrictions may disrupt bus routes and schedules by forcing them to travel greater distances. By exempting buses from the turning restrictions, distances and travel time can be reduced, reducing delays to the greater number of bus passengers. Passive systems for granting priority to HOVs involve signal timing adjustments to favor the direction of flow with the greater number of HOVs, or providing special HOV phases on facilities with reserved lanes or streets. Active systems include special equipment for buses which allow preemption of normal traffic signal cycles. Further information on priority treatment systems can be found in Chapter 24, Section 24.5.8 of this manual. 5.8.6.6 Upgrading the Signal System from Pretimed to Actuated Control Actuated signal systems adjust the signal timing based on vehicle detection systems. Vehicle detection systems are described in Chapter 11, Section 11.3.2 of this manual.

5.8.6.7 Coordinated Signal System Coordinated signal systems are two or more synchronized signals that allow vehicles to travel through each signal without stopping. Coordinated signal systems are described in Chapter 11, Section 11.3.3.5F of this manual.

5.8.6.8 Elimination of On-Street Parking Elimination of on street parking can reduce the delay caused by traffic slowing while vehicles enter and exit the parking lane. The parking lane can help provide space for turn lanes and/or a median to prevent mid-block left turns. Refer to Section 5.7.14.2 for a discussion of off-street parking areas. 5.8.6.9 Eliminating Mid-Block Left Turns The installation of raised medians can improve capacity and safety on uncontrolled access facilities by eliminating mid-block left turn maneuvers. Roundabouts, U-turns, jug handles, or indirect lefts can help provide access for those who would otherwise make a left turn. Refer to Section 5.9.1 for a discussion of these intersection configurations.

5.8.6.9

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BASIC DESIGN 5.8.6.10 Converting a 2 or 4 Lane Section with Shoulders to a 3 or 5 Lane Section

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Where ROW is severely constrained, a two-way left-turn lane (TWLTL) may provide more overall benefit to safety and capacity than wide shoulders depending on the travel speeds, traffic volume, turning volumes, frequency of commercial driveways, and accident history. Refer to Section 5.9.8.2 C for a discussion of TWLTL.

5.8.7

Traffic Calming

Traffic calming recognizes the significance of sharing the transportation corridor by employing techniques to reduce vehicle speeds and decrease car dominance, generally in residential neighborhood areas and central business districts. The purpose of traffic calming is to control vehicle traffic to provide an area compatible with other street activities and land usage. Examples of traffic calming measures include slow points, street closures, and narrow and short streets. Further information on traffic calming can be found in Chapter 25 of this manual.

5.8.8

Aesthetics

The visual quality of travel corridors should be considered along with the safe, efficient movement of people and goods. The lands adjacent to highways are the most visible to the traveling public, often defining the image and character of the locale and region. The creation or preservation of an attractive landscape can contribute to safety, environmental, and economic benefits. The careful blending of the highway with the natural and cultural landscape, the careful grading of cut and fill slopes, and the selective preservation of vegetation, supplemented with new plantings where appropriate, help to: C C C C C Define the highway for the motorist. Reduce the potential for erosion. Reduce the need for precautionary signing and guide rail. Reduce construction costs. Integrate the project into the surrounding area.

To minimize the visual impact from adjacent sensitive viewing locations, particularly along highvolume roadways, the feasibility of screening the highway should be investigated during design. Project developers should coordinate with the Regional Landscape Architect in assessing the project needs and in designing appropriate measures.

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5.8.8

5-94 5.9 INTERSECTIONS AT GRADE

BASIC DESIGN

Highway crossings may be grade separated or at-grade (signalized and unsignalized). Gradeseparated crossings do not provide access between the crossing highways unless an interchange is constructed. Interchanges consist of special purpose roadways (ramps) which provide either partial or complete access between the highways. The decision whether to provide an at-grade or a grade-separated highway crossing is a trade-off between providing optimal service to through traffic on one or both highways and providing access to surrounding land uses and should be based on the highway functional classification and operational and safety considerations. The type of crossing selected should meet capacity, safety, and mobility needs and be consistent with Regional land use plans. Chapter 10 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, provides guidance on the selection of a type of crossing. Intersections influence and, in some cases, are a prime determinant of operating conditions on each intersecting highway and consequently merit special consideration in design. In urban or suburban areas, accidents and capacity constraints are often concentrated at intersections. Intersections should provide access between highway approaches at a level of service consistent with driver expectations for the highway, incorporate cost effective mitigation of accident patterns on existing facilities and address safety issues on new facilities. Design of intersections should be consistent with the design considerations and recommendations contained in Chapter 18 of this manual and Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004.

5.9.1

Types of Intersections

The basic at grade intersection types are the circular, angular, and nontraditional intersections. Circular intersections include the traffic circle, rotary, and roundabout. Angular intersections include three-leg, such as T- or Y- intersections, four-leg, and the multileg. Nontraditional intersections include the Super-Street Median Crossover and Continuous Flow Intersection. Operational considerations for selecting an intersection layout include design-hour volumes and predominant movements, types and mix of vehicles, pedestrians, bicyclists, approach speeds, number of approaches, and safety needs. Local conditions and right of way costs often influence the intersection that is feasible and the associated design elements. The alignment and grade of intersecting highways combined with accident patterns may require channelizing the intersection regardless of the traffic volumes (Refer to Section 5.9.4 of this Chapter).

5.9.1

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BASIC DESIGN General objectives for intersection design are: To provide adequate sight distances. To minimize points of conflict. To simplify conflict areas. To limit conflict frequency. To minimize severity of conflicts. To minimize delay. To provide acceptable capacity for the design year.

5-95

Roundabouts are frequently able to address the above objectives better than other intersection types in both urban and rural environments and on high- and low-speed highways. Thus, when a project includes reconstructing or constructing new intersections, a roundabout alternative is to be analyzed to determine if it is a feasible solution based on site constraints, including ROW, environmental factors, and other design constraints. Exceptions to this requirement are where the intersection: Has no current or anticipated safety, capacity, or other operational problems. Is within a well working coordinated signal system in a low-speed (<80 km/h) urban environment with acceptable accident histories. Is where signals will be installed solely for emergency vehicle preemption. Has steep terrain that makes providing an area, graded at 5% or less for the circulating roadways, infeasible. Has been deemed unsuitable for a roundabout by the Roundabout Design Unit.

When the analysis shows that a roundabout is a feasible alternative, it should be considered the Departments preferred alternative due to the proven substantial safety benefits and other operational benefits. Note: A feasible alternative is a reasonable solution that meets the objectives in a costeffective and environmentally sound manner. The preferred alternative is the feasible alternative that the Department is leaning toward recommending for design approval. The preferred alternative can change if a new feasible alternative is identified and as the feasible alternatives are evaluated during preliminary design.

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5.9.1

5-96 5.9.1.1 Circular Intersections

BASIC DESIGN

Traffic circles and rotaries, popular during the first half of the 20th century, typically have serious operational and safety problems, which include the tendency to lock-up at higher volumes. These intersection types are not to be constructed and should be evaluated for reconstruction when included in a multicourse resurfacing (i.e., 2R/3R project) or reconstruction project. Roundabouts offer unique solutions to traffic operations and safety problems at intersections. Generally, for the same traffic volume, delays are less at roundabouts as compared to other controlled intersections (typical delay reductions are 30-70%). Roundabouts will accommodate large volumes of left turn movements with less delay than signalized intersections. If left turns are minimal, or most of the traffic is making similar moves (i.e., there is a significantly dominant direction of traffic), then a conventional controlled intersection may offer less vehicular delay. With regard to safety, roundabouts reduce vehicle speeds and result in significantly fewer accidents. A study by the Insurance Institute for Highway Safety found that construction of roundabouts resulted in a 39% overall reduction in accidents; a 76% reduction in injury accidents and an 89% reduction in fatal or incapacitating accidents. No other intersection type has been found to provide that magnitude of safety improvement. See Exhibit 5-19 for examples of a one-lane roundabout, a two-lane roundabout, and a roundabout corridor. Designers should refer to the roundabout pages on the Departments Internet and IntraDOT sites for the latest requirements, guidance, and public involvement materials for roundabouts. Additionally, designers should contact their Regional expert or the Roundabout Unit in the Design Services Bureau for guidance and assistance throughout the development of the roundabout design. The initial layout, preliminary plans, and advance detail plans for the roundabout should be reviewed by designers with considerable roundabout design experience. For multi-lane roundabouts, roundabouts with more than 4 legs, and roundabouts with unusual geometry, the Roundabout Unit should be included in the review by e-mailing the ProjectWise location to roundabouts@dot.state.ny.us.

5.9.1.1

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BASIC DESIGN 5.9.1.2 Angular Intersections

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A.

3 Legged (T Intersections)

T-intersections are one of the most commonly used intersection types. Refer to sections 5.9.2 through 5.9.8 of this chapter for guidance and requirements applicable to these intersections. B. Closely Spaced T Intersections

Closely spaced opposing T intersections are offset ("dog leg") intersections, where either the main street or side street approach legs are not aligned with each other. Offset intersections can result in operational problems, depending on the offset distance, traffic control, and the amount of traffic going from one offset leg to the other. Consult with the Regional Transportation Systems Operations Engineer to determine the appropriateness of aligning offset intersection legs. At offset intersections and divided highway crossings, where the distance between the nearest edges of the two intersecting roadways is 9.14 m or more, two separate intersections exist and must be independently controlled with appropriate intersection control. The Vehicle and Traffic Law definition of roadway is "That portion of a highway improved, designed, marked, or ordinarily used for vehicular travel, exclusive of the shoulder or slope." See Exhibit 5-20. Note: Title I, Article 1, Section 120(b) of the NYS Vehicle and Traffic Law states when two roadways intersect a highway 30 ft or more apart, each crossing shall be regarded as a separate intersection. Use 9.14 m in place of 30 ft. Offset intersection approaches or roadways within 9.14 m of each other may be considered one intersection for the purpose of traffic control. Consult with the Regional Transportation Systems Operations Engineer to determine appropriate traffic control at offset intersections. Coordination of geometric design and traffic control is especially critical at these intersections.

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5.9.1.2 B

5-98 C. 3 Legged (Y-Intersections)

BASIC DESIGN

Y-intersections experience widespread operational and safety problems and should be avoided. If an accident problem is identified, existing Y-intersections should be realigned to T-intersections, replaced by a roundabout, or their retention discussed in the Design Approval Document. The rationale for retention should be based on the lack of a related accident pattern, excessive grade, or unreasonable reconstruction costs and/or impacts. When the angle is 60E or more from a right angle, additional signing may be needed to clearly mark the through route, particularly for 3-legged intersections. Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, and NCHRP 279 Intersection Channelization Design Guide provide more detailed information on Y type intersections. D. Four-Leg Four-leg intersections are one of the most common intersection types. There are numerous variations involving channelization, traffic control, skew, and number of through and turning lanes. Refer to sections 5.9.2 through 5.9.8 of this chapter for guidance and requirements applicable to these intersections. E. Multileg Multileg intersections are those with 5 or more intersection legs and should be avoided whenever practical. Refer to sections 5.9.2 through 5.9.8 of this chapter for guidance and requirements applicable to these intersections.

5.9.1.1 E

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BASIC DESIGN 5.9.1.3 Nontraditional Intersections

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Nontraditional intersections require special consideration and treatment, they should be developed in consultation with the Regional Transportation Systems Operations Engineer. Additional information, including the layout, applicability, design features, safety performance, and operational performance of the following intersections discussed below are covered in FHWAs Signalized Intersections: Informational Guide.

A. Jughandle (Indirect Left Turns) Where operational or safety concerns preclude left turns from the median lane, indirect left turns or jughandles can, if adequate advance signing is provided, provide safe and efficient left-turn access by diverting left turns to separate turning roadways which cross the mainline or intersect the cross street at a different location. See Exhibit 5-21. B. Quadrant Roadway Intersection A quadrant roadway intersection includes an extra roadway between two legs of the intersection. The roadway is bidirectional, forces left turning traffic to travel a greater distance, and creates two T intersections that can operate with a three phased signal. The design removes all left turns from the major intersection, which can be signalized with a 2 phase signal, greatly increasing the green time for the through movements. A key element of this design is to locate the quadrant roadway a sufficient distance back from the major intersection to eliminate the potential of queue spillback.

C. Others Several other nontraditional intersection types have been developed. They include: Median U-Turn Crossover Continuous Flow Intersection Super-Street Median Crossover

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5.9.1.3 C

5-100

BASIC DESIGN

Exhibit 5-19 Roundabout Intersections

A: Example Single Lane Roundabout

C: Example of Roundabout Corridor

B: Example Multi-lane Roundabout

5.9.1.3 C

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BASIC DESIGN Exhibit 5-20 Divided Highway Crossings and Offset Intersections
Divided Highway Crossing
Shoulder

5-101

Median

If D > 9.14 m, treat as two separate intersections. If D < 9.14m, may be treated as one intersection.

Offset Intersection

Shoulder

Edge of Traveled Way D If D > 9.14 m, treat as two separate intersections. If D < 9.14m, may be treated as one intersection.

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5.9.1.3 C

5-102

BASIC DESIGN

Exhibit 5-21 Jug Handles and Indirect Left Turns

T-Intersection with Jughandle

Indirect Left Turns

C D A C D B A D B A

C D B C B A

Advanced turn when movement from A to B and from B to C is restricted.

Delayed turn when movement from D to A is restricted.

C A

D B C

D B A

Delayed turn when movement from C to D is restricted.

5.9.1.3 C

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BASIC DESIGN

5-103

5.9.2

Intersection Capacity and Level-of-Service Analysis

5.9.2.1 Motorized Traffic The Highway Capacity Manual (HCM) quantifies the quality of traffic flow in terms of levels of service (LOS). As indicated in Section 5.2, there are six levels of service with LOS A representing very low levels of delays and F representing high levels of delays associated with congestion. Level of service should be a consideration for every project except preventive maintenance projects. The intersection design elements and traffic control techniques selected should meet the level of service objective. Levels of service and capacity for signalized intersections are calculated for each lane group (a lane group may be one or more movements), each intersection approach, and the intersection as a whole. The intersection level of service is merely a weighted average of the individual approaches and may not be considered a valid measure of the quality or acceptability of an intersection design since it can conceal poor operating conditions on individual approaches. It is a common error to consider an average intersection LOS C as acceptable while one or more lane groups are at LOS F. Correct intersection design practice strives to provide design-year LOS D or better on each lane group in urban areas and LOS C in rural areas. In some cases, it may be necessary to accept LOS E or F on individual lane groups due to unreasonable costs or impacts associated with improving the level of service. In such cases, acceptance of LOS E or F should be agreed to in the scoping/design process and explained in the Design Approval Document. Note that seconds of delay should be used in design approval documents as it may be easier for the public and decision makers to understand. Level of service for signalized and unsignalized intersections is based on control delay, as shown in Exhibit 5-22. Control delay is defined as the average vehicle delay in seconds caused by the traffic control device compared to the uncontrolled condition. This includes the delay due to deceleration from the free-flow speed to the back of queue (if any), queue move-up (as needed), stopping/yielding, and accelerating to the free-flow speed. Exhibit 5-22 Control Delay and Level of Service (LOS)
LOS A B C D E F Unsignalized Control Delay (s) # 10 > 10 - 15 > 15 - 25 > 25 - 35 > 35 - 50 > 50 Signalized Control Delay (s) # 10 > 10 - 20 > 20 - 35 > 35 - 55 > 55 - 80 > 80

(Ref. pages 16-2 and 17-2 of the Highway Capacity Manual, 2000.)

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5.9.2.1

5-104

BASIC DESIGN

Levels of service at unsignalized intersections are only calculated for minor movements since the through movement on the major street is not affected by intersection traffic control. The level of service for signalized intersections and unsignalized intersections can be compared. When a traffic signal is installed, the introduction of delay to the main street usually increases overall intersection delay. Refer to Section 5.2.2.3 of this chapter for a discussion of the traffic analysis software to be used for signalized, roundabout, and other unsignalized intersection capacity analysis. Refer to the roundabout pages on the Departments Internet and IntraDOT sites for requirements and guidance when performing roundabout capacity analysis. Refer to the procedures in the HCM for requirements and guidance when performing capacity analysis for other types of intersections (i.e., the HCM procedure is not to be used for roundabouts). Capacity analysis must be reviewed by someone with expertise in capacity analysis and signal operations to ensure proper modeling of the intersection configuration and the signal operation. Intersection turning counts for AM, PM, and other peak periods, peak-hour factors (PHF), and the percentage of heavy vehicles are foremost among the data required for the capacity analysis. The PHF, as defined in the HCM, is critical to the analysis, and site-specific data, rather than default values, should be used. Data on the number of pedestrians, location and frequency of bus stops and parking are required for signalized intersection analysis. Section 5.2 of this chapter elaborates on required traffic volume data. Refer to Chapter 11 of this manual for the detailed design of traffic control devices (i.e., signs, signals, pavement markings, etc.). 5.9.2.2 Pedestrian Level of Service For high density main streets and central business/walking districts with very high peak pedestrian traffic volumes, it may be necessary to determine sidewalk, crosswalk, and transitrelated stairwell, ramp, and corridor pedestrian LOS. One example of the quantitative guidelines available to determine pedestrian LOS is shown below in Exhibit 5-23: Exhibit 5-23 Level of Service Criteria for Pedestrians at Signalized Intersections
LOS A B C D E F Pedestrian Delay (s/p) Likelihood of Noncompliance <10 Low >10-20 >20-30 Medium >30-40 >40-60 High >60 Very High (Ref: Exhibit 18-9 on page 18-8 of the Highway Capacity Manual, 2000.)

5.9.2.2

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BASIC DESIGN

5-105

This exhibit provides LOS criteria for pedestrians at signalized intersections, based on pedestrian delay. When pedestrians (p) experience more than 30 seconds (s) of delay, they become impatient, and may take greater risks and cross at inappropriate times. This exhibit includes a guide for the likelihood of pedestrian noncompliance (i.e., disregard for signal indications). The values reflect low to moderate conflicting vehicle volumes. At intersections with high conflicting vehicle volumes, pedestrians have little choice but to wait for the walk signal, and observed noncompliance is less (refer to the Highway Capacity Manual for more guidance). 5.9.2.3 Balancing Level of Service Where it is not feasible to simultaneously improve LOS for all traffic modes through design and operational modifications, tradeoffs are necessary. The Highway Capacity Manual should be referenced to establish an optimum LOS for each mode that appropriately balances the competing needs of motorists and pedestrians.

5.9.3

Intersection Geometrics

When establishing the intersection geometry, designers should recognize the following driver expectations so as to make the navigation and decision making process simpler for the driver: The number of through-lanes approaching and leaving an intersection will be the same The most important route will be the most direct. Left turns from an arterial street will be made from the left-hand-lane, while right turns are made from the right lane and What appears to be a through-lane will not be dropped at an exclusive turning lane.

The following discussion applies to traditional intersection designs. Refer to Chapter 18 for bicycle and pedestrian considerations and refer to the roundabout pages on the Departments Internet and IntraDOT sites for requirements and guidance on roundabouts. 5.9.3.1 Intersection Approaches Avoid using short radius curves or unnatural travel paths near the intersection (i.e., a hooked intersection), only for the sake of reducing intersection skew. Turning vehicles often follow smoother, more natural travel paths rather than conforming to abrupt alignment changes. Abrupt approach alignment can lead to encroachments into opposing lanes, unwanted detector actuation, prematurely worn pavement markings, accidents, and poor visibility. If poor approach visibility cannot be avoided, provide SIGNAL AHEAD (W2-17) or STOP AHEAD (W2-15) signs on the appropriate approach(es).

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5.9.3.1

5-106

BASIC DESIGN

The intersection approach curves, where traffic is not always required to stop, must be consistent with the design speed established for each approaching roadway in accordance with the requirements of Chapter 2 of this manual. Certain intersection types with sharp radius curves or stop conditions require motorists to reduce their speed below the anticipated operating speed. Strict application of the design speed (measured along the open highway) for the intersection approaches may not be needed or appropriate. Therefore, intersection approach curves may be designed with a design speed of 20 km/h below the design speed of the approach highway where all of the following are met: The design speed of the approach highway was established in accordance with Section 5.2.4 of this manual. The curve will be within 300 m of an intersection. The curve is on a leg of a roundabout or the minor leg of a T intersection (that is stop controlled or yield/signal controlled with an acute angle of 60 degrees or more). The intersection does not violate driver expectancy and adequate sight distance and/or advance warning devices will be used. The curvature will not obscure the back of queue during the design hour (i.e., the horizontal sight distance and stopping sight distance are adequate).

Note: Studies have shown that limiting the change in the design speed to 20 km/h can reduce the crash rate. Additionally, a study specific to roundabouts showed that successive reverse curves prior to a roundabout can also reduce crash rates. Speed reductions of more than 20 km/h along the approach to an intersection require a nonstandard feature justification since a vehicles ability to decelerate is diminished when negotiating sharp radius curves. Two and four way stop controlled intersections may use a reduced speed only if justified as a nonstandard feature since these intersection types often lend themselves to future signalization and much higher operating speeds. 5.9.3.2 Highway Alignment Through an Intersection Abrupt alignment changes within the intersection can lead to encroachments into opposing lanes, unwanted detector actuation, prematurely worn pavement markings, accidents, and poor visibility. The vertical alignment should not place low points within the intersection. Horizontal alignment shifts are permitted, but not desirable, for traffic entering the intersection from an approach with design speeds of 60 km/h or less. When approach traffic may enter the intersection at speeds over 60 km/h, a smooth alignment using tangents or horizontal curves, based on the design speed of the approach, is needed. This accommodates off-peak periods when traffic may move through signalized intersections at the approach design speed.

5.9.3.2

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BASIC DESIGN 5.9.3.3 Intersection Angle

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A right-angle intersection provides the shortest crossing distance and minimizes the duration of exposure to conflicting vehicles. A right-angle intersection also provides the optimal sight line for drivers to judge the relative position and speed of other vehicles (including bicycles) in or approaching the intersection and to view pedestrians approaching or in the crosswalks. However, intersection angles skewed no more than 30E from a right angle typically do not significantly increase crossing distances or decrease visibility and can be a safe, adequate design. When intersection angles are skewed more than 30E from a right angle, consideration should be given to realigning one or more approaches especially if operational or safety problems can be attributed to the skew. Methods for realigning the approaches are detailed in Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Also see Section 5.9.3.1. 5.9.3.4 Pavement Width Table 2-7 in Chapter 2 of this manual and Chapter 3 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, guide the selection of pavement widths for turning roadways at channelized intersections. The pavement width is dependent upon the size of the design vehicle, the curvature of the roadway, and the number of lanes. At unchannelized intersections where there is minimal space available, the turning path of the design vehicle governs. 5.9.3.5 Superelevation of At-Grade Intersection Turning Roadways Sharp curvature and short lengths of intersection turning roadways often preclude the development of full superelevation at a desirable rate. The use of compound curves and/or spirals with gradually changing curvature can assist in developing a desirable superelevation rate. Chapter 2 of this manual lists superelevation rates for intersection curves in relation to design speeds. Superelevation runoff and rollover should also conform to Section 5.7.3 of this chapter. 5.9.3.6 Intersection Cross Slopes The cross slope at intersecting roadways affects drainage flow patterns, adjacent sidewalks, travel speeds, and safety. Cross sections and contour plans are often needed, especially at major intersections, to ensure a smooth transition to and from the intersection pavement and to ensure they are constructed to drain properly.

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5.9.3.6

5-108 A.

BASIC DESIGN Traveled-Way Cross Slopes at Intersections

When both facilities are at normal cross slopes, the approach traveled-way cross slope should be treated as follows (Refer to Exhibit 5-24). Note, the cross slope should be designed for design year conditions. For example, the cross slopes of existing stop controlled intersections that will likely become signalized before the design year should be designed as signalized intersections. If the off-peak 85th percentile vehicle from the minor approach(es) will stop or travel less than 70 km/h through the intersection, normal cross slope should generally be retained on the major highway. The edge of traveled way along the minor approach(es) should be adjusted, using the maximum relative gradient from Section 5.7.3.3 of this chapter, to achieve a cross section that matches the edge of traveled way along the major highway. Vertical curves are to be used to adjust the vertical alignment. If the off-peak 85th percentile vehicle from the minor approach(es) will travel 70 km/h or more through the intersection, the intersection is to be flattened. A minimum grade of 0.5% should be used to prevent storm water from ponding within the intersection. The edge of traveled way along each approach should be adjusted using the maximum relative gradient from Section 5.8.3.1 of this chapter to achieve an approach cross section that matches the edge of traveled way along the intersecting highway. Vertical curves are to be used to adjust the vertical alignment.

When superelevation is needed through the intersection, an additional 2.0% of superelevation, up to a maximum of 8.0%, may be used to achieve a compatible intersection design. The approach cross slopes for the traveled way should be treated as follows (Refer to Exhibit 5-24): If a highway requires superelevation through the intersection, it is to be provided by adjusting vertical alignments and the cross section of the intersecting highway. The edge of traveled way should be adjusted using the maximum relative gradient from Section 5.7.3.3 of this chapter to match the edge of traveled way along the superelevated highway. Vertical curves are to be used to adjust the vertical alignment. If two intersecting roadways require superelevation, one of the curves should be relocated. In extreme cases, a broken back curve may be needed.

B.

Shoulder Cross Slopes at Intersections

Shoulder cross slope rates may be increased or flattened to minimize impacts to adjacent sidewalk and drainage facilities. The maximum rollover rate between the traveled way and shoulder is 8.0%. Desirably, the edge of the shoulder should adjusted using the maximum relative gradient from Section 5.7.3.3 of this chapter. However, more rapid rates of change may be used to meet site specific constraints. 5.9.3.6 B 08/23/06

BASIC DESIGN Exhibit 5-24 Cross Slopes for Intersecting Highways

5-109

Intersection with vehicles from the minor road operating at less than 70 km/h through the intersection.

Transition Lengths Based on Max Relative Gradient

Minimum Grade for Drainage = 0.5%

Intersection with vehicles from the minor road operating at 70 km/h or more through the intersection.

Intersection With One Highway Superelevated Transition Lengths Based on Max Relative Gradient Cross Slope = e Highway Planes Equal

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5.9.3.6 B

5-110 5.9.3.7 Intersection Turning Radii

BASIC DESIGN

Intersection radii should accommodate the design vehicle turning path. Refer to Section 5.7.1 for a discussion of the appropriate design vehicle. The minimum designs for the inner edge of pavement for turning paths should conform to Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Any combination of radii, offsets, and tapers which will approximate the results of the AASHTO designs may be used. The design should consider both the need to keep the intersection area to a minimum and the types of vehicles turning. If curbs are used, flatter curves provide more room to maneuver. Depending on the intersection angle and design vehicle, asymmetric three centered compound curves will generally reduce the area of the intersection over simple curves with or without tapers. Refer to Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, for layouts of threecentered compound curves. The effect of curb radii on design vehicle turning paths and crosswalk length is shown in Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. For larger vehicles turning through more than 90E, three-centered curves or offset-simple curves with tapers or spirals are the preferred design since they fit vehicle paths better and require less pavement area than simple curves do. Radii design on urban and suburban streets must consider the needs of all users including pedestrians, buses, and trucks. An increase in curb radii may result in an increase in the space needed to accommodate pedestrian facilities for persons with disabilities, an increase in crosswalk distances, and an increase in required right of way or corner setbacks. It may be necessary to provide an island for refuge or offset the crosswalk to reduce crossing distance.

5.9.4

Principles of Channelization

Intersections which are skewed and have enlarged corner radii tend to have enlarged paved areas which can result in uncontrolled movements, long pedestrian crossings and unused pavement. Channelization in the form of properly placed flush or raised islands can control traffic movements by reducing the pavement area available. Examples of channelized skew intersections are shown in Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004 and NCHRP 279 Intersection Channelization Design Guide. Properly designed channelization increases operational efficiency and safety by separating or eliminating conflict points and delineating travel paths for turning movements. People-moving capacity can be enhanced by channelizing exclusive paths for high occupancy vehicles and transit. The following principles should be applied to intersection channelization: Areas of Conflict - Points of conflict should be separated whenever possible and desirable vehicle paths should be clearly defined. Refuge Islands - Provide safe refuge for pedestrians and other nonmotor vehicle users. 08/23/06

5.9.4

BASIC DESIGN

5-111

Prohibited Movements - Undesirable or wrong way movements should be physically discouraged or prohibited. Preference to Major Movements or Designated Vehicles - High priority traffic movements should be facilitated. Effective Traffic Control - Desired traffic control schemes should be facilitated and desirable or safe vehicle speeds should be encouraged. Turning Roadway Alignment and Terminals - Traffic streams should cross at right angles and merge at flat angles and decelerating, stopped or slow vehicles should be removed from the through traffic stream. Size of Islands. Curbing of Islands. Island Offsets. Surface Treatment for Raised Islands.

5.9.4.1 Areas of Conflict Wide paved intersection areas are generally undesirable. The problems inherent in conflicting movements become magnified due to insufficient guidance and the inability of drivers to anticipate movements of other vehicles within these areas. Desirable vehicle paths should be clearly defined. Channelization reduces areas of conflict by using pavement markings or islands to separate and/or regulate traffic movements into defined travel paths. Large intersection conflict areas are typical of skewed intersection approach legs. Channelization can reduce conflict area by reducing the angle at which specific flows intersect. Indirect left-turn roadways and jughandles (see Exhibit 5-21) can enhance safety and capacity by separating left-turn conflicts from the rest of the intersection. Refer to Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, for more guidance and example configurations. Where large design vehicles must be accommodated by a wide pavement area, it is common practice to stripe the pavement area for the turning path of a car and allow the larger vehicle to drive over the striping. This practice helps discourage erratic maneuvers by cars or any tendency for cars to form more than one travel lane. 5.9.4.2 Prohibited Movements Specific movements which are, depending on traffic volume, speed, and other conditions, undesirable from a safety or operational perspective should be prevented or discouraged by channelization. Examples of such movements may include, but are not limited to, left turns out of driveways or side streets, and wrong-way turns. Raised islands or judicious design of curb radii are particularly effective in discouraging prohibited movements.

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5.9.4.2

5-112

BASIC DESIGN

5.9.4.3 Preference to Major Movements or Designated Vehicles Directing free flowing alignment to favor major movements should be considered. Major rightturn movements are often given such priority by channelizing them away from the intersection proper and providing separate traffic control as shown in Exhibit 5-25 and discussed in Section 5.9.4.6. The channelized path should conform to natural paths of the movement, should be introduced gradually to eliminate any surprise or abrupt movements, and should provide adequate turning width and radii for the design vehicle. Exclusive through lanes, turning lanes, and turning roadways (i.e., by-passes) can be channelized, as a component of a comprehensive plan, to give priority to designated vehicles such as buses, high-occupancy vehicles, taxis, carpool vehicles, and bicycles. Turning roadway elements (e.g., width, radii, and superelevation) are to be designed in accordance with Chapter 2, Section 2.7.5 of this manual and Section 5.9.4.6 of this chapter. 5.9.4.4 Refuge Islands Traffic islands can enhance pedestrian safety by providing a refuge area. Refuge areas can permit two-stage crossings which can improve traffic signal efficiency by allowing the time allocated for pedestrian movements to be reduced. All islands in pedestrian paths, whether curbed or uncurbed, must be accessible to persons with disabilities in accordance with the requirements of the Americans with Disabilities Act Accessibility Guidelines (refer to Chapter 18 of this manual). Curbed islands should be delineated to enhance nighttime visibility. Approach end treatment (e.g. offset, flare, height transition, ramping) should conform to Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Where design speeds are 60 km/h or less, vertical-faced curbs may be used for islands designed for pedestrian refuge. Where design speeds are above 60 km/h, but less than 80 km/h, low-deflection barrier systems, either with or without curbing, should be considered for protecting pedestrian refuge islands. Any such barrier should be placed as close as practical to the face of any type of curb, and in no case farther than 0.3 m behind it. The decision to use a curbed island should consider the potential hazard that curbing may pose to errant vehicles. The designer should weigh the anticipated number and frequency of pedestrian use of the island against the vehicular volume. If pedestrian use of the island is anticipated to be infrequent, consideration of the motorist safety would favor not using barriers. If no barrier is to be used, the preferred curbing alternatives would be 150 mm mountable at the low end and middle of this speed range and 100 mm mountable curb for speeds approaching 80 km/h.

5.9.4.4

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BASIC DESIGN

5-113

When design speeds are 80 km/h or greater (high-speed traffic), the designer must again weigh the frequency of need for pedestrian use against the number of motorists and the degree of potential hazard that a barrier system would present to them. If pedestrian concerns govern, a low-deflection barrier system, preferably with impact attenuating end treatments (see Chapter 10 of this manual), should be used. If it is judged that motorist concerns govern, preference should be given to either using a flush-delineated or raised or depressed island, without a curb or barrier. If, after consideration of all factors, it is determined that a curbed island without barriers is needed, 100 mm 1:3 traversable curbs are to be used. As in all cases above, shoulders or curb offsets from the traveled way should be provided to satisfy the requirements given in Chapter 2 of this manual and Section 5.9.4.8 of this chapter. Refer to Chapter 3, Section 3.2.9 of this manual for a discussion of various curb types and there uses. When barriers and curbing will be used, refer to Chapter 10, Section 10.2.2.4 of this manual for special considerations and requirements. 5.9.4.5 Effective Traffic Control Proper channelization enhances the effectiveness of actuated traffic signal control at intersections with complex or high volume turning movements by isolating traffic flows which move through the intersection during separate signal phases. Exclusive turning lanes permit efficient use of protected signal phasing. Exclusive right-turning roadways can, under certain traffic conditions, expedite a heavy rightturn movement by forming a separate yield-controlled intersection with the cross street 9.14 m or more downstream (measured along the travel way edge of the cross street) of the near edge of the intersection of the through lanes. See Exhibit 5-24. The 9.14 m (or greater) separation is measured between the edges of the adjacent roadways as defined by one of the following. Pavement marking defining the edges of the travel lanes. In lieu of markings, whatever serves as the edges of the travel lanes. The measurement is not dependent upon the type of material existing within the channelizing island area. The island could be flush or raised, paved or unpaved, traversable or nontraversable.

If the separation between the adjacent roadways is less than 9.14 m, the intersection approach and right-turning roadway must be controlled as one intersection, which may negate the benefits of the turning roadway. Consult with the Regional Transportation Systems Operations Engineer to determine the appropriate traffic control.

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5-114

BASIC DESIGN

The Regional Transportation Systems Operations Engineer should also determine if the cross street through movement is light enough to provide sufficient gaps for right-turning traffic during the cross street through movement phase. A heavy, conflicting cross street through movement (volume-to-capacity ratio in excess of 0.85) is not likely to provide additional gaps for right turns other than those provided by the signal. The limited availability of gaps may also result in an unacceptable number of rear end accidents on the turning roadway. Right-turn efficiency and safety can be improved by adding either a through lane or an acceleration lane on the receiving roadway to eliminate the merge or increase the efficiency of merging traffic. To avoid degrading traffic operations and safety, the acceleration lane should be built to standard length per Chapter 10 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Channelization may require the installation of additional traffic control devices such as yield signs and turn or directional assemblies. At more complex locations, wrong-way signing may be needed but should not be substituted for a design that discourages or prevents wrong-way movements. Provide adequate advance signing for indirect left turns and jug handles. Advance signing is especially important if the indirect left turn is to be executed from the right lane. Proper channelization can encourage desirable or safe vehicle speeds. Large turning radii and speed change lanes can help reduce the speed differential between turning and through traffic. Small turning radii, stop signs, and oblique entrance angles can reduce vehicle speeds in areas with high pedestrian volumes. 5.9.4.6 Turning Roadway Alignment and Terminals Channelized right-turning roadways are sometimes called right-turn slip lanes or right-turn bypass lanes. There are two types of channelized right-turning roadways for at-grade intersections: right-turning roadways with corner islands and free-flowing right-turning roadways. A Right-Turning Roadways with Corner Islands

Right-turning roadways with corner islands are either yield, stop, or signal controlled at the entrance to the intersecting roadway. They do not include acceleration lanes, as shown in the upper left corner of Exhibit 5-25. The alignment of the edge of traveled way where the turning roadway either diverges from or merges with the through highway should be designed with spirals and/or compound curves. The spirals or compound curves should be long enough to avoid sudden deceleration by drivers while still on the through highway, to provide a natural turning path and to develop superelevation in advance of the maximum curvature. Desirable types of alignments and maximum lengths of spiral for intersection curves and circular arcs for compound intersection curves are shown in Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. When turning from a high-speed highway, a deceleration lane is desirable. Deceleration lanes should be designed in accordance with Chapter 10 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. 5.9.4.6 A 08/23/06

BASIC DESIGN

5-115

A 90E to 60E angle between the turning roadway and intersecting roadway provides the optimal sight line for drivers entering the highway from the turning roadway to judge the relative position and speed of approaching vehicles. Turning roadways that enter the highway at angles of less than 60E without an acceleration lane require the entering motorist to look over their shoulder to view approaching vehicles and are undesirable. B Free-Flow, Right-Turning Roadways

Right-turning roadways with acceleration lanes are called free-flow, right-turning roadways. They function as ramps for an at-grade intersection. The alignment of the edge of traveled way where the free-flow, right-turning roadway diverges from the through highway should be designed with spirals and/or compound curves. The spirals or compound curves should be long enough to avoid sudden deceleration by drivers while still on the through highway, to provide a natural turning path and to develop superelevation in advance of the maximum curvature. For high-speed highways, deceleration lanes are desirable. Free-flow, right-turning roadways should be designed with a near-tangent approach to the highway to encourage use of the acceleration lane, as shown in the lower left corner of Exhibit 5-25. Taper- or parallel-type acceleration lanes are required to allow motorists to use their mirrors to merge into traffic. Acceleration and deceleration lanes should be designed in accordance with Section 5.9.8.3 of this chapter.

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5.9.4.6 B

5-116

BASIC DESIGN

Exhibit 5-25 High-Capacity Signalized Intersection With Double Left-Turn Lanes and Right-Turning Roadways

Sidew alk Not e: Il lu st ratio n n ot to s cal e. R efer to the Chapter 11 fo r Sig ns , Sign al s and D el ineation . Bus T urno ut. See Sec tion 5.9.9.

Chann el ized Rig ht -T urni ng Roadw ay w ith 60 d egr ee or mor e angl e to c ro ss s treet. Refer to Sec tio n 5.9.4.6 A of th is c hapt er for desi gn info rmatio n. *Refer t o Sec tio n 5.9.8.2 B fo r a di sc us s ion of appro pri ate thro at wi dt hs .

9.14 m Min im um for Sep ar at e C ontrol Yield Si gns See Sec tions 5.9.8.2 B fo r dou ble l eft-tur n l an es .
W*/2 W*/2

30 m

See Sec tions 5.9.8.2 E for the parall el-type dec el er ati on lane bay taper. See Sec tio n 5.9.8.3 fo r d ec eleration lane l engths .

See Sec tion 5.9.3.7 f o r in ters ec tion radi i. See Sec tion 5.9.3.5 and 5.9. 3.6 for in ters ec tion s uperelev at i on an d c ros s s lo pes . Sidew alk See Sec tion 5.9.8.2 f o r tur n bay des ign See Sec tion 5.9.3.1 thro ugh 5.9.3.3 for in ters ec tion des ign s peed , ali gnm en t and angl e (sk ew ).

See Sec t ions 5.9.4.4 and 5.9.4.7 th roug h 5.9.10 for the is l and geom etry. Fr ee Ri ght-Tur nin g Ro ad way w ith Sp eed Change L an es . Refer to Chapter 2, Sec t ion 2.7.5.4B of thi s manual f or des ign c riteri a. See Chapter 2, Sec tion 2.7.5.3 fo r Speed Ch an ge Lane Des ig n. See Sec t ion 5.9.8.3 f or acc elerat io n l an es and t ap ers for at grade i nters ec tio ns.

5.9.4.6 B

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BASIC DESIGN 5.9.4.7 Size of Islands

5-117

Islands should be large enough to effectively channelize traffic flows in advance of the intersection. Small raised islands can lead to maintenance problems and may be difficult for motorists to see and react to. Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, specifies the smallest size curbed islands which normally should be considered. Smaller islands should be flush and color contrasted with the remainder of the pavement. Contrasting surface texture may also be appropriate. The painted area of a wide turning roadway (as described in Section 5.9.4.1) can be included in the legally required minimum 9.14 m separation mentioned in Section 5.9.4.6 and the minimum island area. Islands need to be large enough to accommodate all of the following as appropriate: signs, delineators, pedestrian storage, barriers, landscaping, etc. Both Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, and NCHRP Report 279 Intersection Channelization Design Guide recommend specific dimensions for islands as a function of their use. 5.9.4.8 Curbing of Islands Refer to Section 5.9.4.4 for a discussion of curbing issues related to refuge islands and islands in general. When it is decided to curb raised islands that are not intended as pedestrian refuges, mountable curbing should be used to allow errant drivers to maintain control of their vehicle. The decision to use a curbed island should consider the potential hazard that curbing may pose to medium (between 60 km/h and 80 km/h) and high-speed traffic (80 km/h or greater). Raised islands bordering high-speed through lanes should be located outside the shoulder area and should use only the 100 mm mountable or the traversable curbs. Refer to Chapters 3 and 10 of this manual. 5.9.4.9 Island Offsets Curbed islands should be offset from the travel lane in accordance with Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Offsets are also recommended for uncurbed islands, but they are not essential. Islands with mountable curbing should be offset from through travel lanes but do not need to be offset from turning roadways unless there is a need to minimize exposure to traffic. When approach shoulders are used, the shoulders should be continued past the island and the offset between the island and the travel lane should be the shoulder itself except where a deceleration or turning lane is provided. No additional offset from the shoulder edge is necessary, but some may be advantageous at higher operating speeds.

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5.9.4.9

5-118

BASIC DESIGN

5.9.4.10 Surface Treatment for Raised Islands Small islands (<18 m2) at intersections should be paved. Easily maintained paving material that cannot be scattered by traffic should be used. Large islands ($18 m2) may be paved or turfed. Large islands in residential areas may be landscaped provided that the plantings do not interfere with sight distance or grow larger than 100 mm in trunk diameter. Islands should not be landscaped without the concurrence of the Regional Transportation Maintenance Group or other maintenance entity if the island is to be maintained by others. Although usually not needed for small islands, large islands should have inlets in the center or along the curbed edges to prevent drainage from adversely impacting adjacent roadways.

5.9.5

Intersection Sight Distance

Each intersection has the potential for several different types of vehicular conflict. Providing sight distance at intersections allows drivers to perceive potentially conflicting vehicles. Intersection sight distance should allow drivers sufficient time to stop or adjust their speed, as needed, to avoid a collision in the intersection. The driver of a vehicle approaching an intersection should have an unobstructed view of the entire intersection, including traffic control devices, and sufficient lengths along the intersecting highway to permit the driver to anticipate and avoid potential collisions. Sight distance also allows the drivers of stopped vehicles a sufficient view of the intersecting highway to decide when to enter the intersecting highway or cross it. Sufficient sight distance for motor vehicles also provides sight distances for bicyclists and pedestrians. Note: If the Intersection Sight Distance cannot be met, consideration should be given to adding warning signs or signaling. 5.9.5.1 Sight Triangles Each quadrant of an intersection should contain a triangular area free of obstructions that might block an approaching drivers view of potentially conflicting vehicles and the presence of pedestrians. These areas are known as clear sight triangles. The intersection sight distance is measured along the a and b legs of the sight triangle, not the hypotenuse. The dimensions of the legs of the sight triangles depend on the design speeds of the intersecting roadways and the type of traffic control used at the intersection. Two types of clear sight triangles are considered in intersection design, approach sight triangles and departure sight triangles. The length of the legs of this triangular area, along both intersecting roadways, should be such that the drivers can see any potentially conflicting vehicles in sufficient time to slow or stop before colliding within the intersection. Exhibit 5-26 depicts typical approach and departure sight triangles.

5.9.5.1

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BASIC DESIGN Exhibit 5-26 Approach and Departure Sight Triangles

A - Approach Sight Triagles
Minor Road Minor Road

5-119

b
Major Road Major Road

CLEAR SIGHT TRIANGLE

Decision Point Clear Sight Triangle for Viewing Traffic Approaching from the Left

CLEAR SIGHT TRIANGLE

Decision Point Clear Sight Triangle for Viewing Traffic Approaching from the Right

B - Departure Sight Triangles

Minor Road

Minor Road

b
Major Road Major Road

a
a

CLEAR SIGHT TRIANGLE

Decision Point

CLEAR SIGHT TRIANGLE

Decision Point

Clear Sight Triangle for Viewing Traffic Approaching from the Left

Clear Sight Triangle for Viewing Traffic Approaching from the Right

NOTE: Refer to Exhibit 5-27 and Appenix 5C of this chapter for the dimensions of a and b.

Approach Sight Triangle - The vertex of the sight triangle on a minor-road approach (or an uncontrolled approach) represents the decision point for a minor-road driver. The decision point is the location at which the minor-road driver should begin to brake and stop if another vehicle is present on an intersecting approach. Although desirable at high-volume intersections, approach sight triangles like those shown in Exhibit 5-26-A are not needed for intersection approaches controlled by stop signs or traffic signals.

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5.9.5.1

5-120

BASIC DESIGN Departure Sight Triangle - A second type of clear sight triangle provides sight distance sufficient for a stopped driver on a minor-road approach to depart from the intersection and enter or cross the major road. Departure sight triangles shown in Exhibit 5-26-B should be provided for stop-controlled and some signalized intersection approaches as discussed in Case D - Intersections with Traffic Signal Control.

The profiles of the intersecting roadways should be designed to provide recommended sight distances for drivers on the intersection approaches. Within a sight triangle, any object that would obstruct the drivers view should be removed or lowered, if practical. Particular attention should be given to the evaluation of clear sight triangles at interchange ramps/crossroad intersections where features such as bridge railings, piers, and abutments are potential sight obstructions. The determination of whether an object constitutes a sight obstruction should consider both the horizontal and vertical alignment of both intersecting roadways, the motorist eye height, and the object height, as shown below:
Vehicle Type Passenger Car Single Unit or Combination Truck Eye Height 1080 mm 2330 mm Object Height 1080 mm 1080 mm

5.9.5.2 Intersection Movements The recommended dimensions of the sight triangles vary with the type of traffic control used at an intersection. Exhibit 5-27 provides a quick reference to the procedures for intersection sight distance. Detailed procedures for determining intersection sight distance follow. 5.9.5.3 Intersection Sight Distance Design Guidance Intersection skew is more of a concern at unsignalized intersections than signalized ones. A traffic signal should not, however, be installed to compensate for intersection skew unless the Regional Transportation Systems Operations Engineer determines that it is warranted (see Section 5.9.7). Sight lines between the intersecting highways, even at signalized intersections, are a concern because of right-turn-on-red, flashing signal operation, and power failure. The intersection sight distance values may be adjusted for intersections skewed at an angle of less than 60E degrees. This adjustment can be made by assuming a greater number of lanes being crossed. The sight distance of intersections adjacent to bridges can be obstructed or severely limited by bridge railing or approach guide railing. In such cases, sight distance may be improved by relocating the intersection, offsetting the railing by providing a wider shoulder on the bridge and approach or, if practicable, changing to an alternative railing design which optimizes sight distance. Ramp terminal intersections should be designed in the same manner as any other atgrade intersection with the corresponding traffic control.

5.9.5.3

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BASIC DESIGN Exhibit 5-27 Intersection Sight Distance Quick Reference

Traffic Control & Maneuver Traffic Control & Maneuver approach Appendix 5C Tables

5-121

How to Use Tables in Appendix 5C of this Chapter Use table distances for a dimension on minor approach legs and b dimension on major approaches. Adjust for grade on all approaches using Table G. There are no correction factors for vehicle type. Use table to determine b dimension along major road. The a dimension is half the receiving travel lane width, plus any median, plus the lane widths being crossed, plus a minimum of 4.4 m (4.5 m to 5.4 m desirable) for the distance between the drivers eye and edge of traveled way. No adjustment for grade. Use table to determine b dimension along major road. The a dimension is half the receiving travel lane width plus a minimum of 4.4 m (4.5 m to 5.4 m desirable) for the distance between the drivers eye and edge of traveled way. No adjustment for grade. Use table to determine b dimension along major road. The a dimension is the distance from the middle of the furthest lane crossed to the outside edge of the traveled way nearest the stopped vehicle plus a minimum of 4.4 m (4.5 m to 5.4 m desirable) for the distance between the drivers eye and edge of traveled way. No adjustment for grade. Use table to determine the a dimension along the minor road and the b dimension along undivided major roads. Use Table G to adjust for grade. For divided roadways, the b dimension is based on case B3 for wide medians and B1 for narrow medians. Use table to determine b dimension along major road. Use 25 m for the a dimension on the minor road assuming the vehicle enters the intersection at a turning speed of 16 km/h and for left turns, the major road is only 2 lanes wide. (Note that if a stop is occurs, the distance b based on cases B1, B2, or B3 result in lower values and, therefore, do not need to be checked.) No adjustment for grade. First vehicle stopped on one approach should be viewable by first vehicle stopped on all others. Permissive left turners should have sufficient sight distance to select gaps. For flashing yellow, use cases B1 and B2 for the minor road approaches. For approaches with right-turn-on-red, use case B2. First vehicle stopped on one approach should be viewable by first vehicle stopped on all others. Applies to intersections and left turns into driveways. Check at three-legged intersections and driveways on horizontal curves or crest vertical curves. The b dimension is along the major roadway travel lanes being crossed. The a dimension is from the eye of the turning motorist to the middle of the furthest travel lane being crossed. Use case B3 when the median width can store the design vehicle length plus 2 m.

Class A - Intersection with no control

A&G

Case B1Left turn from the minor road Class B Intersection with stop control on the minor road Case B2 Right turn from the minor road Case B3 Crossing maneuver from the minor road Case C1 Crossing maneuver from the minor road Case C2 Left or right turn from the minor road

departure*

B1

departure

B23

departure*

B23

approach*

C1 & G

Case C Intersections with yield control on the minor road

approach*

C2

Case D - Intersections with traffic signal control

2.4 m from the stop bar on all approaches 2.4 m from the stop bar on all approaches

Normally none

Case E - Intersections with allway stop control

Normally none

Case F - Left turns from the major road

departure

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5.9.5.3

5-122 5.9.6

BASIC DESIGN Access Control on Uncontrolled Access Facilities

When projected volumes approach capacity (v/c of 0.90 or greater), intersection radii including exclusive turn lanes and jug handles should, if practicable, be protected by acquiring right of way without access. Greater length of access control should be considered if the cost would not increase appreciably.

5.9.7

Signalization

The decision to install or modify a traffic signal rests with the Regional Transportation Systems Operations Engineer. Both the Federal MUTCD and NYS MUTCD contain warrants for installing traffic signals at previously unsignalized or new intersections. Traffic signals should normally only be installed if one or more of the warrants in Part 271 of the NYS MUTCD are met and a traffic engineering study indicates that a signal may be justified. A traffic signal is not justified merely because one or more of the warrants are met. The NYS MUTCD warrants are based on vehicular and pedestrian volumes, accidents, progressive signal system needs, school crossings, the need for an interruption of continuous traffic on the major road, peak-hour volume, peak-hour delay, four-hour volumes, and systems (to establish traffic flow networks). Before deciding to build a new signalized intersection or make major improvements to an existing signalized intersection (e.g., reconfigure the intersection, major widening on more than one approach), the alternative of using a roundabout is to be analyzed per Section 5.9.1 of this chapter. Refer to Chapter 11, Section 11.3 of this manual for requirements and guidance on traffic signals.

5.9.8

Intersection Widening

Intersection widening increases intersection capacity and enhances safety by adding auxiliary lanes to serve heavier traffic maneuvers through the intersection. There may, however, be substantial impact to pedestrian traffic as a result of longer pedestrian crossing distances and more complex traffic signal phasing, especially where pedestrian volumes are high. The most common types of intersection widening include addition of exclusive left-turn lanes, exclusive right-turn lanes, and right-turn acceleration lanes. Capacity of the through movement can be increased by adding through lanes upstream of and through the intersection with a downstream taper back to the normal roadway width. Right-turn lanes and acceleration lanes pose special difficulties for bicyclists by requiring them to weave across or merge with higher-speed traffic. Chapter 18 of this manual illustrates a design treatment for right-turn lanes.

5.9.8

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BASIC DESIGN 5.9.8.1 Additional Through Lanes

5-123

Capacity analysis may indicate the need for additional through lanes on the approach to a signalized intersection. The additional through lane(s) must then be carried through the intersection and downstream for sufficient distance to provide a safe merge back into the continuous through lanes as shown in Exhibit 5-28. Since added lanes are generally utilized less than the continuous through lanes, a lane utilization factor should be used. The merge taper should conform to merge taper requirements in Table 262-2 of the NYS MUTCD. The approach and departure taper should desirably conform to merge taper requirements in Table 262-2. As a minimum, they should be one half the length L determined from Table 262-2. A capacity analysis (e.g., using Synchro and Sim Traffic) should be used to determine the storage length for through and turning vehicles. Both the additional through lane and any exclusive leftor right-turn lane on that approach should be long enough to prevent queues in the through lane from blocking the turn lane entrance and vice versa. 5.9.8.2 Turning Lanes Exclusive left and right turning lanes increase capacity and enhance safety by removing turning vehicles from the through lanes. This reduces the interference to through traffic associated with vehicles decelerating and queuing in preparation for their turning movement. Exclusive left-turn lanes on multilane highways should always be considered since their absence requires leftturning vehicles to decelerate and/or stop in the high-speed lane. Exclusive left-turn lanes on two-lane highways allow the left-turning vehicle to decelerate and stop without obstructing through traffic. Turning lane width should be in accordance with Chapter 2 of this manual. Alignment and sight distance criteria should not be compromised for the channelized movement. A very important aspect of left-turn lane design is its placement relative to opposing through traffic. Left-turn lanes "offset" from through-traffic and the opposing left-turn lane provide a greater view of oncoming traffic, improving driver acceptance of gaps (see Exhibit 5-32). Research has indicated that older drivers in particular need this offset design. This design feature is particularly critical at intersections where left turns are allowed to operate as "permitted" movements conflicting with opposing through-traffic.

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5.9.8.2

5-124

BASIC DESIGN

Exhibit 5-28 Intersection Widening for Heavy Through Traffic

Recommended Acceleration Lengths Design Speed km/h 40 50 60 70 80 90 100 D(a) m 100 120 140 160 200 240 280

Merge Taper, L

Merge taper lengths (L) should equal or exceed the lengths from Table 262-2 of the NYSMUTCD.

Stop Line

Acceleration Length, Da

Storage Length, Ds Bay Taper

To find the recommended Ds, perform a capacity analysis (e.g., using Synchro and Sim Traffic). Where practical, Ds should be long enough to (1) store the larger of either the left turn or through-traffic queues and (2) provide some deceleration distance. It is desirable for the bay taper to provide the balance of the deceleration distance. (See Section 5.9.8.2 E Tapers)

Approach Taper

Bike Lane

Bike Lane

5.9.8.2

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The decision to construct left-turn lanes should consider: The volume of left-turning traffic and the volume of opposing traffic. In some cases, capacity analysis may clearly indicate a need for left-turn lanes. Exhibit 9-75 in Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, includes traffic volume criteria to be considered in determining the need for left turn lanes along two-lane highways. The accident history. An accident pattern of rear-end accidents involving queued left turners or vehicles turning left in front of opposing traffic is often mitigated by exclusive left-turn lanes. NYSDOT accident reduction factors show an average reduction of around 30% when a left-turn lane is installed and is an appropriate alternative to mitigate a left-turn accident problem. The accident potential and the anticipated operating speeds (i.e., the possible severity of an accident). Sight distance on the mainline affecting the ability to see a vehicle waiting to turn. The construction costs. The right of way impacts.

B.

Double Left-Turn Lanes

Double left-turn lanes should be considered at signalized intersections with high left-turn demands or where a reduction in green time allocated to that left-turn movement can significantly benefit the intersection operation. While capacity analysis identifies the need for and impact of double left-turn lanes, left-turn demands over 300 vph and/or storage needs should trigger consideration of them. Fully protected signal phasing shall be provided for double left turns. Provide adequate throat width on the approach receiving the double left turns to compensate for offtracking characteristics of turning vehicles and the relative difficulty of side-by-side left turns. Exhibit 5-25 shows a method of expanding the throat width to facilitate the double left turns. A car and the design vehicle should be able to comfortably turn side-by-side. An 11 m wide throat is desirable for double left turns with turning angles greater than 90E. Narrower throats can be provided for more favorable turning angles. A 9 m throat width may be adequate for 90E turns. In constrained situations with favorable turning angles less than 90E, 8 m throat widths may be acceptable. However, throat widths less than 9 m should normally be avoided since they can restrict turning traffic flow and reduce the operational benefit of double left-turn lanes. On the other hand, excessive pavement width, which can mislead drivers, should also be avoided.

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5-126

BASIC DESIGN If practicable, the intersection should be designed to allow the double left turn to be executed concurrently with the opposing left turn. This allows the flexibility in the signal phasing to serve the double left-turn movement concurrently with either the opposing left turns or the adjacent through movement. If the turning paths of the double left and the opposing left-turn overlap, the left turns cannot be served concurrently. Dotted lines, in accordance with the NYS MUTCD, are the appropriate pavement markings used to separate the two-abreast turning lanes and especially opposing turning lanes. The dotted lines should reflect turning paths and have a gap of between 1.2 m and 2.0 m. The design should prevent through traffic from accidentally entering and becoming trapped in the double left-turn lanes. The turning lanes should be fully shadowed wherever possible.

C.

Two-Way Left-Turn Lanes (TWLTL)

Two-way left-turn lanes (TWLTL) are flush medians that may be used for left turns by traffic from either direction on the street. The TWLTL is appropriate where there is a high demand for mid-block left turns, such as areas with (or expected to experience) moderate or intense strip development. Used appropriately, the TWLTL design has improved the safety and operational characteristics of streets as demonstrated through reduced travel times and accident rates. The TWLTL design also offers added flexibility since, during spot maintenance activities, a travel lane may be barricaded with through traffic temporarily using the median lane. TWLTL can reduce delays to through traffic, reduce rear-end accidents, and provide separation between opposing lanes of traffic. However, they do not provide a safe refuge for pedestrians, can create problems with closely spaced access points, and can encourage strip development with closely spaced access points. Consider other alternatives, before using TWLTL, such as prohibiting midblock left-turns and providing for U-turns. TWLTLs should generally be limited to streets with no more than two through lanes in each direction. Seven-lane cross sections will likely cause pedestrian crossings to become too long and left turns very difficult in heavy traffic since oncoming vehicles may limit visibility and left turn opportunities. For six lane sections, a raised median design should be considered.

5.9.8.2 C

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BASIC DESIGN Consider installation of TWLTLs where:

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An accident study indicates that a TWLTL will reduce accidents. There are unacceptable through traffic delays or capacity reductions because of left turning vehicles. There are closely spaced access points or minor street intersections. A general rule is side road plus driveway density of 12 or more entrances per kilometer.

When one of the above conditions are met, the site may be considered suitable for the use of a TWLTL. Design guidance and requirements include: The desirable length of a TWLTL is at least 80 m. Consider street lighting in accordance with Chapter 12 of this manual. Pavement markings, signs, and other traffic control devices must be in accordance with the NYS MUTCD and NYS Standard Sheet 685-2. Provide clear channelization when changing from TWLTL to one-way left-turn lanes at intersections. Desirable and minimum widths for the TWLTL design are provided in Chapter 2 of this manual.

D. Right-Turn Lanes The decision to install exclusive right-turn lanes should be based on a comparison, using capacity analysis, of intersection operations with and without the turn lanes. At signalized intersections, exclusive right-turn lanes optimize benefits of right-turns-on-red and protected right-turn movements served concurrently (overlapped) with a crossroad protected left-turn phase. Exclusive right-turn lanes may also be used on high-speed roadways to provide deceleration for right-turning vehicles clear of the through lanes. Right turn lanes may be effective at reducing: Rear-end collisions. Side swipe and head on collisions with opposing vehicles caused by motorists passing the turning vehicle.

Refer to Section 5.9.4.6 for guidance on channelized right-turning roadways.

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5.9.8.2 D

5-128 E. Tapers for Turn Lanes

BASIC DESIGN

The length of the widened pavement should provide for turning-lane length and bay taper plus, in the case of left-turn lanes, the approach and departure tapers. Approach tapers gradually divert through traffic to the right around the left-turn lane. Departure tapers guide through traffic, downstream of the intersection, to the left, back to the normal alignment where the through lane is adjacent to and parallel to the center line. Approach and departure tapers may be straight-line tapers, may include curves on both ends, or may include a reverse curve. The approach and departure taper should desirably conform to merge taper requirements in Table 262-2 of the NYS MUTCD. As a minimum, they should be one half the length L determined from Table 262-2. Bay tapers guide turning traffic from through lanes into the turn lane. Bay tapers should be long enough to promote a smooth entry to the turn lane but short enough to enable motorists to identify the widening as a turn lane rather than another through lane. Bay tapers can be straight line tapers, with or without short curves at either end, or they can include a reverse curve as shown in Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. A straight-line bay taper length equal to the product of the design speed (S) in km/h and the lateral shift (W) in meters divided by 4 (i.e., SW/4) is desirable. Minimum lengths for straight-line bay tapers in urban areas are based on taper rates ranging from 8 longitudinally to 1 transversely (8:1) for peak hour travel speeds up to 50 km/h through 15:1 at 80 km/h. Bay taper lengths should not exceed one-half the taper requirements in Table 262-2 of the NYS MUTCD. Bay tapers can be designed to fit specific needs within the above guidelines (e.g., to distinguish the auxiliary lane from the through lane). Figure 5-20 shows how the approach taper and the bay taper can be designed to "shadow" or protect the left-turn lane from encroachments by through traffic. In rural and open urban areas, a fully shadowed turn lane permits the complete lateral shift of through traffic upstream of the bay taper. In constrained urban areas, the approach taper and the bay taper can be combined to partially shadow the turn lane by positioning through traffic to continue and complete its shift to the right while the left-turn lane is developing. While the total turn lane and bay taper length desirably consists of the sum of the required lengths for storage and deceleration, constraints may necessitate assuming some deceleration within the through lanes prior to entering the taper. Deceleration lane length and tapers should conform to Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. Exhibit 5-29 shows a typical left-turn lane.

5.9.8.2 E

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BASIC DESIGN Exhibit 5-29 Shadowing Left-Turn Lanes

= WL ) Left Turn With Full Shadow ( W s Departure Taper
W
s

5-129

WL

Approach Taper

Var.

Bay Taper

Length of Lane

<W) Left Turn With Partial Shadow ( W s L Departure Taper

W

W L

Approach Taper

Bay Taper

Length of Lane

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5.9.8.2 E

5-130 F. Queue Storage

BASIC DESIGN

To function as designed, exclusive turning lanes must be long enough to prevent queued through traffic from blocking the entrance to the turn lane as well as queued turning traffic from blocking the through lane. The needs of the individual components of the turn-lane length and their relationship to the total length can vary by time of day. Storage lengths, particularly for left turns, are considerably more complex and depend on the rate of arrivals, rate of departures, and in the case of signalized intersections, cycle length, phasing, and system progression, if any. The desirable design storage length at signalized intersections is twice the length required for the average signal cycle. A minimum of one and one-half the length required by the average cycle should be provided to accommodate surges in traffic which could otherwise cause operational problems which affect subsequent signal cycles. Double left-turn lanes should be considered for left turn volumes over 300 vph. The storage length for double left turn lanes may be reduced to approximately one half of that needed for a single lane operation unless downstream conditions encourage unbalanced use. A capacity analysis (e.g., using Vissim or Snychro and Sim Traffic) should be used to determine both left- and right-turn storage requirements. Since storage requirements are dependent on the traffic signal operation, the Regional Transportation Systems Operations Group should be involved in the design or, as a minimum, the review of the storage lengths. A high percentage of trucks warrants additional storage length. At unsignalized intersections, desirable storage length should be adequate to store the number of turning vehicles expected to arrive in an average 2 minute period within the peak hour. All turning lanes should be able to store at least two passenger cars or a car and one truck, representing the design vehicle, if there are over 10% trucks in the stream. Assume a spacing of 2 m between queued vehicles. G. Turn Lane Lengths Based on Deceleration Distance

In constrained locations where desirable left-turn lane lengths may result in unacceptable costs or impacts, an alternative design method for constrained locations uses Exhibit 5-30 to determine the deceleration distance for braking at a comfortable rate. To use Exhibit 530 enter the chart from the left with the expected operating speed and follow the horizontal line until it intersects the line representing the appropriate speed (usually zero) decelerated to. Then follow a vertical line down to the bottom of the chart and read or interpolate the deceleration distance along the horizontal axis. The deceleration distance is then added to a storage length equal to 1.0 m for every 3 vehicles per hour (vph) turning left. For an intersection approach having a design-hour, left-turn volume of 120 vph and an 85th

5.9.8.2 G

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BASIC DESIGN

5-131

percentile approach speed of 80 km/h, the storage distance would be 40 m and the deceleration distance from Exhibit 5-30 would be 105 m. The total left-turn lane length (exclusive of tapers) would be 145 m. If constraints preclude the above method, contact the Design Quality Assurance Bureau Highway Design Manual Section for guidance.

Exhibit 5-30 Deceleration Distances for Passenger Cars Approaching Intersections (Braking at a Comfortable Rate)

120 Speed Decelerated to: 110 100 90

80 70 60

50

40 30 0 20 40 60 80 100 120 140 160 180 Distance Traveled While Braking - meters Note: See text for explanation of use of chart.

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5-132

BASIC DESIGN

5.9.8.3 Speed Change Lanes for At Grade Intersections Speed change lanes minimize the disruption to through traffic from turning vehicles. A. Suitability The decision whether or not to provide acceleration lanes should be based on the volume of both through and entering traffic, the intersection geometry, and the 85th percentile speed of through traffic. Generally, right-turn acceleration lanes are not necessary when right-turning volumes are low and the traffic flow being entered has an 85th percentile speed equal to or less than 60 km/h. Acceleration lanes should be provided when both through and entering traffic volumes are high and the 85th percentile speed of through traffic is over 80 km/h. An acceleration lane may be necessary when right-turn volumes are high regardless of speeds on the intersected highway or the turning roadway intersects the highway at less than 60E as shown in Exhibit 5-25. Acceleration lanes are not usually needed at signalized intersections unless the turning movement is not controlled by the signal. B. Speed Change Lane Geometry Merging and diverging is most efficient when the angle is small (10E - 15E) and speed differentials are at a minimum. Acceleration or merging lanes should be long enough for merging traffic to attain the average speed of through traffic. Short or nonexistent merging distance can increase the potential for rear-end and other merging accidents. Substandard acceleration lane lengths may be worse than no acceleration lane due to the possibility of violating driver expectancies. Exhibits 10-70 and 10-71 from AASHTOs A Policy on Geometric Design of Highways and Streets, 2004, should be used to determine the speed change lane lengths. The turning roadway speed should be used to determine the initial speed and the off-peak 85th percentile speed of the highway that the traffic is entering should be used to determine desirable lane lengths. In urban areas or low speed rural areas, the minimum speed change lane lengths should be based on a speed on 20 km/h below the highway design speed. C. Tapers for Speed Change Lanes For speed change lanes, the deceleration taper should conform the bay taper as described in Section 5.9.8.2 E. Where high speeds are anticipated, the taper should conform to Chapter 10 of AASHTOs A Policy on Geometric Design of Highways and Streets, 2004.

5.9.8.3 C

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BASIC DESIGN 5.9.8.4 Safety Widening At Rural Intersections

5-133

The potential for rear-end accidents at intersections on high-speed (80 km/h and up), two-lane rural roads can be reduced by providing a left-turn slot to separate slowing or stopped turning traffic from high-speed through traffic. Safety widening should be considered where: The available stopping sight distance is less than the decision sight distance specified in Chapter 3 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, for a stop on a rural road (avoidance maneuver A). There is an accident pattern correctable by separating left-turning traffic from through traffic Higher traffic volumes increase the time a left-turning vehicle must sit in the travel lane waiting for gaps in traffic; increasing the potential for rear-end collisions.

Since safety widening addresses a speed differential rather than a capacity need, it should, if practicable, provide full deceleration distance from the 85th percentile speed in the total length of the bay taper plus the full-width turn lane. Chapter 10 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, or in more constrained conditions, Exhibit 5-30 can be used to determine the deceleration distance required. In addition to the deceleration distance, provide storage for at least one design vehicle. The widening should conform to Exhibit 5-31. If constraints preclude standard taper and deceleration lengths, provide the optimal practical design and document the nonconforming left-turn lane in the Design Approval Document. The use of a shoulder by-pass lane (i.e., a widened and/or "beefed-up" shoulder that is striped for use by through traffic to go around left turning vehicles) is currently not an acceptable practice and should not be used in lieu of safety widening. This should not be confused with the practice of beefing-up shoulders that remain striped as shoulders (see Chapter 3, Section 3.2.5.2).

5.9.9 Bus Stops/Turnouts Bus stops and turnouts should, if practicable, be located at the far side of intersections to facilitate bus and traffic operations. Bus turnouts at intersections with a free right turn should be located 15 m downstream of the end of the right-turn acceleration lane merge taper. Bus turnouts should be provided if the bus stop is on the receiving side of a double left- or right-turn movement and there are only two lanes serving traffic departing the intersection. See Exhibit 525 and Section 5.7.18.

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5-134

BASIC DESIGN

Exhibit 5-31 Safety Widening at T-Intersection on Rural Two-Lane Road

Storage for at least one vehicle. Also include any deceleration distance not provided by bay taper. W

Bay Taper Length of SW/4 recommended, where: S = Design speed in km/h W = Lateral shift in m

L = Approach Taper Length should desirably equal or exceed lengths from Table 262-2 of the NYSMUTCD. The lengths may equal L.

5.9.9

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BASIC DESIGN 5.9.10 Divided Highway Median Openings in Urban Areas

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Refer to Chapter 3, Section 3.2.8.2 for guidance on choosing between raised or flush medians. The median at an intersection leg should be the same type as on the highway approach. If leftturn volumes require substantial storage for queued left-turning vehicles on an intersection approach which has a continuous two-way, left-turn lane, consider striping the median as a onedirection, left-turn lane far enough upstream of the intersection to provide the storage length required for the left-turning volume. Raised median openings with left-turn lanes should be provided only at major cross streets and to serve large traffic generators or emergency vehicles. Pedestrian and bicycle travel patterns are to be considered. The designer should, if practicable, avoid opening the median for lowvolume (one-way, design-hour volume of 100 vph or less) intersecting streets and left-turn movements from the arterial. U-turn movements should be accommodated at major intersections. The availability of alternate travel paths (e.g., frontage roads) should be considered and may permit elimination of median openings for cross streets with one-way, design-hour volumes over 100 vph. Consider providing roundabouts or indirect, left-turning roadways or jughandles for left turn access if ROW costs and impacts are not excessive. See Exhibit 5-21. If the median is not wide enough to provide refuge for side-street vehicles crossing one direction of mainline traffic at a time, consider leaving the median unopened if signal warrants are not met. Mainline speeds, traffic volumes, and sight distance are among the factors to be considered in this determination. Design of median openings should consider the need for traffic to access properties on the other side of the raised median between median openings. Chapter 9 of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, describes design considerations and alternatives for "direct" (from the median left-turn lane at the intersection) and "indirect" U-turns (other than from the median left-turn lane at the intersection). If direct U-turns are to be encouraged, the left-turn lane should be long enough to store both left turn and U-turn traffic. Refer to Chapter 3 of this manual and Chapters 4 and 9 of AASHTO's A Policy on Geometric Design of Highways and Streets", 2004, for further design guidance including length of median opening, turning path radii, and median end shape. A simple median opening of minimum design which accommodates the design vehicle may be sufficient at minor intersections on a low-speed divided highway with low to moderate traffic volumes. Higher speeds, mainline through volumes, turning demand, and cross street flow require median design adequate to accommodate turning movements with little or no interference between traffic movements. To improve operations and sight distance at intersections where the median width is 5 m to 8 m, provide a flush divider to the right of the left-turn lane to direct the left-turning vehicle as far to the left as possible thereby reducing the potential for opposing left-turning vehicles to obstruct each other's view of opposing through traffic. See Exhibit 5-32.

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5.9.10

5-136

BASIC DESIGN

Special attention must be given to all aspects of traffic operations and safety in all medians over 8 m wide. See Exhibit 5-32. Signalized divided intersections where opposing left-turn lanes or the left edges of traveled way are separated by more than 9.14 m should be treated as two intersections with separate traffic signals and/or stop or yield signs. If the median is not wide enough to allow storage of arriving vehicles between the two signals, special signal phasing (double clearances) must be provided to clear turning and cross-street traffic from the median area between the two signals. The design shown in Exhibit 5-33 eliminates the need for two separate signals by locating the opposing left-turn lanes within 9.14 m of each other. This design also provides the flexibility to provide signal phasing which serves both left turns concurrently. The design of unsignalized divided highway crossings should consider the possibility of eventual signalization or other improvements to the crossing. Safety concerns can result in signalization or reconstruction of high-speed, divided highway crossings long before traffic volumes do.

5.9.10

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BASIC DESIGN Exhibit 5-32 Left-Turn Slot With Divider on Right

5-137

Flush or Raised Medians NOTE: When medians are raised and signs are required, provide a minimum median width of 2 m to the left of the turn slot.

Length as required by turning volume

1 m (See Note)

1 to 3 m

ONLY

30 m Max. 8 m Min.

Flush, Colorcontrasted Dividers

Variable 5-8 m

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5-138

BASIC DESIGN

Exhibit 5-33 Design of Median Lanes for Medians Over 8 m Wide

M Crossroad C L L

Contrasting pavement or crosshatching

R = Turning radius adequate for Design Vehicle L = Length of opening between divisional islands. Should be the width of the crossroad, but not less than 12 m. M = Width of median, 8 m and over.

5.9.10

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BASIC DESIGN 5.10 REFERENCES 1.

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A Policy on Geometric Design of Highways and Streets, 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Policy on Design Standards Interstate System, 2005, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Toolbox for Alleviating Traffic Congestion, 1989, Institute of Transportation Engineers, 525 School St., S.W., Suite 410, Washington, D.C., 20024. Americans with Disabilities Act Accessibility Guidelines, United States Access Board, 1331 F Street NW, Suite 1000, Washington DC 20004-1111. Bridge Manual, 2006, Structures Design and Construction Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Catalog of Photogrammetric Services, 2005, Photogrammetry Section, Design Services Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Comprehensive Pavement Design Manual, 2002, Materials Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Design Guidelines for the Control of Blowing and Drifting Snow, SHRP-H-381, 1994, Strategic Highway Research Program, National Research Council, 2101 Constitution Ave., N.W., Washington, D.C. 20418. Project Development Manual, 2005, Design Quality Assurance Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Environmental Procedures Manual, 2003, Environmental Analysis Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Federal-Aid Policy Guide, Part 772, Procedures for Abatement of Highway Traffic Noise and Construction Noise, U.S. Department of Transportation, Federal Highway Administration, Washington, D.C. 20590. Freeway Modifications to Increase Traffic Flow, FHWA Technology Sharing Report FHWA-TS-80-203, 1980, McCasland, W.R., et al., U.S. Department of Transportation, Federal Highway Administration, Washington, D.C., 20590. Guidelines for the Adirondack Park, 1996, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232.

2.

3. 4. 5. 6. 7. 8.

9. 10. 11.

12.

13.

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5-140 14.

BASIC DESIGN

Guidelines for Selection of Ramp Control Systems, NCHRP Report 232, 1981, Blumentritt, C.W., et al., Transportation Research Board, 2101 Constitution Ave., N.W., Washington, D.C., 20418. Guidebook on Methods to Estimate Non-Motorized Travel: Overview of Methods, 1999, FHWA-RD-98-165, Federal Highway Administration, Research, Development, and Technology, Turner-Fairbank Highway Research Center, 6300 Georgetown Pike, McLean, V.A., 22101-2296. Guidebook on Methods to Estimate Non-Motorized Travel: Supporting Documentation, 1999, FHWA-RD-98-166, Federal Highway Administration, Research, Development, and Technology, Turner-Fairbank Highway Research Center, 6300 Georgetown Pike, McLean, V.A., 22101-2296. Highway Capacity Manual, 2000, Transportation Research Board, National Research Council, 2101 Constitution Avenue, N.W., Washington, D.C., 20418. Highway Safety Improvement Program: Procedures and Techniques, 1989, Traffic Engineering and Safety Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Intersection Channelization Design Guide, NCHRP Report 279, Nov. 1985, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C., 20418. Living Snow Fences: Protection That Just Keeps Growing, 1989, D.L. Shaw, Colorado Interagency Living Snow Fence Program, Colorado State University, Fort Collins, Colorado. Manual of Administrative Procedures, Code 7.8-5-1 Disposal of Surplus Real Estate, June 5, 1992, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Manual on Uniform Traffic Control Devices, 2003, U.S. Department of Transportation, Federal Highway Administration, for sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C., 20402. Official Compilation of Codes, Rules, and Regulations of the State of New York, Part 75 (Approval of Privately Owned Airports) of Title 17, Aviation Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Official Compilation of Codes, Rules and Regulations of the State of New York, Part 131 (Accommodation of Utilities Within State Highway Right-of-Way) of Title 17, Design Quality Assurance Bureau, New York State Department of Transportation, State Office Campus, Albany, NY 12232.

15.

16.

17. 18.

19. 20.

21.

22.

23.

24.

5.10

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BASIC DESIGN 25.

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Official Compilation of Codes, Rules and Regulations of the State of New York Title 17 Transportation (B) Chapter V, 2001, West Group, 610 Opperman Drive, Eagan, MN 55123. Instruction A02-5-29 Program Procedure EN-RE-504, October 20, 1994, Real Estate Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY. 12232. Real-Time Human Perceptions: Toward a Bicycle Level of Service, 1997, B. W. Landis, V. R. Vattikuti, M. T. Brannick, Transportation Research Record 1578, Transportation Research Board, National Research Council, 2101 Constitution Avenue, N.W. Washington, D.C., 20418. Right of Way Mapping Procedure Manual, 2002, Design Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Roadside Design Guide, 2002, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Rollover of Heavy Commercial Vehicles, UMTRI Research Review, October-November, 2000, Volume 31, Number 4, University of Michigan Transportation Research Institute, 2901 Baxter Road, Ann Arbor, Michigan 48109-2150. Roundabouts: An Informational Guide, FHWA-RD-00-067, Federal Highway Administration, Research, Development, and Technology, Turner-Fairbank Highway Research Center, 6300 Georgetown Pike, McLean, V.A., 22101. Shoulder Geometrics and Use Guidelines, NCHRP Report 254, 1982, Downs, W., Transportation Research Board, 2101 Constitution Ave., N.W., Washington, D.C., 20418. Sketch-Plan Method for Estimating Pedestrian Traffic for Central Business Districts and Suburban Growth Corridors, 1997, J. M. Ercolano, J.S. Olson, D. M. Spring, Transportation Research Record 1578, Transportation Research Board, National Research Council, 2101 Constitution Avenue, N.W. Washington, D.C., 20418. Signalized Intersections: Informational Guide, FHWA-HRT-04-091, Federal Highway Administration, Research, Development, and Technology, Turner-Fairbank Highway Research Center, 6300 Georgetown Pike, McLean, V.A., 22101. Surveying Standards and Procedures Manual, Survey Section, Design Services Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. The Effectiveness of Truck Rollover Warning Systems, August, 2000, D. Baker, R. Bushman, C. Berthelot, Paper No 01-2646, University of Saskatchewan, Department of Civil Engineering, 57 Campus Drive, Saskatoon, Saskatchewan, S7N 5A9.

26.

27.

28. 29. 30.

31.

32. 33.

34.

35. 36.

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5-142 37. 38. 39.

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Traffic Engineering Handbook 4th Edition, 1992, Institute of Transportation Engineers, 525 School St., S.W., Suite 410, Washington, D.C., 20024-2797. Traffic Engineering Handbook 5th Edition, 1999, Institute of Transportation Engineers, 525 School St., S.W., Suite 410, Washington, D.C., 20024-2797. Vehicle and Traffic Law, 2004-05, New York State Department of Motor Vehicles, Empire State Plaza, Albany, NY 12228.

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NEW YORK STATE DEPARTMENT OF TRANSPORTATION

POLICY and STANDARDS for the Design of Entrances to State Highways

November 24, 2003

This Page Intentionally Left Blank.

APPENDIX 5A DRIVEWAY DESIGN POLICY POLICY AND STANDARDS FOR THE DESIGN OF ENTRANCES TO STATE HIGHWAYS PREFACE This policy (commonly referred to as the Driveway Design Policy) outlines the Departments technical and procedural requirements involved in the planning, design, construction and maintenance of entrances to a State highway. While this policy is most commonly used for driveways, it applies to all entrances, including walkways, stairways, city and village streets, town and county highways, private access roads, subdivision roads (defined in Section 5A.10 of this policy), and roads owned by other State agencies and authorities. Property owners seeking to build or improve an entrance to a State highway must, in addition to meeting applicable local requirements and the State Environmental Quality Review Act (SEQR), obtain and comply with all conditions of a New York State Department of Transportation Highway Work Permit. Issuance of the Highway Work Permit is contingent upon Department review and approval of the planning and design details of the entrance. Property owners, developers, consultants, and local officials play important roles in the process and should be aware of specific portions of this policy. Sections 5A.2 and 5A.3 outline the responsibilities of the property owner. Since residential driveways have less impact on the highway system than commercial driveways and subdivisions, residential property owner responsibilities are generally limited to Sections 5A.2.1 and 5A.3.1 through 5A.3.6. Design requirements for residential driveways are detailed in Sections 5A.4, 5A.5, and 5A.9. Sections 5A.4, 5A.6, 5A.7, and 5A.9 contain commercial driveway design requirements, which may be useful to consultants hired by the property owner to plan and design the access to the highway. Section 5A.4, 5A.7, 5A.8, and 5A.9 contain subdivision, municipal street and municipal highway design requirements, which may be useful to developers and municipalities planning and designing access to a State highway. Sections 5A.2 and 5A.4 include procedural requirements and general design guidelines, respectively, which may interest local government planning and review agencies or boards.

This policy is in dual units. Metric units are shown with U.S. customary units in parentheses. Similarly, the metric NYSDOT Driveway Standard Sheet references (currently M608-6 through M608-9) are provided with references to Figures 5A-2 through 5A-5 (in U.S. customary units) in parentheses. The values are hard converted (not a precise conversion) to better represent the degree of accuracy needed.

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APPENDIX 5A DRIVEWAY DESIGN POLICY

Highway work permit forms are available on the Departments Internet home page under: https://www.dot.ny.gov/divisions/operating/oom/transportation-systems/traffic-operations-sectio n/highway-permits. For detailed information on the permitting process and its requirements, refer to the Departments Manual of Administrative Procedure 7.12-2 on Highway Work Permits.

CONTACT PERSON Questions concerning this policy should be directed to the NYSDOT Highway Maintenance Resident Engineer. Names and phone numbers for the Resident Engineers are provided:
C C

On the Internet at: https://www.dot.ny.gov/regional-offices In the Government Listings (blue pages) of your local phone book. Look under State Offices, then Transportation Department of, and then Transportation Maintenance. By calling the Main Office Highway Work Permit Section at 1 (888) 783-1685.

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DRIVEWAY DESIGN POLICY Contents Page

5A.1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 5A.2 GENERAL POLICY FOR THE DESIGN OF ENTRANCES TO STATE HIGHWAYS . . . 3 5A.2.1 5A.2.2 Non-Department Projects / Highway Work Permits . . . . . . . . . . . . . . . . . . . . . 3 Department Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

5A.3 CONDITIONS AND LIMITATIONS OF HIGHWAY WORK PERMITS . . . . . . . . . . . . . . . 8 5A.3.1 5A.3.2 5A.3.3 5A.3.4 5A.3.5 5A.3.6 5A.3.7 5A.3.8 General Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Performance Bonds and Deposits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Traffic Control and Work Site Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Maintenance Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Permit Traffic Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Other Traffic Control Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

5A.4 GENERAL DESIGN REQUIREMENTS AND GUIDELINES . . . . . . . . . . . . . . . . . . . . . 12 5A.4.1 5A.4.2 5A.4.3 5A.4.4 5A.4.5 5A.4.6 Spacing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Sight Distance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Median Openings on State Highways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Driveway Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Drainage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Sidewalks, Walkways and Stairways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

5A.5 RESIDENTIAL DRIVEWAYS AND FIELD ENTRANCES . . . . . . . . . . . . . . . . . . . . . . . 18 5A.6 MINOR COMMERCIAL DRIVEWAYS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 5A.6.1 5A.6.2 5A.6.3 Access Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Constrained Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Highway Work Permits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

5A.7 MAJOR COMMERCIAL DRIVEWAYS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 5A.7.1 5A.7.2 5A.7.3 5A.7.4 5A.7.5 Traffic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Layout . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Corner Angle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Highway Work Permits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

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DRIVEWAY DESIGN POLICY Contents Page

5A.8 STREETS AND HIGHWAYS OFF THE STATE HIGHWAY SYSTEM . . . . . . . . . . . . . 27 5A.9 DRIVEWAY TABLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

5A.10 GLOSSARY OF TERMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 5A.11 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 List of Figures, Forms, and Tables Form HC 19 Request for Reestablishment of Approaches to Private Lands35 Form PERM 33 Highway Work Permit Application for Non-Utility Work . . . . . . . . . . . . . . . . . 37 Residential Driveway Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Figure 5A-1 Miscellaneous Driveway Details . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Driveway Table for Department Projects and Commercial Drives . . . . . . . . . . . . . . . . . . . . . . 50 U.S. Customary Figures for non-Department use: Figure 5A-2 Figure 5A-3 Figure 5A-4 Figure 5A-5 Driveway Design Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Driveway Entrance Details . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 Driveway Entrance Layout . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 Driveway Opening Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

List of Current NYSDOT Driveway Standard Sheets Standard Sheet M608-6 Standard Sheet M608-7 Standard Sheet M608-8 Standard Sheet M608-9 Driveway Design Guidelines Driveway Entrance Details Driveway Entrance Layout Driveway Opening Limits

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DRIVEWAY DESIGN POLICY 5A.1 INTRODUCTION

5A-1

Section 52 of the New York State Highway Law and Section 1220-a of the New York State Vehicle and Traffic Law prohibit entrance on and work being performed on any State highway except pursuant to the authority of a permit and under rules and regulations prescribed by the Commissioner of Transportation. In accordance with the exercise of these duties, the Department of Transportation has standards and procedures governing such work within the highway right of way including the construction of entrances to State highways so as to regulate traffic entering or leaving abutting properties. These policies, standards, and procedures protect the public through orderly control of traffic movements onto and from the highway, preserve the publics investment in highway capacity, and assure uniform design and construction of entrances and exits statewide. A highway serves two major purposes as a part of a transportation facility. It must facilitate safe and efficient movement of people and goods and provide reasonably convenient access to the abutting property owner. Driveway regulation is intended to balance these two roles without allowing one to become a serious detriment to the other and is implemented by the Highway Work Permit review process described in this and other related publications. Available research links increased numbers and width of commercial access points and undesirable locations with increased accidents. Uncontrolled access can increase accidents, disrupt traffic flow, degrade air quality, reduce commercial viability of the corridor, result in early functional obsolescence of the facility, and require costly remedies. Good control of access can diminish these adverse impacts by minimizing points of conflict between through traffic and entering or exiting traffic and separating the highway from activities on abutting property. The Highway Work Permitting process, which governs access from individual properties to State highways, begins when an application for a highway work permit is filed. To achieve a desired balance between the mobility and access functions of the State highway system, localities should join with the Department in looking beyond individual driveways and developments and apply a corridor or subarea perspective by coordinating access and land use control decisions. The Department meets with local planning boards and other local officials and works pro-actively to increase public awareness about access control safety and mobility concerns. Through local officials, the Department encourages developers to apply for a highway work permit at a time early enough in the local process that both local land-use and access control concerns can be addressed in a coordinated fashion. The Department, local officials, and developers all benefit from this coordinated approach since it improves safety and mobility and reduces the potential for design changes.

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5A.1

5A-2

DRIVEWAY DESIGN POLICY

A desired approach is for the local governments and Department to coordinate their respective decision-making processes when applicable and appropriate. One method of improving coordination is through the Departments Arterial/Access Management Initiative. The initiative is a collaboration between the Department and local governments which focuses on melding transportation and land-use management strategies to preserve and enhance mobility while promoting development along uncontrolled access facilities. A consistent recommended approach is to utilize the State Environmental Quality Review Act (SEQR) coordinated review process (See Section 5A.2.2.3 of this policy). Successful application of these efforts will allow for a more orderly and comprehensive consideration of transportation and access needs and may facilitate the accommodation of individual highway work permits. The Department, through the Highway Work Permitting and SEQR processes, identifies impacts on State highways that would occur from proposed developments. As a condition of the Highway Work Permit, the Department requires developers to mitigate significant adverse traffic impacts on State highways caused by the permitted development. The Department recognizes the importance of development to local and regional economies and is committed to assisting developers and local governments coordinate the Highway Work Permitting process with the SEQR process. The provisions, guidelines, standards, and procedures set forth in this publication are consistent with those for Department work and represent the official policy of the Department of Transportation governing driveway, walkway, and stairway entrances to State highways and shall become effective January 1, 2004, thereby superseding previous policy and standards adopted for these same purposes. While this policy is intended to provide statewide uniformity, Department personnel responsible for access control will exercise judgement to provide the most effective and practical degree of access control. The Department of Transportation shall be the sole authoritative interpreter of the content and intent of this publication.

5A.1

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DRIVEWAY DESIGN POLICY 5A.2

5A-3

GENERAL POLICY FOR THE DESIGN OF ENTRANCES TO STATE HIGHWAYS

5A.2.1

Non-Department Projects / Highway Work Permits

This section does not apply to Department projects. Highway work permits for entrances to State Highways are subject to the following conditions and limitations:

5A.2.1.1

Access to a State Highway

Any person, institution, or corporation desiring permanent, improved, or temporary access to, or performing work within a State highway right of way shall obtain a Highway Work Permit from the Department of Transportation and comply with all conditions of its issuance. Any approval by the Department is contingent upon the applicant signing the Highway Work Permit application, thereby promising to complete work required by the Department as specified in the permit. Written application for such permit (see Form PERM 33, Highway Work Permit Application for NonUtility Work, included in the back of this policy) shall be made to the Department of Transportation through the appropriate Resident Engineer, and shall be accompanied by plans, drawings, or a sketch indicating the work proposed, including the applicable design dimensions required. Applicants for permits to undertake residential driveway, walkway, or stairway approaches to or from a State highway shall use the enclosed Residential Driveway Form to supplement form PERM 33. Applications for work permits will be accepted only from property owners or their authorized agents who will be named as principal(s) on the performance bond (if required). Certification of legal ownership or owners authorization may be required. On approval of the application by the Department, a permit will be issued stipulating conditions under which the installation is to be performed. If a property owner, lessee, or agent fails to comply with the terms of a permit or to obtain a permit, the Department may halt the activity for which a permit is required until adequate corrections have been made. Costs incurred by the Department in correcting failures to comply with the terms and conditions of a permit, failures to obtain a permit, or defective workmanship or materials shall be borne by the permittee or person undertaking the activity. The provisions of this policy shall not apply to entrances already in existence on December 31, 2003 or permits submitted for approval by December 31, 2003. This policy shall apply to any new driveways, walkways, or stairways and improvements within the State right of way to existing driveway, sidewalk, walkway, or stairway submitted for approval after December 31, 2003. Improvement is defined as one or more of the following.
C C C C C

Resurfacing (excludes driveway sealant). Rehabilitation and reconstruction. Replacement of existing drainage pipe. A change in width, grade, or location. A change in traffic control (excluding the installation of stop signs).

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5A.2.1.1

5A-4 5A.2.1.2 Mitigation

DRIVEWAY DESIGN POLICY

A.

New Driveways

Developers of commercial property and large subdivisions may, as a condition of the permit, be required to mitigate the impacts of their development to maintain the same level of service, safety, operation, and/or other measure of traffic conditions as the affected highway(s) would experience without the development. The impacts and required mitigation will be determined, subject to Department approval, by a Traffic Impact Study (TIS) conducted by the permittee based on full build-out of the development in the estimated year of completion. The TIS should be completed in accordance with Department requirements and is subject to approval by the Department under the Highway Work Permitting process and the SEQR lead agency as a component of the SEQR Environmental Review Process. If traditional measures do not adequately quantify traffic impacts, the Department may select alternative measures including, but not limited to, increased travel time or delay, queue lengths, lengthened duration of congestion, and air quality. At locations where the highway is at or near capacity, traffic simulation programs defining queue length and speeds may be necessary to get an accurate understanding of the generated traffics impact and the effectiveness of the mitigation. Entrances to large traffic generators such as shopping centers, industrial plants, etc., may require improvements on or off the highway to accommodate the increased traffic flow caused by their presence. Such improvements may include, but are not limited to, acceleration, deceleration, through, or turning lanes, traffic signals on the State highway, extended throat lengths, provision of service or access roads, and appropriate internal circulation off the highway. Improvements, as approved or directed by the Department, to the State highway to mitigate adverse traffic impacts from full build-out of the proposed action under SEQR are required under the work permit and are the responsibility of the permittee. Where the width of the highway right of way is insufficient to permit the construction of such improvements, the property owner may be required to provide to the Department additional right of way of sufficient width to construct such improvements or downsize the project such that the necessary mitigation can be accommodated within available right of way. Mitigation of full build-out traffic impacts should be completed to the satisfaction of the Regional Traffic Engineer before opening of the development, unless phasing of work is allowed by the Department with adequate controls to assure the performance of future work. Where strict application of this policy to new or improved driveways may create a severe economic hardship for the property owner, the Department may, at its discretion after an engineering review, grant exceptions to this policy where such exceptions are not likely to interfere with efficient and safe flow of traffic on the highway. In any event, the Department will be the sole authority for approving impact mitigation proposals.

5A.2.1.2

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DRIVEWAY DESIGN POLICY B. Existing Driveways

5A-5

Whenever a change or expansion of a business or other land use is expected to increase traffic flow on the State highway system through an existing driveway, it may be necessary for the owner to mitigate the impact of the increased traffic by improving the driveway and/or highway. Highway and driveway improvements may include, but are not limited to, driveway relocation or closure, signal installation or modification, and/or widening needed for the safe and efficient flow of traffic. The Regional Traffic Engineer may, in the interest of public safety, authorize restrictions on movements into and/or out of the driveway if the necessary improvements are not completed.

5A.2.1.3

SEQR Coordination

The Department will not issue a Highway Work Permit until all the SEQR requirements are met. The coordination of the two processes (Highway Work Permit and SEQR) is critical; however, the timing can lead to problems. The SEQR process is usually completed (sometimes months) before a permittees application for a Highway Work Permit is submitted to the Department. If there has been no coordination between the local government and the Department during the SEQR process, delays can arise during the Highway Work Permitting process. To avoid unnecessary delays and problems, the following suggestions are offered.
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Local governments should notify the Department as early as possible when considering access to a State highway. SEQR lead agencies should invite and encourage early Department involvement to identify impacts. A coordinated review should be pursued. A coordinated review is defined by the SEQR Handbook as, The process by which all involved agencies cooperate in one integrated environmental review. Lead agencies should consider the merits of the Scoping Phase of the SEQR process particularly when dealing with complex developments involving several agencies and impacts. It is during the scoping phase that involved agencies have an opportunity to express their data and information needs, concerns, and expectations. Scoping, if done correctly, can go a long way toward avoiding future confusion and unrealistic expectations.

Section 2.1 of the NYSDOT Environmental Procedures Manual discusses the Departments SEQR responsibilities. On projects requiring the issuance of a Highway Work Permit, the Department usually participates in the SEQR process as an involved agency and will:
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Issue a Record of Decision when the lead agency prepares an Environmental Impact Statement and issues a Record of Decision. Issue a SEQR determination when the Department is the lead agency. Coordinate with other involved agencies and issue a SEQR positive declaration if the lead agency has conducted an uncoordinated review processes and must prepare an Environmental Impact Statement. Not issue a SEQR determination on other projects.

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5A.2.1.3

5A-6 5A.2.1.4

DRIVEWAY DESIGN POLICY Arterial/Access Management Initiative

The Arterial/Access Management Initiative is a State and local collaborative process combining transportation planning and local land-use planning tools to protect the functional integrity of the highway network and provide safe and efficient access and mobility. The major elements of Arterial/Access Management include a combination of:
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Access management. Land use planning and controls. Corridor preservation. Transportation improvements. Finance techniques.

Access points are a major source of accidents and congestion on highways with abutting commercial strip development. In these areas, driveway spacing directly effects the highway's safety and functionality. Optimal driveway spacing cannot be precisely determined, but there is a consensus that driveway spacing on the order of 90 m to 150 m (300 ft to 500 ft), depending on the operating speed on the highway and the traffic generation of the development, is desirable to reduce accidents and maintain the flow of traffic. Achieving desirable spacing is particularly important on congested highways with existing or emerging commercial and retail development. It may be impractical to achieve desired spacing due to limited lot frontages, existing driveways and site constraints; nonetheless efforts should be made to improve driveway spacing even if the desired values cannot be attained. Driveway spacing can sometimes be improved by consolidating the access to multiple sites. These and other access management techniques are typically implemented over time in cooperation with local government as a part of local access management plans and can also be included as elements of Department capital projects. To be effective, access management plans require a high level of coordination with local government, both in the development and implementation of the plans. For additional information, refer to:
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TRB Circular 456 Driveway and Intersection Spacing for a discussion of spacing issues. Best Practices in Arterial Management NYSDOT Mobility Management Bureau, 1997, for a full discussion of access management techniques that can be used to achieve more functional driveway spacing and manage the effects of land development on arterials. NYSDOTs Internet web site at http://www.dot.ny.gov.

5A.2.1.4

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DRIVEWAY DESIGN POLICY 5A.2.2 Department Projects

5A-7

5A.2.2.1

Project Types

On Department Reconstruction or Resurfacing, Restoration and Rehabilitation (2R/3R) contracts, the Department will alter, at its own expense, existing entrances to State highways to comply with the spirit and intent of the policy and standards herein. On simple resurfacing projects (e.g., 1R) and other preventive and corrective maintenance projects, existing entrances are only altered if they contribute to safety or operational problems. If problems are identified, the driveway should be modified by the Department to comply with the spirit and intent of the policy and standards herein.

5A.2.2.2

Driveway Work Release

If the limit of work is extended beyond the existing highway right of way to obtain adequate driveway geometrics, the Department should attempt to obtain driveway work releases (see Form HC 199, Request for Restablishment of Approaches to Private Lands, included in the back of this policy). If the property owner refuses to sign the driveway work release, he/she should be advised that the Department will proceed with the project without reestablishing the driveway. Any future work to reestablish the driveway will be the property owners responsibility and will require a Highway Work Permit (see Form PERM 33, Highway Work Permit Application for Non-Utility Work, included in the back of this policy).

5A.2.2.3

Walkways and Stairways

If the limit of work is extended beyond the existing highway right-of-way to obtain walkway or stairway designs that meet the applicable requirements, the Department should attempt to obtain work releases (see Form HC 199, Request for Restablishment of Approaches to Private Lands, included in the back of this policy). Any property owner who refuses to sign the work release should be advised that the Department will proceed with the project without reestablishing the walkway or stairway. Any future work to reestablish the walkway or stairway will be the property owners responsibility and will require a Highway Work Permit (see Form PERM 33, Highway Work Permit Application for Non-Utility Work, included in the back of this policy).

5A.2.2.4

Exceptions

In cases where strict compliance with the provisions of this publication may cause severe hardship to the property owner, the Department may consider exceptions to permit existing driveway entrances to remain unaltered where this is not likely to interfere with efficient and safe flow of traffic on the highway. Driveway locations should not be altered in the field without consultation with the project designer.

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5A.2.2.4

5A-8 5A.3

DRIVEWAY DESIGN POLICY CONDITIONS AND LIMITATIONS OF HIGHWAY WORK PERMITS

This section does not apply to Department projects. Highway work permits for entrances to State Highways are subject to the following conditions and limitations.

5A.3.1

General Conditions Work should start within the time period specified in the permit. The permittee shall notify the Resident Engineer before work is started and when it is completed, on or before the estimated completion date. The Department may grant an extension of time if valid reasons exist for the delay. All work completed and materials used within the right of way shall meet the Departments current Standard Specifications for Construction and Materials and is subject to Department approval on a case-by-case basis. All work completed and materials used within the right of way shall meet the terms and stipulations of the permit. The Department will make every reasonable effort to include all required stipulations and conditions of work in the permit before the work begins. If additions or alterations to either the work or the conditions of the permit are required after work commences, written Department approval shall be secured before such additions or alterations are undertaken by the permittee. The entire cost of the work specified shall be borne by the permittee, his grantees, successors, and assignees. The permittee shall have a copy of the permit available at the site at all times during construction. Piped or channelized natural drainage shall not be permitted to flow onto a highway right of way unless special provisions are approved by the Department. The permittee shall remove all surplus materials to an area outside the right of way unless the permit provides for disposal at locations within the right of way. Excavated material from within the right of way shall be disposed of as directed by the Department. Mitigation work shall be completed to the Departments satisfaction before opening of any access to the State highway.

5A.3.2

Insurance

A permittee shall not hold the Department liable for any claim for damages arising from his/her negligence, or his/her contractor's negligence in operations covered by the permit. Protective liability insurance to cover the Department during the period of work within the right of way is mandatory and, with the exception of permits for major commercial driveways and subdivision streets, may be obtained from the Department at a nominal cost. Major commercial and subdivision permit applicants shall have their own protective liability insurance demonstrated by providing a Certificate of Insurance for Highway Work Permits.

5A.3.2

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DRIVEWAY DESIGN POLICY 5A.3.3 Inspection

5A-9

The Department reserves the right of inspection by its authorized representatives of construction or reconstruction of any driveway, walkway or stairway within the highway right of way. As a condition of issuance of the highway work permit, the permittee shall reimburse the Department for the cost of on-the-job inspection in excess of one person-hour, sometimes required for major and minor commercial developments. For commercial driveways requiring more than 5 days of inspection time, the permittee may, as a condition of the permit, be required to hire a Consultant, subject to Department approval, to perform construction inspection and supervision services. These inspection agreements are detailed on the PERM 50 Form, Inspection and/or Supervision Payment Agreement for Highway Work Permits, available on the Departments Internet site at http://www.dot.ny.gov.

5A.3.4

Performance Bonds and Deposits

A performance bond and/or a deposit (certified check) and/or a letter of credit naming the permittee as principal is required for a permit issued for various work stipulated in the permit in order to protect the Department against the cost of completing construction or correcting deficiencies. The deposit will be returned when the work is completed to the satisfaction of the Department and all conditions of the Highway Work Permit have been met. The performance guarantee and amount will be prescribed by the Department, consistent with the scope and magnitude of the work involved. A perpetual bond to assure proper maintenance of driveway elements and detention ponds essential to the proper functioning of the State highway may be required.

5A.3.5

Traffic Control and Work Site Safety

The permittee and/or contractor shall take all necessary precautions and employ appropriate methods to preserve traffic flow, prevent injury to persons, or damage to property from operations covered by the permit and shall use guide, warning and regulatory signs and safety devices in accordance with the Title 17, Volume B of the NYCRR (a.k.a. New York State Manual of Uniform Traffic Control Devices (NYS MUTCD)), the current NYSDOT Standard Specifications for Construction and Materials and other Department guidance. The Department may require the permittee to submit plans showing such precautions, methods, and traffic control devices. The Department may, as a condition of the work permit, impose work restrictions as necessary to minimize disruption to traffic flow during peak travel periods. In all cases, the Department will be the final authority in matters related to maintaining and protecting traffic. The Regional Traffic Engineering & Safety Group shall issue orders for all regulatory traffic control devices such as traffic signals, stop, yield, and one-way signs. The Department shall file such orders with the Secretary of State. Questions on interpretation of the NYS MUTCD should be referred to the Resident Engineer or Regional Traffic Engineer.

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5A.3.5

5A-10 5A.3.6

DRIVEWAY DESIGN POLICY Maintenance Responsibility

Property owners having access to a State highway shall be fully responsible for maintenance of their driveway and channelization including the portion from the highway right of way line to the outside edge of the highway shoulder or curb. This maintenance responsibility includes removal of snow and ice and keeping the portion within the highway right of way in a safe condition for the general public. Where the owner of a commercial property is required to construct acceleration, deceleration, or turning lanes on the State highway, the Department may, in the interest of public convenience, provide routine maintenance and remove snow and ice on the portions of these lanes constituting an integral part of the State highway. This in no way absolves the property owner of the overall maintenance responsibility for the reconstruction and major repair of these lanes, if necessary. The property owner shall be responsible for the maintenance of ditches, pipes, catch basins, grates, detention ponds, and other drainage structures constructed in connection with providing access to his property, unless other legally binding arrangements, acceptable to the Department, are made. All traffic control devices, such as traffic signals, stop and yield signs, one-way or other regulatory signs, pavement markings, delineators, etc., installed by the property owner in the highway right of way with the permission of the Department, shall conform to the NYS MUTCD and, with the exception of traffic signals, be maintained, energized, and replaced by the property owner. Traffic signals installed by the permittee are maintained by the Department for an annual maintenance fee. The Department may, in the interest of public safety or convenience, maintain pavement marking installed by the permittee on the highway. The property owner shall also trim brush and maintain his/her property in such a manner as to maintain optimal sight distance. A maintenance agreement requiring the owner and his/her successors to maintain the above features specified should be filed with the deed in the County Clerks office.

5A.3.7

Permit Traffic Signals

To provide safe and expedient movement of traffic to and from a commercial driveway, it may be necessary to install or modify a traffic signal on the State highway. If such traffic signal is at a private road or driveway, it shall be installed, and the energy costs to operate it shall be paid, by the property owner under the terms of a Permit to Install and Operate a Traffic Control Signal on State-Owned Property, issued by the Regional Traffic Engineer. The Department will operate and maintain the signal for an annual fee to be charged to the permittee as specified in the permit. Operation and maintenance of signals erected prior to April 1, 1986, may, at the Departments discretion, be done by the permittee under the terms of the existing maintenance agreement or by the Department for an annual fee. If a traffic signal is to be modified, it may be necessary to obtain a highway work permit as well as a permit for the signal modification.

5A.3.7

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DRIVEWAY DESIGN POLICY 5A.3.8 Other Traffic Control Devices

5A-11

If deemed necessary by the Department, other traffic control devices such as flashing signals, regulatory and warning signs, delineators, pavement markings, etc., shall be installed by the permittee on commercial driveways in accordance with the NYS MUTCD. Questions on interpretation of the NYS MUTCD should be referred to the Resident Engineer or the Regional Traffic Engineer.

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5A.3.8

5A-12 5A.4

DRIVEWAY DESIGN POLICY GENERAL DESIGN REQUIREMENTS, AND GUIDELINES

The following general design requirements apply to all types of entrances. The design requirements set forth in this section are intended to maintain traffic service and safety on the roadway and convenience for the traveling public and the permittee and are based on the premise that the rights of highway users and abutting property owners can be mutually satisfied. The Department reserves the right to impose any additional requirements it deems necessary for public safety. A driveway or a driveway system shall be so located as to provide: The most favorable vision (sight distance), and horizontal and vertical alignment conditions for users of the proposed driveway and the highway. No undue interference with nearby driveways, intersections, interchanges, and turning or acceleration and deceleration lanes. Maximum safety and convenience for vehicles, cyclists, pedestrians, and other users of highway right of way. Consistency with driveway spacing standards presented in this section. Consistency with any local adopted driveway spacing standards or arterial corridor management plan.

In the interest of public safety and traffic flow and convenience, the Department may restrict the placement of a driveway to a particular location along the owner's frontage, restrict the type of access, or require shifting of an existing driveway. When a property fronting on a State highway also fronts on and has access to any other public street, road, or highway that intersects the State highway, the Department may restrict access to the State highway if it determines that such access would be detrimental to the safety and/or operation of the State highway.

5A.4.1

Spacing

The following instructions are provided to help locate new or reconstructed driveways for a particular site. More detailed requirements and guidance are provided in Figure 5A-1 (in the back of this policy). The Department may modify this distance if an engineering determination indicates another dimension is more suitable for a particular site. The Department may restrict or prohibit specific movements if it determines that such movement(s) will interfere with safe and efficient traffic flow within or near an intersection. Refer to Section 5A.2.1.4 of this policy for information on access management for land use planning and the development of multiple sites along a highway.

5A.4.1

11/24/03

DRIVEWAY DESIGN POLICY 5A.4.1.1 Spacing from Ramps, Auxiliary Lanes, and Transitions

5A-13

Permits will not be issued for entrances to State highways along acceleration or deceleration lanes, and lane tapers. The Department also prohibits construction of a driveway near expressway or other limited access highway ramps. To enforce this policy, the Department may purchase the owner's right of access to a public highway. Refer to NYSDOT Highway Design Manual Chapter 6 for specific access control limits at interchanges.

5A.4.1.2

Location Within Frontage

A driveway should be located entirely within the applicant's frontage, with spacing as per Figure 5A-1 to intersections and driveways serving adjacent properties. If the driveway extends onto adjoining property or is to be shared with other property owners, the permittee may be required to provide written agreement with the adjoining property owner(s).

5A.4.1.3

Number of Driveways

Normally only one driveway shall be permitted for each residential property, minor commercial, and subdivision. An additional driveway may be permitted by the Department if both sufficient frontage exists and extenuating circumstances justify a second driveway.

5A.4.2

Sight Distance

Inadequate sight distance or other safety or operational deficiencies may require that one-way or turn restrictions (e.g., no left turns) be imposed at the driveway.

5A.4.2.1

Intersection Sight Distance

Intersection sight distances should meet or exceed the values in Chapter 9 of AASHTOs latest A Policy on Geometric Design of Highways and Streets. Intersection sight distance at a driveway allows the drivers of approaching vehicles a sufficient view of the highway to decide when to enter the intersection to avoid collisions. Use of signals, turn restrictions, and/or acceleration lanes can mitigate nonconforming intersection sight distance. Lower sight distance values may be used if the Regional Traffic Engineer determines that they will not significantly degrade traffic safety and operations and there is no reasonable alternative.

11/24/03

5A.4.2.1

5A-14 5A.4.2.2

DRIVEWAY DESIGN POLICY Stopping Sight Distance

Driveways should be located where the stopping sight distance meets or exceeds the values in AASHTOs latest A Policy on Geometric Design of Highways and Streets. Where the stopping sight distance is nonstandard, consider turn restrictions and/or speed change lanes (i.e., acceleration and deceleration lanes) as mitigation, and, if practical, locate the driveway for optimal sight distance.

5A.4.3

Median Openings on State Highways

Avoid median openings on divided highways for left turns to and from residential or commercial driveways. Existing median openings may be closed by the Department if it best serves the safety and operation of the State highway. The Department may, at its discretion, permit median openings to serve major commercial driveways if justified by a traffic engineering study. New median openings must be designed to mitigate operational and safety impacts. Refer to NYSDOT Highway Design Manual Sections 3.2.8.2, 3.2.8.3, and 5.10.6 for guidance on median treatments.

5A.4.4

Driveway Profile

5A.4.4.1

Profile Within Highway Edge of Pavement

All driveways shall be constructed to slope away from the edge of the travel lane at the same slope as the highway shoulder which normally varies in slope from 2% to 6% (0.25 in/ft to 0.75 in/ft).

5A.4.4.2

Profile Beyond Highway Edge of Pavement

The profile beyond the highway edge of pavement is controlled by the:

C C

Drainage needs, discussed in Section 5A.4.5. Maximum grades provided on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A2). Where special circumstances require steeper driveway grades, contact the NYSDOT Traffic Engineer for assistance in establishing a safe profile design. Minimum vertical curve to accommodate the design vehicle. Whenever the driveway grade changes, the profile should be rounded by connecting the two different grades with a smooth vertical curve. Abrupt changes in driveway grade near the highway may cause operational and safety problems. Driveway profiles should prevent vehicle undercarriage damage and facilitate entering and exiting maneuvers. Refer to NYSDOT Highway Design Manual Chapter 3 for a graphical method of checking the driveway profile for compatibility with passenger vehicles. Sidewalk requirements, if applicable.

5A.4.4.2

11/24/03

DRIVEWAY DESIGN POLICY 5A.4.5 Drainage

5A-15

A driveway shall not adversely affect the highway drainage or drainage of adjacent properties. Drainage and the stability of the highway subgrade shall not be impaired by driveway construction or roadside development. The drainage design of a construction project shall not be compromised by field adjustments to compensate for altered driveway location. In no case shall the construction of a driveway cause water to flow across the highway pavement, pond on the shoulders, or pond in the ditch.

5A.4.5.1

Highway Drainage Ditches and Driveway Culverts

Where construction of a driveway necessitates crossing a highway ditch, a culvert pipe of adequate capacity shall be installed in the ditch. The low point of the driveway profile shall be at or close to the centerline of the pipe to direct runoff (flowing from the highway and adjacent property) into the ditch. Driveway side slopes within the highway clear zone defined by the Department should be as flat as practical. Side slopes within the highway clear zone shall be:
C C

No steeper than 1 vertical on 6 horizontal for driveways on highways with operating speeds or design speeds of 80 km/h (50 mph) or greater. No steeper than 1 vertical on 3 horizontal for driveways on highways with operating speeds or design speeds of less than 80 km/h (50 mph).

Where there is a drainage ditch along the frontage, delineation (e.g., pavement markings, delineators, signs, curbing) should be provided to guide motorists to the driveway and away from the ditch. Culvert pipe shall:
C C C C

Be adequate to carry the anticipated flow in the ditch per NYSDOT Highway Design Manual Chapter 8. Not be smaller than 375 mm (15 in) inside diameter, except in extreme conditions where the Department may approve a pipe with a 300 mm (12 in) inside diameter. Have structural material and gauge adequate to withstand the load from anticipated vehicular traffic across the driveway. Have tapered or flared pipe end sections, instead of head walls, within the highway clear zone defined by the Department. Pipe end sections shall meet current Department design policy in NYSDOT Engineering Instructions, Engineering Bulletins, and Highway Design Manual Chapter 10. Have a length determined as the sum of the width of the driveway and any driveway median measured along the ditch center line and the length needed to accommodate the side slope from the driveway surface to the top of the pipe.

11/24/03

5A.4.5.1

5A-16 5A.4.5.2 Curbing

DRIVEWAY DESIGN POLICY

Existing curbing may be saw cut to provide a driveway opening conforming to NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5). Where drainage is carried along the curb, the driveway profile should be constructed with a short upgrade beyond the highway edge of pavement to prevent highway runoff from spilling onto private property. Where a short upgrade is not practical for residential and minor commercial driveways, a dropped curb, as shown on NYSDOT Driveway Standard Sheet M608-7 (Figure 5A-3), should be considered to divert a portion of the runoff being carried along the curb. Grate inlets and slotted inlets (pipe interceptor drains) to a stormwater system may also be considered. Where an existing curb opening is no longer needed for access, new curbing, matching the adjacent curbing, should be installed.

5A.4.5.3

Drainage for Driveways With Nonconforming Profiles

Driveways with a continuous down grade from the highway may channel stormwater runoff from the highway onto private lands. Where profile adjustments are not practical, consideration should be given to providing gutter sections with grate inlets or slotted inlets (pipe interceptor drains) to a stormwater system. Driveways with a continuous down grade to the highway may channel stormwater runoff from the private lands onto the highway. Where profile adjustments are not practical, consideration should be given to grate inlets or slotted inlets (pipe interceptor drains) to a stormwater system. A pipe with a top opening is impractical in dirt or gravel driveways or where debris may clog the opening or the pipe.

5A.4.5.4

Highway Work Permits

This section does not apply to Department projects. Highway work permits for entrances to State Highways are subject to the following conditions and limitations. Ditches, gutters, and/or pipes on private property shall not drain into the highway drainage system unless expressly approved by the Department. Under no circumstances shall existing highway ditches or gutters be filled by the permittee without adequate provision for alternate drainage. The Department may require the permittee to submit a drainage study, signed by a New York State Licensed Professional Engineer, justifying the drainage system proposed and pipe sizes used. A drainage study is normally required for commercial and subdivision driveways, especially for developments with large parking areas. Drainage studies requirements are discussed in NYSDOTs Highway Design Manual Chapter 8, Section 8.9.

5A.4.5.4

11/24/03

DRIVEWAY DESIGN POLICY 5A.4.6 Sidewalks, Walkways and Stairways

5A-17

All sidewalks, walkways, and stairways shall be constructed consistent with NYSDOT Highway Design Manual Chapter 18. Whenever a sidewalk or other pedestrian facility that intended to be used by the public is constructed, altered, added to, or restored, access for persons with disabilities shall be provided in accordance with the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities. Sidewalk Requirements: Sidewalk cross slope shall not exceed 2% (0.25 in/ft). Sidewalk grade shall not exceed the grade of the adjacent parallel highway. Ramped sidewalk sections across the driveway opening shall not be steeper than 8.3% (1 in/ft), unless it is technically infeasible due to terrain or other site constraints. Where sidewalks are provided to serve the public, curb ramps with detectable warnings shall be provided where pedestrian access routes cross curbs. Refer to the NYSDOT Standard Sheets for sidewalk curb ramp and detectable warning details.

Sidewalk Guidelines:
C

Where a sidewalk is located close to the curbline and the driveway opening is a tapertype (see NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-3 )) or the curb drops at the sidewalk, the sidewalk should be warped to conform to the driveway profile provided the sidewalk will meet the above requirements. This may depress one or both edges of the sidewalk across the driveway. It may be necessary to discontinue the sidewalk across the driveway and construct a curb with curb ramps along each driveway edge or to provide convenient alternative access for persons with disabilities. In urban areas, it is aesthetically desirable for the sidewalk to have a profile that is as consistent as practicable.

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5A.4.6

5A-18 5A.5

DRIVEWAY DESIGN POLICY RESIDENTIAL DRIVEWAYS AND FIELD ENTRANCES

Residential driveways and field entrances are defined in Section 5A.10 of this policy. They should be designed to permit access without unduly affecting traffic on the highway. Home business driveways and small subdivision driveways can, at the discretion of the Department and based on site specific conditions, be designed as either residential or minor commercial driveways, but should be wide enough to permit two-way traffic. Larger subdivision driveways may require a design typical of a major commercial driveway or an intersection. For Department projects, refer to Section 5A.9 of this policy for instructions on the preparation of the Driveway Table and its use with NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5). For highway work permits, complete the PERM 33 and the Residential Driveway Form included at the end of this policy.

5A.5

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DRIVEWAY DESIGN POLICY 5A.6 MINOR COMMERCIAL DRIVEWAYS

5A-19

Minor commercial driveways are defined in Section 5A.10 of this policy. They should be designed to permit access without unduly affecting traffic on the highway. Refer to Section 5A.9 of this policy for instructions on preparing the Driveway Table and its use with NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5). Minor commercial driveways that will routinely need to accommodate vehicles larger than AASHTOs Single Unit (SU) design vehicle are to be designed as major commercial driveways in accordance with Section 5A.7 of this policy. Examples include marinas, recreational areas, mobile home sales, modular home sales, and truck stops that do not meet the traffic volume of a major commercial driveway. In these cases, the Department may waive the Traffic Impact Study requirements in Section 5A.7.5. Where the oversized vehicle enters only occasionally, the driveway may be considered a minor commercial driveway provided the area that will need to accommodate the larger vehicle is either: Stabilized using gravel, stone, or other suitable material for uncurbed driveways or, A 100 mm (4 in) mountable or traversable curb is used and backed with asphalt concrete for curbed driveways.

5A.6.1

Access Control

Frontage of all commercial properties shall be controlled by positive means such as curbing or ditches which limits access to designated driveways. The purpose of the access control is to direct entering and exiting vehicles into a well-defined flow pattern and separate traffic movements on the private property from the highway traffic. This will provide maximum safety for motorists and minimize interference between traffic on the highway and on the property. Refer to Figure 5A-1 (at the back of this policy) for specific requirements and guidance.

5A.6.1.1

Driveway Configuration

The selected driveway configuration should minimize impact to the State highway. Intersection channelization islands may be used to separate entering from exiting traffic or to separate turning movements at driveway exits. Channelization islands are a portion of the intersection area (delineated using pavement markings, curbing, turf, or plantings) to physically delineate traffic movements. They shall be designed in accordance with NYSDOT Highway Design Manual Chapter 5, Section 5.9.4. Minor commercial driveways may also use:
C C C C

Two-way drives. Two-way drives separated by an driveway island. One-way drives separated by an driveway island. One-way drives separated by a driveway median. 5A.6.1.1

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5A-20

DRIVEWAY DESIGN POLICY

Driveway islands and medians are the areas between separated driveways to the same property.
C

A driveway island is a raised area for separating multiple entrances or to place entering and exiting traffic at separate locations. Driveway islands also separate highway traffic from the activity on private property. Driveway islands have a minimum width (measured along the edge of highway) of 9 m (30 ft). They allow the separated entrances and/or exits to be treated as separate intersections with respect to traffic control. A driveway median is a narrow raised or physically separated area between the driveway entrance and exit to separate entering and exiting vehicles. Driveway medians are 1.2 m (4 ft) to 4.9 m (16 ft) wide. Driveway median widths between 4.9 m (16 ft) and 9 m (30 ft) should be avoided as they can confuse motorists when traffic control devices are used. The raised or physically separated areas normally extend the length of the driveway throat (defined below), minus any distance needed for the turning path of the design vehicle.

For one way roadways and highways with a raised or depressed median, mid-block driveways should be designed to accommodate rights in and rights out only. A raised channelization island or driveway median may be preferred in a two-way driveway opening to discourage wrong-way movements. For highways without a raised median, a single two-way drive is preferred in most cases since oneway drives may be driven the wrong way and driveway medians may be hit by errant vehicles. If two commercial driveways or driveway halves to the same property are constructed with less than 23 m (75 ft) between adjacent driveway openings, the entire shoulder area between the driveways shall be replaced with adequate traffic bearing material and, if operating speeds or the design speed on the highway is below 80 km/h (50 mph), the entire area between driveways shall be curbed (with drainage openings as necessary).

5A.6.1.2

Driveway Throat

The driveway throat is an access controlled portion of the driveway entrance that helps delineate the driveway and provides space to store entering and exiting vehicles. The access control between the parking areas and the edge of the driveway throat should be achieved using curbing, wide turfed areas, shrubs, median barrier, or other physical means (i.e., pavement markings and signs are not enough). The length selected for a particular driveway (measured along the driveway centerline) should be based on the operational, safety, and construction costs. The entrance should allow all entering traffic to pull off the highway before stopping. The exit throat length should prevent exiting vehicles from obstructing entering traffic, which could cause entering traffic to queue back onto the highway. The driveway throat should extend beyond the highway right of way line, if necessary.

5A.6.1.2

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DRIVEWAY DESIGN POLICY 5A.6.1.3 Clearances And Use of State Property

5A-21

In rural and suburban areas, a minimum of 4.6 m (15 ft) should be provided between the right of way line and the near edge of a building, structure, or appurtenance serving vehicular traffic, exclusive of overhead appurtenances such as luminaires or canopies over gas pumps. This offset shall be sufficient to preclude the servicing and parking of vehicles on State property. For sites where the property owner has been using State owned right of way for parking or other purposes, imposing standard driveway controls may create an economic hardship. In such cases, the property owner may be required to obtain a Permit for Use of State Owned Property from the Regional Real Estate Officer in accordance with the Department Manual of Administrative Procedure 7.12-2 and the Real Estate Division directives.

5A.6.2

Constrained Areas

The radii and taper-type minor commercial driveway designs in NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5) were determined using AutoTurn software. The software modeled the sharpest possible turning path of a Single Unit Truck turning to and from the minor commercial driveway. On Department projects when the driveway opening cannot be reasonably modified to meet the requirements in the NYSDOT Driveway Standard Sheets, the driveway shall be individually designed. The proposed design shall be checked using the turning path of the design vehicle. If the design vehicle cannot be accommodated without encroachment, the driveway should be documented as a nonconforming feature with an explanation in the project files. In urban areas, a minimum offset of 1.2 m (4 ft) shall be provided from the shoulder or sidewalk to parking areas to prevent parked cars from overhanging into the shoulder or sidewalk. The Department may allow a single line of curb or barrier to be used only in constrained locations where a 1.2 m (4 ft) or more width cannot be installed and where it will not be a roadside hazard.

5A.6.3

Highway Work Permits

This section only applies to highway work permits. Refer to Form PERM 33 for the Highway Work Permit Application at the end of this policy. In addition, minor commercial driveway permit applications are to be accompanied by a completed Driveway Table and a plan as specified in Section 5A.6.3.1 of this policy. All plans or drawings submitted by the applicant shall be prepared, signed and/or stamped by a New York State licensed design professional (Engineer, Architect, Landscape Architect, or Land Surveyor).

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5A.6.3

5A-22 5A.6.3.1 Plan Details

DRIVEWAY DESIGN POLICY

The plans shall include the following. (Plans for many minor commercial developments, as well as all major commercial developments require this information for the Department to render a proper review.)
C C

C C

North directional arrow. Location and dimensions of existing highway pavement, curbs, guide rail, medians, sidewalk, stairways, bike paths, bike lanes, bus stops, utilities, traffic signs (include the sign text), signals, pavement markings, and right of way and property lines. Existing and proposed buildings and appurtenances. Design features to be incorporated in proposed construction or reconstruction: < Edge of driveway < Driveway grades or profile view of driveway. < Location of proposed median openings and guide rail. < Dimensions of roadside islands and driveway medians. < Dimensions and elevations of curbs and sidewalks relative to the pavement edge. < Location of authorized traffic signs, pavement markings, and proposed advertisement signs. < Locations of walkways and stairways. Existing and proposed drainage features and a report addressing their impacts: < Size, type, and grade of driveway culverts. < Highway drainage structures. < Direction of surface water flow on applicant's property. Distance from each existing and proposed driveway on the site to: < The nearest side road in each direction if within 300 m (1000 ft). < Nearest driveway on adjacent properties. < Streets, roads, or driveways opposite the site. < Adjacent property lines. < Beginning and ending reference markers. Provisions for maintaining safe traffic flow, pedestrian access and work site safety during construction and any work or work space restrictions required by the Department to minimize traffic impacts during peak traffic flow periods. The Department will recommend lane closing restrictions. Nighttime lane closures require our prior approval. Traffic signal plans must be shown on a separate sheet including pavement markings, turn lanes, driveways, sidewalks and pedestrian ramps, crosswalks, buildings, poles, power supply, pullboxes, conduit, controller, head layout including face numbering, detection, right-of-way lines and signing. All work must be referenced to the latest edition of the NYSDOT Standard Specifications Construction and Materials. The plans must show existing features, such as drainage and utilities, which may conflict with the proposed signal. Tables of Operations, Clearances, Switchpacks, Input Wiring and Loop Wiring must be included along with a Phasing Diagram and Estimate of Quantities.

5A.6.3.1

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DRIVEWAY DESIGN POLICY

5A-23

The Department may require additional information (e.g., cross sections) as site-specific conditions warrant. An aerial photograph of the site is desirable. The NYSDOT Highway Design Manual Chapter 21 and the NYSDOT CADD Standards and Procedure Manual may be used as a guide for the development of plan sheets. Upon completion, the Department will normally require as-built drawings for archival purposes.

5A.6.3.2 Plan Units The Department uses the metric system of measurement. While the Department may, at its discretion, continue to accept U.S. Customary units, it may require metric design, especially where changes to the State highway necessitate revisions to the Departments record plans. Applicants should contact the Department early to determine the system of units to be issued. AASHTOs latest A Policy on Geometric Design of Highways and Streets contains U.S. Customary and metric units. The NYSDOT Highway Design Manual is metric only with the exception of Chapter 4, which has both metric and U.S. Customary units. The NYSDOT Standard Sheets and the NYSDOT Standard Specifications for Construction and Materials are metric only. The Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities contains U.S. Customary and metric units.

11/24/03

5A.6.3.2

5A-24 5A.7

DRIVEWAY DESIGN POLICY MAJOR COMMERCIAL DRIVEWAYS

Major commercial driveways are defined in Section 5A.10 of this policy. Major commercial driveways and highway improvements should be designed to accommodate expected directional traffic volumes and the type of vehicles expected to use them. The resulting design could range from one typical of a minor commercial driveway to one based on high-type intersection design principles. The Department may allow major commercial driveways to use the radii Type 1 or Type 2 minor commercial driveway details shown in NYSDOT Driveway Standard Sheet M608-7 (Figure 5A-3). Taper-type driveways are not to be used. Entering speed, volume, pavement thickness, and design vehicle must be considered since the minor commercial driveway designs are intended for moderate volumes and AASHTO Single-Unit (SU) design vehicles. Major commercial drives that will use the Type 1 or Type 2 driveway details are to be tabulated in the Driveway Table in accordance with Section 5A.9 of this policy and may employ minor commercial driveway design details shown in NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5). Other major commercial drives are to be tabulated separately, and detailed individually in the plans similar to a highway intersection with a cross street. The following sections are to be followed in addition to, or as an exception to, the requirements in Sections 5A.4 and 5A.6 of this policy and NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5).

5A.7.1

Traffic

The driveway and any other required highway improvements shall be designed in accordance with the intersection design guidance in NYSDOT Highway Design Manual Chapter 5 and AASHTOs latest A Policy on Geometric Design of Highways and Streets.

5A.7.1.1

Design Vehicle

The design vehicle shall be selected in accordance with NYSDOT Highway Design Manual Chapter 5 and AASHTOs A Policy on Geometric Design of Highways and Streets. The design vehicle should represent the largest type of vehicle expected to routinely use the driveway and is subject to Department approval. Industrial and commercial driveways used by large trucks should have adequate width, radii and pavement thickness to accommodate the appropriate design vehicle. The Department may require driveways on designated qualifying or access highways or within 1.6 km (1 mi) of a qualifying highway to be designed to accommodate the AASHTO WB-20 (WB-67 U.S. Customary) design vehicle, if such vehicles are expected to use the driveway. The Department may require reconstruction of affected highways, interchanges and/or intersections, if the development will generate larger vehicles than the affected highway system is designed for. 5A.7.1.1 11/24/03

DRIVEWAY DESIGN POLICY

5A-25

5A.7.1.2

Level of Service

Major commercial driveway widths shall provide adequate capacity and design vehicle turning paths that do not interfere with other traffic movements. Multiple lane exits and entrances may be required to maintain the highway level of service. The level of service should be determined in accordance with NYSDOT Highway Design Manual Section 5.2.

5A.7.2

Layout

The driveway design should prevent the need for undue deceleration in a travel lane and preclude turning vehicle encroachment on adjacent highway and driveway travel lanes by the largest vehicle expected to routinely use the driveway. The minor commercial driveway layouts in NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5) were developed to accommodate an AASHTO Single-Unit Truck and should not be used for larger design vehicles. Large vehicles and/or high speeds should not be accommodated by using driveway widths in excess of those permitted by Table 1 on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2). The three-centered curves in AASHTOs latest A Policy on Geometric Design of Highways and Streets can accommodate large vehicle turning paths while minimizing driveway openings. An exception to the widths in Table 1 on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2) may be granted by the Department for special cases (e.g., when a wider drive is required for a fire department entrance or for oversized vehicles).

5A.7.3

Corner Angle

The corner angle between the driveway centerline and the highway travel lane edge is determined by terrain, safety, and operational requirements. The corner angle shall be between 60 and 120. A corner angle of 90 should be used for two-way drives. Acute angle turns require significant reductions in travel speed and pose difficulties for trucks. Since flatter angles tend to encourage higher operating speeds, consider perpendicular driveways where pedestrian traffic is a concern. A corner angle between 60 and 120 is permissible for one-way drives. Angled or one-way driveways may be considered where access is limited to right turns in and out. Consider angles flatter than 90 to facilitate the entrance of substantial truck traffic into through traffic on the highway.

11/24/03

5A.7.3

5A-26 5A.7.4 Material

DRIVEWAY DESIGN POLICY

All major commercial driveways shall have a paved surface extending from the edge of the travel lane to the highway right of way line or for 3 m (10 ft), whichever is greater. The material and thickness of commercial driveways within the highway right of way shall be designed to provide adequate support for the volume and character of traffic using the driveway. The existing highway shoulder material shall be removed, if required by the Department, and the shoulder area paved with adequate driveway material, if determined necessary by the Department. In the nontraffic bearing areas of commercial entrances, use of loose stone such as pea gravel as a mulch or for decorative effect shall not be allowed without a suitable binder. The material information shall be shown on the plans or drawing accompanying the permit application and shall be subject to review and approval by the Department. Under no circumstances may the material thickness be less than that provided for a similar minor commercial driveway using Table 3 on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2).

5A.7.5

Highway Work Permits

This section only applies to highway work permits only. Refer to the attached PERM 33 for the Highway Work Permit Application at the end of this policy. In addition, major commercial driveway permit applications are to be accompanied by a 1:250 (1 in = 20 ft) or 1:500 (1 in = 40 ft) scale (as specified by the Department) plans or drawings indicating the items in Section 5A.6.2.1 of this policy and: The driveway width, pavement type, and thickness. Radii of driveway returns and other points of curvature.

The Traffic Impact Study (TIS) shall include details of internal vehicular, transit and pedestrian traffic circulation, parking, traffic control devices, actual and estimated traffic volumes, and any proposed additional pavement lanes or widening on the highway. As a modification to the requirements in Section 5A.6.2, the plans and TIS shall be prepared by a New York State Licensed Professional Engineer. Additionally, the Department may require a ledger size paper plan labeled as a revised sheet to be included with the Departments record plans.

5A.7.5

11/24/03

DRIVEWAY DESIGN POLICY 5A.8 STREETS AND HIGHWAYS OFF THE STATE HIGHWAY SYSTEM

5A-27

Streets and highways off the State highway system include:

C C C C C

City and village streets. Town and county highways. Private access roads. Subdivision roads (defined in Section 5A.10 of this policy). Roads owned by other State agencies and authorities.

Entrances to State highways classified by the Department as nonfreeways from streets and highways off the State highway system, shall:
C

Be designed in accordance with the intersection design guidance in NYSDOT Highway Design Manual Chapter 5 and AASHTOs latest A Policy on Geometric Design of Highways and Streets. Otherwise be considered as major commercial driveways per this policy, unless otherwise directed by the Department.

All entrances to State highways classified by the Department as freeways shall:

C

C C

Be designed in accordance with the intersection design guidance in NYSDOT Highway Design Manual Chapter 6 and AASHTOs latest A Policy on Geometric Design of Highways and Streets. Follow the procedures and requirements in NYSDOT Design Procedure Manual Appendix L, Interstate and Other Freeway Access Modifications. Otherwise be considered as major commercial driveways per this policy, unless otherwise directed by the Department.

11/24/03

5A.8

5A-28 5A.9 DRIVEWAY TABLE

DRIVEWAY DESIGN POLICY

Several variables for each drive must be defined in order for the contractor to construct driveways in accordance with the NYSDOT Driveway Standard Sheets M608-6 though M608-9 (Figures 5A-2 through 5A-5). These include: 1. Location Mainline station of driveway centerline. For projects or permits without mainline stationing, include a reference (e.g., a number) to the driveway, which shall be located to the nearest 0.3 m (1 ft) on a separate plan sheet. Side Left or Right along the stationing. Use north, south, east or west as appropriate for nonstationed projects. Existing Material (Asphalt Concrete, Portland Cement Concrete, Crushed Stone, Gravel, Dirt, or Grass) The existing material is used by NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2), Table 3 Driveway Treatment: Materials & Thickness, to define the materials and thickness to be used within the pavement length (PL) and any transition length (TL), as required. Standard thicknesses are listed for both asphalt concrete and Portland cement concrete drives. If a commercial driveway requires a different thickness, the driveway should be designed as a Special Type SX as defined in item 9 of this section. The asphalt concrete layer composition is determined by the contractor in accordance with Table 608-1 of the NYSDOT Standard Specifications for Construction and Materials. Note: The NYSDOT Driveway Standard Sheets assume the apron (area between the sidewalk and curb on Type 3 and 4 driveways) will be paved with the same material type as the driveway. In certain situations the designer may prefer to pave all aprons with the same material regardless of the driveway material. For example, a village or city may request all aprons be concrete for aesthetic purposes. In these situations an appropriate note should be added to the Driveway Table. 4. Class (Residential (R) or Minor Commercial (MC)) Refer to definition in Section 5A.10 of this policy. Width (W) The width (W) is defined as the proposed driveway width beyond the taper or radius entrance. This will usually be the existing width or a revised width if the existing drive does not conform to the widths in NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2), Table 1 and an exception is appropriate (e.g., when a wider drive is required for a fire department entrance).

2.

3.

5.

5A.9

11/24/03

DRIVEWAY DESIGN POLICY 6.

5A-29

Corner Angle (2IN ) The corner angle is the angle between the roadway and driveway as if turning from the roadway onto the driveway. Ninety degree entrances are desirable for two-way drives. Corner angles of 60O to 120O may be desirable for one-way commercial drives to reduce the driveway opening width. Refer to acceptable corner angle in NYSDOT Driveway Standard Sheet M608-7 (Figure 5A-3), Table 4. Taper-type driveways should not be used for minor commercial driveways skewed more than 10O (2IN less than 80O or more than 100O ) since the taper-type driveways require more pavement than radii type driveways and the additional pavement increases with the skew and width of the driveway opening. The corner angle can be used to determine the YIN dimension and the YOUT dimension of the driveway to determine the overall curb opening limits using NYSDOT Driveway Standard Sheet M608-9 (Figure 5A-5).

7.

Pavement Length (PL) Refer to the definition on Standard Sheet M608-6 (Figure 5A-2). Any appropriate paving limit, meeting the minimum pavement length (MPL) requirements on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2) can be specified in the driveway table. The material and thickness are defined in Table 3, Driveway Materials and Thickness on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2). Transition Length (TL) Refer to the definition on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2). The material and thickness are defined in Table 3, Driveway Materials and Thickness on NYSDOT Driveway Standard Sheet M608-6 (Figure 5A-2). If no transition is anticipated, the pavement length (PL) is assumed to be at a point where the existing driveway width and elevation can be matched and the TL in the driveway table should be left blank. If a transition length is anticipated, but exact limits cannot be determined in the design stage (i.e., limited survey data available), fill in the table with A.D.B.E (As Determined By Engineer). (Note: It is preferable to define the TL in the plans; use of A.D.B.E. should be avoided if possible). Entrance Type NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5) provide details for four of the most common entrance types. If only a minor modification of the standard type is required, a note similar to one of the following should be provided on the Driveway Table. "The drive at Sta. 3+231 Lt. shall be constructed in accordance with a Type 1 drive as shown in Figure 5A-3 of the NYSDOT Policy and Standards for Design of Entrances to State Highways, except the driveway thickness shall be 200 mm of asphalt concrete." "The drive at Sta. 3+231 Lt. shall be constructed in accordance with a Type 1 drive as shown on NYSDOT Driveway Standard Sheet M608-7, or latest revision, except the driveway thickness shall be 200 mm of asphalt concrete."

8.

9.

11/24/03

5A.9

5A-30

DRIVEWAY DESIGN POLICY Minor modifications are changes that can be conveyed by notes but do not require a special detail in the plans. Major commercial and other driveways for which the NYSDOT Driveway Standard Sheets will not be used shall be detailed in the plans and labeled as a special drive, Type SX, where X is the detail number (i.e., S1, S2, etc.). The special type driveway details should either be site-specific with all required dimensions, or use similar dimension labels as NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5) and the Driveway Table.

10.

Comments Include additional design information, such as: curb reveal, one-way entrance, and multilane entrance. Pay Items The Driveway Table also includes a table indicating all separate pay items called out in the NYSDOT Driveway Standard Sheets M608-6 through M608-9 (Figures 5A-2 through 5A-5). The designer must fill in the project-specific Item numbers. Space has been left to add additional project specific driveway items as necessary.

11.

5A.9

11/24/03

DRIVEWAY DESIGN POLICY 5A.10 GLOSSARY OF TERMS

5A-31

Refer to Figure 5A-2 for additional definitions. AASHTO. The American Association of State Highway and Transportation Officials. Capacity. The maximum hourly rate at which persons or vehicles can reasonably be expected to traverse a point or uniform section of a lane or roadway during a given time period under prevailing roadway, traffic, and control conditions. Refer to the most recent Highway Capacity Manual for more information. Channelization. An at-grade separation or regulation of conflicting traffic movements into defined travel paths by pavement marking, raised islands, or other suitable means to facilitate the safe and orderly movement of vehicles and pedestrians. Channelization Island. A portion of the intersection area (delineated using pavement markings, curbing, turf, or plantings) to physically delineate traffic movements. Commercial Driveway. A driveway serving a commercial establishment, industry, governmental or educational institution, private utility, hospital, church, apartment building, or other comparable traffic generator. Types of commercial driveway designs include: 1. Divided Commercial Driveway. A driveway incorporating a raised median or other physical barrier to separate entering traffic from exiting traffic. Undivided Commercial Driveway. A driveway with no physical barrier to separate entering traffic from exiting traffic.

2.

Department. The New York State Department of Transportation. Driveway. Every entrance or exit used by vehicular traffic to and from lands or buildings abutting a State highway. Driveway Island. A raised area for separating multiple entrances or to place entering and exiting traffic at separate locations. Driveway islands also separate highway traffic from the activity on private property. Driveway islands have a minimum width (measured along the edge of highway) of 9 m (30 ft). They allow the separated entrances and/or exits to be treated as separate intersections with respect to traffic control. Driveway Median. A narrow raised or physically separated area between the driveway entrance and exit to separate entering and exiting vehicles. Driveway medians are 1.2 m (4 ft) to 4.9 m (16 ft) wide. The raised or physically separated areas normally extend the length of the driveway throat (defined below), minus any distance needed for the turning path of the design vehicle. Refer to channelization islands for raised areas within the driveway intersection area to physically delineate traffic movements.

11/24/03

5A.10

5A-32

DRIVEWAY DESIGN POLICY

Driveway Throat. An access controlled portion of the driveway entrance that helps delineate the driveway and provides space to store entering and exiting vehicles. Driveway Work Release. A document (attached form HC 199) signed by the owner permitting the State to enter and alter a driveway to accommodate changes of the highway alignment, grade, or cross-section in accordance with Section 54-A of the Highway Law. Field Entrance. A driveway serving a farmyard, cultivated or uncultivated field, timberland, or undeveloped land not used for industrial, commercial, or residential purposes. Frontage. The distance along the highway edge of pavement in front of the owner's property, measured between lines perpendicular to the centerline of the roadway from each property corner. Highway Work Permit. A document specifying the authority and conditions under which an individual or organization may perform work within or adjacent to the State highway right of way. Home Business Driveway. A driveway serving any business which is part of a private residence which produces actual or anticipated traffic volumes on a typical day of 20 or fewer vehicles during the hour of highest driveway activity. Level of Service. A qualitative measure of operational characteristics within a traffic stream. Levels range from A, representing the best operating conditions, to F representing traffic breakdown. Refer to the most recent Highway Capacity Manual for more information. Major Commercial Driveway. Any commercial driveway where the actual or anticipated traffic volume on a typical day is either: 1. 100 or more one-way trips during the peak hour for either the adjacent roadway or the development. OR 50 or more one-way trips during the 8th highest hour of annual driveway activity.

2.

The traffic volumes may be determined by automatic recorders, the ITE Trip Generation Rates, or other method approved by the Regional Traffic Engineer. May. A permissive condition. No requirement for design or application is intended. Minor Commercial Driveway. Any commercial driveway where the actual or anticipated traffic volumes on a typical day are less than the values stipulated for a major commercial driveway. NYS MUTCD. Title 17, Volume B of the Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR) and is commonly referred to as the New York State Manual of Uniform Traffic Control Devices (NYS MUTCD). Municipal Streets and Highways. Streets and highways owned by a village, city, town, or county.

5A.9

11/24/03

DRIVEWAY DESIGN POLICY

5A-33

Permanent Easement. A permanent possession, by other than the landowner, of specified ownership rights to a parcel of land, usually to accommodate features that are supplementary to the highway such as drainage or slope grading. The State may acquire easements through the exercise of eminent domain. Permittee. A municipality, public utility company, public benefit corporation (such as Water Authority), private corporation, partnership, association, or individual in whose name the permit has been issued. Residential Driveway. A driveway serving four or fewer private homes or an apartment building for four or fewer family units. Right of Way Line. The boundary between private property and State highway lands. SEQR. The State Environmental Quality Review Act: Law and associated regulations governing environmental impact review of proposed actions as detailed in 6 NYCRR Part 617 of the New York Compilation of Codes, Rules and Regulations (NYCRR) and for Department actions, in 17 NYCRR Part 15. Shall. A mandatory stipulation based on statutory or regulatory requirements. Should. A recommended, but not mandatory condition. Sidewalk, Walkway. An exterior pathway with a prepared surface intended for pedestrian use. Sidewalks generally parallel a roadway and are usually intended for public use. Other walkways described in this policy are generall approaches to adjoining properties and may be intended for public or private use. Stairway. One or more flights of steps, including landings, that form a portion of a pedestrian walkway approaching lands or buildings abutting a State highway. Subdivision Road. A road, drive, or street laid out in a developed residential area by a contractor, builder, or company responsible for developing the area. This includes a new driveway serving more than four private homes or a multiple-unit dwelling containing more than four family units. Temporary Driveway. A driveway which provides interim access to a property until either closed or reconstructed by authority of the Department as a condition of further development of either the property or the corridor. Temporary Easement. A temporary possession, by other than the landowner, of specified ownership rights to a parcel of land, usually to accommodate the construction, but not maintenance or operation, of the facility. Traffic Impact Study. A study of existing traffic conditions, anticipated traffic conditions with and without the development and the traffic impacts of the development. The study should include proposed mitigation of impacts and resulting traffic conditions. 11/24/03 5A.10

5A-34 5A.11 1. REFERENCES

DRIVEWAY DESIGN POLICY

A Policy on Geometric Design of Highways and Streets, 2001. American Association of State Highway and Transportation Officials (AASHTO), 444 North Capital Street, N.W., Suite 249, Washington, D.C. 20001. Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities, December 1993. Landscape Architecture Bureau, Design Division, New York State Department of Transportation, 1220 Washington Ave., Albany, NY 12232. Best Practices in Arterial Management, November, 1996. Mobility Management Bureau, New York State Department of Transportation, 1220 Washington Ave., Albany, NY 12232. CADD Standards and Procedure Manual, Design Division, New York State Department of Transportation, 1220 Washington Ave., Albany, NY 12232. Guidelines for Driveway Location & Design, 1987. Institute of Transportation Engineers (ITE), 525 School Street, S.W., Suite 410, Washington, DC 20024-2729. Highway Capacity Manual, 2000. Transportation Research Board, National Research Council, 2101 Constitution Ave., N.W., Washington, DC 20418. Highway Design Manual. Design Division, New York State Department of Transportation, 1220 Washington Ave., Albany, NY 12232. Manual of Administrative Procedures. New York State Department of Transportation, 1220 Washington Ave., Albany, NY 12232. Title 17, Volume B of the Compilation of Codes, Rules and Regulations of the State of New York (NYCRR), a.k.a. New York State Manual of Uniform Traffic Control Devices, West Group, 620 Opperman Drive, PO Box 64833, St. Paul, MN 55164-9752. Public-Private Financing of Roadway Improvements Handbook. Planning & Strategy Group, New York State Department of Transportation, 1220 Washington Ave., Albany, NY 12232. Standard Specifications for Construction and Materials. Design Division, New York State Department of Transportation, 1220 Washington Ave., Albany, NY 12232.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

5A.10

11/24/03

DRIVEWAY DESIGN POLICY

HC 199 (8/73) NEW YORK STATE DEPARTMENT OF TRANSPORTATION

5A-35

REQUEST FOR REESTABLISHMENT OF APPROACHES TO PRIVATE LANDS (Section 54-A Highway Law) Region #__________ State Highway # _____________ Contract # ________________ County _________________________________

Town ______________________________

The undersigned owner of private lands located on the ______________ side of station _______________ and the ____________ side of station _____________

and being further identified as ______________________________________________ hereby requests that the Department of Transportation cause the reestablishment of the entrance, approach or driveway on said lands to be adjusted to any new highway grade made necessary by the construction or reconstruction of ________ _______________________________________________ State Highway No. ____________ in accordance with Section 54-A of the Highway Law of the State of New York, which provides as follows: 54-A. Reestablishment of approaches to private lands

In the construction and reconstruction of any highway on the states system where a substantial change in the existing grade of the highway is made, such change making necessary the reestablishment of an existing entrance or approach to private lands, the commissioner of transportation may, upon the request of the abutting property owner affected, cause the reestablishment of the entrance, approach or driveway to be adjusted to the new highway grade and the cost thereof shall be a state charge payable from any money available for the construction or reconstruction of state highways. In such adjustment the details of the work shall be as determined by the commissioner of trans-portation. The state shall not be liable for the maintenance of such adjusted and reestablished approaches or driveways beyond the outside edge of the road shoulder nor shall it be liable for damages in connection therewith after the completion of such adjustment work. In Presence Of: Dated:_________________ ____________________L.S. ____________________L.S. ____________________L.S.

____________________________________ ____________________________________

11/24/03

Ref. 5A.2.2.2

5A-36

DRIVEWAY DESIGN POLICY

This Page Intentionally Left Blank.

Ref. 5A.2.2.2

11/24/03

https://www.dot.ny.gov/regional-offices

https://www.dot.ny.gov

SECTION III LENGTH OF SAG VERTICAL CURVES BASED ON MINIMUM HEADLIGHT SIGHT DISTANCE

Computations are based on the following formulae: S<L S>L L = 2S - [(120 + 3.5S) A] L = (AS) (120 + 3.5S)

Based on headlight height of 600 mm and a 1 upward divergence of the light beam from the longitudinal axis of the vehicle L = Length of Vertical Curve, m S = Headlight Sight Distance, m A = Algebraic Difference in Grade, % The minimum length of sag vertical curves should be the greater of: 1. The length needed to provide the headlight sight distance. 2. The length needed to provide adequate riding comfort. (See section V) 3. The length needed to provide adequate drainage. 4. Six-tenths of the design speed.

Note:

SECTION III

PAGE 18

LENGTH OF SAG VERTICAL CURVES BASED ON MINIMUM HEADLIGHT SIGHT DISTANCE

LENGTHS IN METERS

DIFF. IN PERCENT OF GRADE 50 km/h 65 m 0 0 0 0 0 0 0 2 6 11 15 18 22 25 28 31 34 37 39 41 44 46 48 50 52 53 55 57 76 78 80 82 71 73 69 66 89 92 94 97 100 102 105 106 63 86 61 82 58 79 105 109 113 117 120 124 127 130 132 135 138 55 75 101 51 71 96 48 67 91 120 126 132 137 142 146 150 155 159 162 166 169 173 177 44 63 86 114 40 58 81 108 36 53 75 101 31 48 69 94 115 123 131 138 145 151 157 163 169 174 179 183 187 192 196 201 205 210 27 42 62 86 106 16 21 30 36 48 55 69 78 86 96 111 123 134 144 153 162 171 179 186 193 200 206 212 218 223 228 234 239 245 250 256 10 23 39 59 75 98 0 3 7 15 21 30 37 48 51 63 70 84 0 0 10 25 37 54 68 86 102 118 132 145 157 169 180 190 199 208 216 224 232 239 245 251 258 264 270 276 283 289 295 0 0 0 0 0 0 0 11 5 22 17 36 27 48 0 0 0 0 0 0 3 12 38 63 85 105 123 141 157 171 185 198 210 221 232 242 251 260 268 276 284 291 298 305 313 320 327 334 342 60 km/h 85 m 70 km/h 105 m 80 km/h 130 m 90 km/h 160 m 100 km/h 185 m 110 km/h 220 m 120 km/h 250 m 130 km/h 285 m 0 0 0 0 0 0 0 0 0 0 2 5 8 11 14 16 19 21 23 25 27 29 30 32 33 35 36 38

DESIGN SPEED & MINIMUM STOPPING SIGHT DISTANCE

30 km/h 35 m

40 km/h 50 m

DIFF. IN PERCENT OF GRADE 2.0 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 4.0 4.1 4.2 4.3 4.4 4.5 4.6 4.7 PAGE 19

2.0

2.1 2.2

0 0

2.3

2.4 2.5

0 0

2.6

2.7 2.8

0 0

2.9

3.0

3.1

3.2

3.3

3.4

3.5

3.6

3.7

3.8

3.9

4.0

10

4.1

11

4.2 4.3

13 14

4.4

15

4.5

17

4.6

18

4.7

19

SECTION III

LENGTH OF SAG VERTICAL CURVES BASED ON MINIMUM HEADLIGHT SIGHT DISTANCE

LENGTHS IN METERS

DIFF. IN PERCENT OF GRADE 50 km/h 65 m 58 60 61 62 64 65 66 67 68 69 71 72 73 74 75 77 78 79 80 81 83 84 85 86 88 89 90 91 125 126 128 130 121 123 119 118 154 156 158 161 163 165 167 170 116 152 114 149 112 147 191 194 197 200 203 206 209 212 215 217 220 111 145 188 109 142 185 107 140 182 233 237 241 245 248 252 256 260 264 267 271 275 279 282 106 138 179 230 104 136 176 226 102 133 173 222 100 131 170 218 259 263 268 272 276 281 285 290 294 299 303 308 312 317 321 326 330 334 99 129 168 215 254 95 97 124 127 162 165 207 211 245 250 299 305 310 315 321 326 332 337 343 348 353 359 364 370 375 381 386 392 397 402 408 93 122 159 203 241 294 90 92 118 120 153 156 196 200 232 236 283 288 88 115 150 192 227 277 320 327 333 339 345 352 358 364 371 377 383 389 396 402 408 415 421 427 433 440 446 452 459 465 471 85 87 111 113 144 147 184 188 219 223 266 272 308 314 84 109 141 181 214 261 302 349 356 363 371 378 385 392 400 407 414 422 429 436 443 451 458 465 472 480 487 494 502 509 516 523 531 538 545 60 km/h 85 m 70 km/h 105 m 80 km/h 130 m 90 km/h 160 m 100 km/h 185 m 110 km/h 220 m 120 km/h 250 m 130 km/h 285 m 39 40 41 43 44 45 46 47 48 49 50 50 51 52 53 53 54 55 56 57 58 58 59 60 61 62 63 64

DESIGN SPEED & MINIMUM STOPPING SIGHT DISTANCE

30 km/h 35 m

40 km/h 50 m

DIFF. IN PERCENT OF GRADE 4.8 4.9 5.0 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 6.0 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9 7.0 7.1 7.2 7.3 7.4 7.5 PAGE 20

4.8

20

4.9 5.0

21 22

5.1

23

5.2 5.3

24 25

5.4

26

5.5 5.6

26 27

5.7

28

5.8

29

5.9

29

6.0

30

6.1

31

6.2

31

6.3

32

6.4

33

6.5

33

6.6

34

6.7

34

6.8

35

6.9

35

7.0 7.1

35 36

7.2

36

7.3

37

7.4

37

7.5

38

SECTION III

LENGTH OF SAG VERTICAL CURVES BASED ON MINIMUM HEADLIGHT SIGHT DISTANCE

LENGTHS IN METERS

DIFF. IN PERCENT OF GRADE 50 km/h 65 m 92 94 95 96 97 98 100 101 102 103 105 106 107 108 109 111 112 113 114 116 117 118 119 120 122 123 124 125 173 175 177 178 170 171 168 166 217 219 222 224 226 228 231 233 164 215 163 213 161 210 273 276 279 282 285 288 291 294 297 300 303 159 208 270 157 206 267 156 204 265 339 343 346 350 354 358 361 365 369 373 376 380 384 388 154 201 262 335 152 199 259 331 151 197 256 328 149 194 253 324 383 388 392 397 401 406 410 415 419 424 428 433 437 441 446 450 455 459 147 192 250 320 379 144 145 188 190 244 247 312 316 370 375 451 457 462 468 473 479 484 489 495 500 506 511 517 522 528 533 538 544 549 555 560 142 185 241 309 366 446 138 140 181 183 235 238 301 305 357 361 435 440 137 179 232 297 352 430 496 503 509 515 521 528 534 540 546 553 559 565 572 578 584 590 597 603 609 616 622 628 634 641 647 133 135 174 176 226 229 290 294 343 348 419 424 484 490 132 172 223 286 339 413 477 552 560 567 574 581 589 596 603 611 618 625 632 640 647 654 661 669 676 683 691 698 705 712 720 727 734 741 749 60 km/h 85 m 70 km/h 105 m 80 km/h 130 m 90 km/h 160 m 100 km/h 185 m 110 km/h 220 m 120 km/h 250 m 130 km/h 285 m 64 65 66 67 68 69 69 70 71 72 73 74 75 75 76 77 78 79 80 81 81 82 83 84 85 86 86 87

DESIGN SPEED & MINIMUM STOPPING SIGHT DISTANCE

30 km/h 35 m

40 km/h 50 m

DIFF. IN PERCENT OF GRADE 7.6 7.7 7.8 7.9 8.0 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 9.0 9.1 9.2 9.3 9.4 9.5 9.6 9.7 9.8 9.9 10.0 10.1 10.2 10.3 PAGE 21

7.6

38

7.7 7.8

39 39

7.9

40

8.0 8.1

40 41

8.2

41

8.3 8.4

42 42

8.5

43

8.6

43

8.7

44

8.8

44

8.9

45

9.0

45

9.1

46

9.2

46

9.3

47

9.4

47

9.5

48

9.6

48

9.7

49

9.8 9.9

50 50

10.0

51

10.1

51

10.2

52

10.3

52

SECTION III

LENGTH OF SAG VERTICAL CURVES BASED ON MINIMUM HEADLIGHT SIGHT DISTANCE

LENGTHS IN METERS

DIFF. IN PERCENT OF GRADE 50 km/h 65 m 126 128 129 130 131 133 134 135 136 137 139 140 141 142 143 145 146 158 170 182 195 207 219 231 243 346 311 329 294 277 362 384 407 430 452 260 339 242 317 225 294 382 411 441 470 500 529 558 588 208 271 353 206 269 350 204 267 347 444 448 452 489 527 565 602 640 678 715 753 202 265 344 440 201 262 341 437 199 260 338 433 197 258 335 429 508 513 517 522 526 531 535 580 624 669 713 758 803 847 892 196 256 332 425 504 192 194 251 253 326 329 418 422 495 499 604 609 615 620 625 631 636 642 647 653 707 761 816 870 924 979 1033 1088 190 249 323 414 491 598 187 189 244 247 317 320 407 410 482 486 587 593 185 242 314 403 477 582 672 678 685 691 697 704 710 716 722 729 735 741 747 754 817 879 942 1005 1068 1131 1193 1256 182 183 237 240 309 312 395 399 468 473 571 576 660 666 180 235 306 392 464 566 653 756 763 770 778 785 792 800 807 814 821 829 836 843 850 858 865 872 945 1018 1090 1163 1236 1308 1381 1454 60 km/h 85 m 70 km/h 105 m 80 km/h 130 m 90 km/h 160 m 100 km/h 185 m 110 km/h 220 m 120 km/h 250 m 130 km/h 285 m 88 89 90 91 92 92 93 94 95 96 97 97 98 99 100 101 102 110 119 127 136 144 153 161 169

DESIGN SPEED & MINIMUM STOPPING SIGHT DISTANCE

30 km/h 35 m

40 km/h 50 m

DIFF. IN PERCENT OF GRADE 10.4 10.5 10.6 10.7 10.8 10.9 11.0 11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8 11.9 12.0 13.0 14.0 15.0 16.0 17.0 18.0 19.0 20.0

10.4

53

10.5 10.6

53 54

10.7

54

10.8 10.9

55 55

11.0

56

11.1 11.2

56 57

11.3

57

11.4

58

11.5

58

11.6

59

11.7

59

11.8

60

11.9

60

12.0

61

13.0

66

14.0

71

15.0

76

16.0

81

17.0

86

18.0 19.0

91 96

20.0

101

SECTION III

PAGE 22

APPENDIX 5C

July 30, 2010

APPENDIX 5C INTERSECTION SIGHT DISTANCE CHARTS Table A Length of Sight Triangle Leg - Case A - No Traffic Control

5C-1

Design speed Length of leg (km/h) (m) 20 20 30 25 40 35 50 45 60 55 70 65 80 75 90 90 100 105 110 120 120 135 130 150 Note: For approach grades greater than 3%, multiply the sight distance values in this table by the appropriate adjustment factor in Table G.

Table G Adjustment Factors for Sight Distance Based on Approach Grade

Approach grade 20 (%) -6 1.1 -5 1.0 -4 1.0 -3 to +3 1.0 +4 1.0 +5 1.0 +6 1.0 Note: Based on ratio terrain. Design speed (km/h) 30 40 50 60 70 80 1.1 1.1 1.1 1.1 1.1 1.2 1.0 1.1 1.1 1.1 1.1 1.1 1.0 1.0 1.1 1.1 1.1 1.1 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 0.9 0.9 0.9 1.0 1.0 0.9 0.9 0.9 0.9 1.0 0.9 0.9 0.9 0.9 0.9 of stopping sight distance on specified approach 90 1.2 1.1 1.1 1.0 0.9 0.9 0.9 grade to 100 110 120 130 1.2 1.2 1.2 1.2 1.1 1.2 1.2 1.2 1.1 1.1 1.1 1.1 1.0 1.0 1.0 1.0 0.9 0.9 0.9 0.9 0.9 0.9 0.9 0.9 0.9 0.9 0.9 0.9 stopping sight distance on level

6/25/04

5C-2

A P P E N D I X 5 C INTERSECTION SIGHT DISTANCE CHARTS

Table B1 Design Intersection Sight Distance (in meters) - Case B1 - Left Turn From Stop
Design speed (km/h) 20 30 40 50 60 70 80 90 100 110 120 130 Passenger Car Lanes Crossed 2 45 70 90 115 135 160 180 205 225 250 270 290 Single-Unit Truck Lanes Crossed 2 60 90 115 145 175 200 230 260 285 315 345 370 Combination Truck Lanes Crossed 1 2 3 65 70 75 100 105 110 130 140 145 160 170 180 195 205 220 225 240 255 260 275 290 290 310 325 320 340 360 355 375 395 385 410 435 420 445 470

1 45 65 85 105 130 150 170 190 210 230 255 275

3 50 75 100 120 145 170 190 215 240 265 285 310

1 55 80 110 135 160 185 215 240 265 295 320 345

3 65 95 125 155 185 215 245 275 305 335 365 395

Table B23

Design Intersection Sight Distance (in meters) - Case B2 - Right Turn From Stop and Case B3 - Crossing Maneuver
Passenger Car Case B2-- Lane Entered Case B3 Lanes Crossed 1 40 55 75 95 110 130 145 165 185 200 220 235 2 40 60 80 100 120 140 160 180 195 215 235 255 3 45 65 85 105 130 150 170 190 210 230 255 275 Single-Unit Truck Case B2-- Lane Entered Case B3 Lanes Crossed 1 50 75 95 120 145 170 190 215 240 260 285 310 2 55 80 105 130 155 180 205 235 260 285 310 335 3 60 85 115 140 170 195 225 250 280 305 335 360 Combination Truck Case B2-- Lane Entered Case B3 Lanes Crossed 1 60 90 120 150 180 205 235 265 295 325 355 380 2 65 95 125 160 190 220 250 285 315 345 375 405 3 75 110 145 180 220 255 290 325 360 395 435 470

Design speed (km/h) 20 30 40 50 60 70 80 90 100 110 120 130

07/30/10

APPENDIX5C5C3 INTERSECTIONSIGHTDISTANCECHARTS

TableC1ALengthofSightTriangleLegAlongMajorRoadCaseC1CrossingManeuveratYield ControlledIntersections
Majorroad designspeed (km/h) 20 30 40 50 60 70 80 90 100 110 120 130 Majorroad designspeed (km/h) 20 30 40 50 60 70 80 90 100 110 120 130 Majorroad designspeed (km/h) 20 30 40 50 60 70 80 90 100 110 120 130 20 40 60 80 100 120 140 160 180 200 220 240 260 3080 40 55 75 95 110 130 145 165 185 200 220 235 Passengercar Minorroaddesignspeed(km/h) 90 100 110 DesignValues(m) 40 40 45 60 60 65 80 80 85 95 100 105 115 120 125 135 140 145 155 160 165 175 180 190 190 200 210 210 220 230 230 240 250 250 260 270 Singleunittruck Minorroaddesignspeed(km/h) 90 100 110 DesignValues(m) 40 45 45 60 65 65 80 85 85 100 105 110 120 125 130 140 145 150 160 165 170 175 185 190 195 205 215 215 225 235 235 245 255 255 265 275 Combinationtruck Minorroaddesignspeed(km/h) 90 100 110 DesignValues(m) 45 45 50 70 70 70 90 90 95 110 115 120 135 135 140 155 160 165 180 180 185 200 205 210 220 225 235 245 250 255 265 270 280 285 295 305 120 45 65 90 110 130 150 175 195 215 240 260 280 130 45 70 90 115 135 160 180 205 225 245 270 290

20 50 70 95 115 140 160 185 205 230 250 275 295

3080 40 55 75 95 110 130 150 165 185 205 220 240

120 45 70 90 110 135 155 175 200 220 240 265 285

130 50 70 95 115 140 160 185 205 230 250 275 295

20 70 105 135 170 205 235 270 305 340 370 405 440

3080 50 70 95 115 140 160 185 205 230 250 275 300

120 50 75 95 120 145 165 190 215 240 260 285 310

130 50 75 100 125 150 175 195 220 245 270 295 320

Note:Forminorroadapproachgradesthatexceed3%,multiplythedesignvaluebytheappropriateadjustmentfactorfromTableG.

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5C4APPENDIX5C INTERSECTIONSIGHTDISTANCECHARTS

TableC1B
DesignSpeed (km/h) LengthofLeg

LengthofMinorRoadLeg(inmeters)CaseC1CrossingManeuversfromYield ControlledApproaches
20 20 30 30 40 40 50 55 60 65 70 80 80 100 90 115 100 135 110 155 120 180 130 205

(m) Notes:Valuesshownareforapassengercarcrossingatwolanehighwaywithnomedianandgrades3percentor less.Forminorroadapproachgradesthatexceed3percent,multiplythedistancebytheappropriateadjustment factorfromTableG.

TableC2 DesignIntersectionSightDistance(inmeters)CaseC2LeftorRightTurnatYield ControlledIntersections

Designspeed (km/h) PassengerCar LeftTurnLanesCrossed (RightTurnLaneEntered) 1 2 3 45 50 55 70 75 80 90 95 105 115 120 130 135 145 155 160 170 180 180 190 205 205 215 230 225 240 255 245 260 280 270 285 305 290 310 330 SingleUnitTruck LeftTurn LanesCrossed (RightTurnLaneEntered) 1 2 3 60 60 65 85 90 100 115 120 130 140 150 160 170 180 195 195 210 225 225 240 255 255 270 290 280 300 320 310 330 350 335 360 385 365 390 420 CombinationTruck LeftTurnLanesCrossed (RightTurnLaneEntered) 1 2 3 70 75 75 105 110 115 135 145 150 170 180 190 205 215 225 235 250 265 265 285 300 305 320 340 335 355 375 370 390 410 405 425 450 435 460 485

20 30 40 50 60 70 80 90 100 110 120 130

TableF DesignIntersectionSightDistance(inmeters)CaseFLeftTurnsatFromtheMajorRoad
Designspeed (km/h) 20 30 40 50 60 70 80 90 100 110 120 130 1 35 50 65 80 95 110 125 140 155 170 185 200 PassengerCar LanesCrossed 2 35 55 70 85 105 120 135 155 170 185 205 220 SingleUnitTruck LanesCrossed 1 2 3 40 45 45 55 65 70 75 85 90 95 105 110 110 125 135 130 145 155 145 165 180 165 185 200 185 205 220 200 225 245 220 245 265 235 265 290 CombinationTruck LanesCrossed 1 2 3 45 50 50 65 70 75 85 95 100 105 115 125 130 140 150 150 160 175 170 185 200 190 210 225 210 230 250 230 255 275 255 275 300 275 300 325

3 40 55 75 95 110 130 145 165 185 200 220 235

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1 2 3 4

HIGHWAY DESIGN MANUAL

Chapter 6 - Interchanges

Limited Revision

July 16, 2002

CHANGES TO CHAPTER 6

Pages Multiple

Change Rescind HDM Chapter 6 Interchanges, with the exception of Section 6.04.09 Control of Access and related figures.

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CHAPTER 6 INTERCHANGES Contents 6.1 6.2 Page

Introduction ................................................................................................................6-1 Control of Access .......................................................................................................6-1

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CHAPTER 6 INTERCHANGES LIST OF FIGURES

6-1 6-2 6-3 6-4 6-5 6-6

Limits of Fully Controlled Access at Expressway Ramps Limits of Fully Controlled Access at Expressway Ramps Limits of Fully Controlled Access at Expressway Ramps Limits of Fully Controlled Access at Expressway Ramps Limits of Controlled Access for On Ramps Limits of Controlled Access for Off ramps

07/16/2002

6-1 CHAPTER 6 INTERCHANGES 6.1 Introduction The highway interchange design information presented in this chapter is a supplement to Chapter 10 of AASHTOs A Policy on Geometric Design of Highways and Streets. Interchanges are areas of high speed conflicts and often have higher collision rates than the connecting links of the freeway system. Careful consideration should be given to the design elements to achieve a reasonable and prudent design.

6.2

Control of Access

Control of access restricts driveways and local roads from intersecting the highway. Control of access at interchanges is used to help improve the safety and capacity of the freeway entrances and exits. There should be control of access along the whole of all the ramps. To insure safety and free flow of traffic, ramps must be kept free of any intermediate roadway connections either by acquisition or outer frontage roads. Exhibits 6-01 through 6-04 illustrate the control of access required and freeway interchanges. Control of access is a critical design element for freeways, ramps, and the ramp intersection area. Where control of access can not be achieved reasonably, a nonstandard feature justification is required per Chapter 2 of this manual.

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6-2 CHAPTER 6 INTERCHANGES

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6-3 CHAPTER 6 INTERCHANGES

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6-4 CHAPTER 6 INTERCHANGES

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6-5 CHAPTER 6 INTERCHANGES

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6-6 CHAPTER 6 INTERCHANGES

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6-7 CHAPTER 6 INTERCHANGES

07/16/2002

HIGHWAY DESIGN MANUAL

Chapter 7 - Resurfacing, Restoration And Rehabilitation (1R, 2R & 3R) (Limited Revisions)

Revision 59

July 30, 2010

Section Exhibit 7-3 Exhibit 7-3 Exhibit 7-3 7.5.2, 7.6.3 7.6 Exhibit 7-11

Changes Under CAPACITY SCREENING, changed the value under Through Capacity from 3.3 m to 11 ft. Under CAPACITY SCREENING, changed references under Intersection Capacity from 7.5.3.1 B and 7.5.3.2 B to 7.5.2.1 B and 7.5.2.2 B respectively. Under GEOMETRIC DESIGN CRITERIA SCREENING, changed reference from 7.5.3 to 7.5.2. Changed other controlling design criteria to other design criteria. Changed the value from 50 mm to 2 in. Changed the value in Note 7 from 40 km/h to 25 mph.

CHAPTER 7 RESURFACING, RESTORATION AND REHABILITATION Contents Page

7.1 INTRODUCTION ................................................................................................................. 7-1 7.2 PROJECT DEVELOPMENT .............................................................................................. 7-2 7.2.1 7.2.2 Determining the Project Type ............................................................................ 7-2 Project Development Process ........................................................................... 7-4 ............................................................................................................... 7-7

7.3 1R PROJECTS

7.4 2R PROJECTS ................................................................................................................... 7-8 7.4.1 7.4.2 Definition of 2R .................................................................................................. 7-8 2R Requirements ............................................................................................. 7-8

7.5 NON-FREEWAY 3R PROJECTS ..................................................................................... 7-11 7.5.1 7.5.2 7.5.3 Non-Freeway 3R Scope of Work .................................................................... 7-11 Design Criteria (Critical Design Elements and Other Design Parameters) ......................................................................................... 7-15 Horizontal Curve Evaluations ......................................................................... 7-24

7.6 FREEWAY 3R PROJECTS .............................................................................................. 7-26 7.6.1 7.6.2 7.6.3 Definition of Freeway Resurfacing, Restoration & Rehabilitation (3R) ........... 7-26 Geometric Design Standards ........................................................................... 7-28 Design Criteria .................................................................................................. 7-28

7.7 PROJECT DELIVERY ...................................................................................................... 7-32 7.7.1 7.7.2 Timing of Resurfacing Safety Work .................................................................. 7-32 Preparation of Contract Documents & Implementation .................................... 7-32

7.8 SAFETAP REPORTING ................................................................................................. 7-34 7.9 REFERENCES................................................................................................................ 7-36 APPENDIX A - Metric Version of Chapter 7

APPENDIX A RESURFACING, RESTORATION AND REHABILITATION

LIST OF EXHIBITS 7-1 7-2 7-3 7-4 7-5 7-6 7-7 7-8 7-9 7-10 7-11 7-12 7-13 Resurfacing Safety Assessment Form ........................................................................ 7-5 2R Screening/Scoping Checklist ................................................................................. 7-9 Non-Freeway 3R Screening/Scoping Checklist ........................................................... 7-13 Minimum Lane and Shoulder Widths for Rural Highways ............................................ 7-17 Lane and Shoulder Width for Widening Rural Highways ............................................. 7-17 Horizontal Curvature .................................................................................................... 7-18 Minimum Stopping Sight Distance (SSD) .................................................................... 7-19 Minimum Lane and Shoulder Width for Urban Highways............................................. 7-22 Lane and Shoulder Width for Widening Urban Highways ............................................ 7-22 Mainline Critical Design Elements Based on "Standards of the Day" .......................... 7-30 Ramp Critical Design Elements Based on "Standards of the Day" .............................. 7-31 Timing of Safety Related Work for Resurfacing Projects ............................................. 7-33 Sample 2R SAFETAP Reporting Form - Completed Safety Improvements............... 7-35

RESURFACING, RESTORATION, & REHABILITATION

7.1 INTRODUCTION

7-1

The deterioration of our transportation infrastructure in New York State has been well documented and the Department has a duty to maintain facilities constructed with federal funds per 23 USC 116(a). The State is faced with more service and safety needs than can be met with available funds. Extensively upgrading facilities, which perform at acceptable levels and do not have a documented safety deficiency, to current standards for new or reconstruction projects is not cost effective. Available dollars must be used to repair as many miles of highways and as many bridges as practicable. This goal can be achieved on a project by project basis using engineering skills to treat known and potential safety and operational problems. Single course resurfacing (1R) and multi-course resurfacing, restoration and rehabilitation (2R/3R) projects were developed to help extend the State's limited resources to achieve this goal. Resurfacing is defined as the placement or replacement of a pavement course(s) to enable the existing pavement to achieve its design life and to provide additional strength or to improve serviceability while not degrading safety. Restoration and rehabilitation are defined as the work required to return the existing pavement to a suitable condition for resurfacing while enhancing highway safety. This includes work necessary to return the roadway, including the shoulder, roadside, bridges and appurtenances to a condition of structural or functional adequacy. The purpose of this chapter is to provide the basic scope of work and design criteria for 100% State funded and federally funded single and multiple course overlays and inlays. This chapter covers: 1R (single course resurfacing) for all highways. 2R (simple freeway and non-freeway 3R project). Non-freeway 3R (resurfacing, restoration, and rehabilitation). Freeway 3R using standards of the day.

This chapter is not all inclusive. Other chapters and Engineering Instructions continue to provide requirements and guidance for design elements not modified by this chapter, such as pavement design, traffic control devices, guide rail, accommodation of pedestrians and bicyclists, drainage, utilities, landscaping, driveways, etc.

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7.1

7-2 7.2

RESURFACING, RESTORATION, & REHABILITATION

PROJECT DEVELOPMENT

One of the major decisions is to determine the appropriate type of project to address the needs and resulting objectives. Prematurely deciding on a resurfacing project or deciding not to gather needed data defeats the scoping process. This can lead to a failure to identify important problems that need treatment, selecting the wrong type of project, or designing an incomplete solution. Accordingly, it is essential that functional group representation on the scoping team be emphasized to reduce the possibility of this occurring. The NYSDOT Project Development Manual (PDM) covers the project development procedures for maintenance, simple, moderate and complex projects that include 1R, 2R and 3R projects. The following sections help determine the appropriate standards for pavement resurfacing, restoration, and/or rehabilitation work. 7.2.1

Determining the Project Type

The following steps are necessary to determine the Project Type (1R, 2R or 3R): 1. Pavement Evaluation and Treatment Selection For any paving project, it is important to determine the primary types of deterioration and select the most appropriate treatment(s). The NYSDOT Comprehensive Pavement Design Manual (CPDM) describes accepted treatment alternatives (ranging from preventive maintenance to reconstruction) and provides guidance on selection procedures. That manual, and other current Department pavement policy and instructions, should be followed as appropriate. The Resident Engineer and Regional Materials Engineer are to be contacted for input on the pavement evaluation and treatment selection. 2R and 3R projects may include segments (generally greater than 0.6 miles) of preventive maintenance, corrective maintenance or all types of rehabilitation pavement treatments (including rubblizing and cracking and seating). More extensive pavement treatments (i.e., reconstruction) may qualify as part of a 2R or 3R project if: It does not include the construction of new highway segments There is less than 0.6 miles of continuous pavement reconstruction The reconstruction is less that 25% of the total project length

On 1R projects, pavement repairs are limited to isolated pavement distress (e.g., joint failure, frost heave, pavement blow-up). 2. Safety Assessment

The Safety Appurtenance Program (SAFETAP) ensures that safety considerations are incorporated into the Departments maintenance paving projects. SAFETAP requires a project review of paving sites by a team of qualified Department staff for the purpose of deciding the low cost safety work to be implemented before, at the time of, or soon after, construction. 7.2.1 1/23/2009

RESURFACING, RESTORATION, & REHABILITATION

7-3

During project initiation or early in project scoping, one or more licensed professional experts from Traffic, Design (generally not the designer), and Maintenance, and any other experts as deemed appropriate, are to be selected to become part of an independent Safety Assessment Team. The Safety Assessment Team will: Perform a simple analysis of site related computerized accident data in accordance with Section 5.3.5 of this manual. Examine the sites selected (generally the project designer will help facilitate the field visit). Make recommendations for low cost safety work based on Safety Assessment and the selected pavement treatment. Coordination between the Safety Assessment Team and project team (e.g., Regional Design; Traffic; Maintenance; Planning and Program Management; Regional Structures, etc.) is imperative for the successful completion of the process. The objectives are to build consensus on the scope of improvements, make certain decisions in the field, and expedite the project while avoiding conflicts with on-going or future projects. This will expedite the process and reduce paper work, e-mails, memos, and meetings. Complete the Resurfacing Safety Assessment Form in Exhibit 7-1. A key element in this process is the documentation of safety related work. The form summarizes the safety related items that need to be documented. This encourages the consideration of low cost safety and other operational improvements. For 1R and 2R projects, the form replaces the comprehensive Design Report format used for 3R projects (Refer to Section 7.2.2 for project documentation). For 3R projects, the form helps identify basic safety improvements. Recommended safety work that will not be addressed is to be documented and explained in the Design Approval Document in accordance with PDM Appendix 7. A Safety Appurtenance (SAFETAP) Reporting Form shall be completed by each Regional Office at the end of each State fiscal year. See Section 7.8 of this chapter. Project Type Selection

3.

Projects that include single course resurfacing (overlay or inlay) with no pavement widening or other work beyond the scope of a 1R project (Refer to Section 7.3 of this chapter) can be progressed as a 1R project using section 7.3 of this chapter. Projects that include multiple course resurfacing (overlay or inlay) or dont meet the 1R requirements in Section 7.3 of this chapter should be progressed as 2R using section 7.4 of this chapter if they meet the 2R Screening/Scoping Checklist in Exhibit 7-2 and do NOT include: 1/23/2009 Substantial amounts of reconstruction (e.g., 0.6 miles or more of continuous reconstruction or more than 25% of the length) Additional through travel lanes. New two-way left-turn lanes, additional through lanes or medians Bridge work (other than element-specific eligible bridge work). Substantial environmental impacts. Anticipated controversy. Formal public hearings. 7.2.1

7-4

RESURFACING, RESTORATION, & REHABILITATION

Extensive (non-de minimis) right-of-way (ROW) acquisitions per the Eminent Domain Procedure Law (EDPL).

Segments that do not meet all of the screening requirements for 2R projects should be progressed as a 3R using Section 7.5 for non-freeways or Section 7.6 for freeways unless they require: Substantial amounts of reconstruction (i.e., 0.6 miles or more of continuous reconstruction and no more than 25% of the total project length) Additional through travel lanes, except short auxiliary through lanes to help intersection capacity.

7.2.2

Project Process and Design Approval Document

Process - 1R, 2R and 3R projects should follow the Project Development Manual (PDM) Steps in Chapter 4, the Design Related Approvals Matrix, and Appendix 7. Section 7.7 of this chapter on project delivery applies to 1R, 2R and all 3R projects. After the project is completed, 1R and 2R projects require the preparation of a SAFETAP Reporting Form For Completed Safety Improvements as discussed in Section 7.8 of this chapter. Design Approval Documentation - 1R projects use an Initial Project Proposal/Final Design Report (IPP/FDR) to obtain project initiation, scoping and design approval using a single document. 2R projects use Project Scoping Report/Final Design Report (PSR/FDR) for scoping and design approval. 3R projects require separate Project Scoping and Design Reports to obtain scoping approval and design approval. Refer to PDM Appendix 7 for more information. Refer to PDM Appendix 7, Exhibit 7-11 for the material that should be attached to the 1R, 2R and 3R design approval documents.

7.2.2

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RESURFACING, RESTORATION, & REHABILITATION

Exhibit 7-1
PIN = Safety Assessment Team Design = Traffic = Maintenance = U Element Guidance Comments

7-5

Resurfacing Safety Assessment Form (Page 1 of 2)

Date =

The Following Elements Apply to Single and Multicourse Resurfacing Projects (1R, 2R, and 3R): Signing Signs should be installed as needed in accordance with the MUTCD. Review for condition (retroreflectivity), location, post type (breakaway or rigid), and appropriateness (need). Immediately notify the Resident Engineer of any missing regulatory or warning signs. Pavement markings should be installed in accordance with the MUTCD. The adequacy of existing passing zones should be evaluated. Current EIs and specifications must be followed. Delineation should be installed per the MUTCD Trim, remove, or replace vegetation to improve substandard intersection sight distance, and horizontal and vertical stopping sight distance. Guidance: Intersection Sight Distance - HDM 5.9.5.1 Passing Sight Distance - HDM 5.7.2.2 Horizontal & Sag Vertical SSD - HDM Chapter 2 and HDM 5.7.2.1 and HDM 5.7.2.4 For 1R projects: Address obvious objects that are within the prevailing clear area and within the ROW based on engineering judgment from a field visit (e.g., tree removal on the outside of a curve or installation of traversable driveway culvert end sections). For 2R/3R projects: Reestablish the clear zone and remove, relocate, modify to make crash worthy, shield by guide rail/crash cushion, or delineate any fixed objects. For guidance on identifying fixed objects, refer to HDM 10.3.1.2 B. Guide Rail The following should be used to evaluate the need for guide rail and other roadside work. HDM 10.2.2.1 - point of need HDM Table 10-7 - acceptable guide rail height HDM 10.3.1.2 B - guidance on determining severely deteriorated guide rail and non-functional guide rail HDM 10.2.2.3 and Table 10-3 - barrier deflection distance HDM 10.2.2 - design of new guide rail Current EIs and EBs. The Regional Structures Group, Regional Design Group, Main Office Structures, and Design Quality Assurance Bureau should be contacted, as needed, to help identify substandard connections to bridge rail and for the recommended treatment. Contact Regional Rail Coordinator. Contact Office of Design if replacing crossing surface as required per HDM Ch 23. On rural, high speed facilities (50 mph or greater) consider shoulder rumble strips in accordance with HDM 3.2.5.4. Centerline rumble strips should be considered for similar facilities and where head-on and sideswipe rates are above average.

Pavement Markings Delineation Sight Distance

Fixed Objects

Bridge Rail Transitions

Rail Road Crossing Rumble Strips

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7.2.2

7-6 Exhibit 7-1

U Element Shoulder Resurfacing

RESURFACING, RESTORATION, & REHABILITATION

Resurfacing Safety Assessment Form (Page 2 of 2)
Guidance Unpaved, stabilized shoulders should be paved in order to reinforce the edge of the traveled way, accommodate bicyclists, and increase safety. A 1:10 pavement wedge maybe used to transition between the travel way paving and a paved shoulder that will not be resurfaced on nonfreeways. Comments

Edge DropOffs

Edge drop-offs are not permitted between the traveled way and shoulder. Where edge drop-offs will remain at the outside edge of fully paved shoulders and vehicles could have a wheel leave and return to the roadway, the edge is to be sloped at 1:1 or flatter and have a maximum height of 2 to help accommodate motorcycles and trucks. Consult HDM 5.7.3. Identify where the recommended speed Superelevation is less than design speed (use Section 2.6.1.1 of this manual). Improve superelevation (up to the maximum rate as necessary using AASHTO Superelevation Distribution Method 2) to have the recommended speed equal to the design speed. Where the maximum rate is insufficient, install advisory speed signs and consider additional treatments (e.g., chevrons, roadside clearing), as needed. The Following Are Additional Elements Where Multicourse Resurfacing (2R and 3R) is Recommended: Superelevation For Freeway projects, the superelevation is to be improved to meet the values in HDM Ch 2, Tables 2-13 or 2-14 (which utilizes AASHTO Superelevation Distribution Method 5).

Speed Change Speed change lanes should meet AASHTO Green Book Lanes Chapter 10 standards. Clear Zone(s) Traffic Signals Establish based on HDM 10.3.2.2 A for non-freeway and HDM 10.2.1 for freeways. Signal heads should be upgraded to meet current requirements. Detection systems should be evaluated for actuated signals and considered for fixed-time signals. New traffic signals that meet the signal warrants may be included. Shoulders should be widened to 2 on local rural roads and 4 on other nonfreeway rural facilities for motor vehicle recovery, bicyclists, and pedestrians.

Shoulder Widening

Lane Widening Non-freeway lanes may be widened per HDM 7.5.3. New through travel lanes are not permitted. Design Vehicle Intersections should accommodate the design vehicle without encroachment into other travel lanes or turning lanes. Driveways Driveways shall meet the spirit and intent of the most recent Policy and Standards for the Design of Entrances to State Highways in Chapter 5, Appendix 5A of this manual. Turn lanes should meet the requirements of HDM 5.9.8.2 Curbing must meet the requirements of HDM 10.2.2.4. For freeways, curbing that cannot be eliminated should be replaced with the 1:3 slope, 4 high traversable curb. Closed drainage work may include new closed drainage structures, culverts, and the cleaning and repair of existing systems. Subsurface utility exploration should be considered for closed drainage system modifications. Sidewalk curb ramps and existing sidewalks must meet HDM Chapter 18 requirements. Consider cross walks and pedestrian push buttons at signals. Minimum shoulder width of 4 if no curbing.

Turn Lanes Curbing

Drainage

Pedestrian & Bicycle

Other

7.2.2

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RESURFACING, RESTORATION, & REHABILITATION

7.3 1R PROJECTS

7-7

1R projects are single course freeway or non-freeway resurfacing projects. Refer to Section 7.2 of this chapter to determine the proper project type. 1R projects must meet the following requirements: Overlays are limited to a single course with a maximum thickness of 2. Additional thickness is permitted for superelevation improvements and to address isolated pavement distress (e.g., joint failure, frost heave, pavement blow-up). Multiple course resurfacing projects shall be progressed as 2R or 3R projects in accordance with the PDM and this chapter. The existing pavement must have a pavement surface condition rating of 6 or greater. Exceptions must follow the pavement treatment selection in Chapter 3 of the Comprehensive Pavement Design Manual and be approved on a case by case basis by the Regional Director. Truing & leveling is to be used at spot locations to remove irregularities in the old pavement, fill and patch holes, correct variations in banked pavement, establish pavement crowns and for the terminations of the overlay as noted in Section 3.3.1 of this manual. Truing and leveling is not to be used over substantial lengths of the project to effectively increase the overall maximum overlay thickness or add a second pavement course. Wheel ruts are to be filled with a shim course or top course material. The intent is to fill ruts to improve surface drainage and allow adequate compaction of the overlay without adding a second pavement course that would warrant a more in depth evaluation. Milling may be used in place of truing and leveling. Milling of 2 or less may be performed for the traveled way or traveled way and full depth shoulders to maintain the existing surface elevation. Reasons for milling include: maintaining vertical clearances, maintaining proper barrier heights, maintaining curb height for drainage, and replacing a poor top course on a sound pavement structure. Spot locations may have more milling to obtain an acceptable cross slope and profile. The overlay must extend the full width of the paved roadway (travel lanes & paved shoulders) unless milling is performed as noted above and the paved shoulders, if any, are in satisfactory condition. Where shoulders are in good condition, the travel lane overlays (2 or less) may be feathered (1:10) on the shoulder. Lane and shoulder widening are not permitted. Where the travel lanes are in good condition (6 or greater) and the safety assessment does not recommend any work on the traveled-way, 1R projects may involve resurfacing of the shoulder only. The Safety Assessment Team must inspect each site and complete the Resurfacing Safety Assessment Form as outlined in Section 7.2.1 of this chapter. The non-pavement work must be performed in accordance with Sections 7.7.1 of this chapter. A report is prepared in accordance with Section 7.2.2 of this chapter. The contract is not restricted to the 10 contract items as stated in CPDM Appendix 3E. Safety work that meet the above criteria and either of the following criteria are to be implemented under the 1R Requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or likely (i.e., a reasonable likelihood of occurrence) safety problems.

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7.3

7- 8 7.4 7.4.1

RESURFACING, RESTORATION, & REHABILITATION

2R PROJECT

Definition of 2R Projects

2R projects are defined as simple freeway or nonfreeway 3R projects. 2R projects are multicourse resurfacing projects that may include: milling, superelevation, traffic signals, turn lanes, driveway modifications, roadside work, minor safety work, lane and shoulder widening, drainage work, sidewalk curb ramps, etc. 2R projects do not include: New through travel lanes. New two-way left-turn lanes (TWLTL), auxiliary lanes or medians Extensive pavement reconstruction (e.g., 0.6 miles or more of continuous reconstruction or more than 25% of the total project length). Bridge work (other than element-specific eligible bridge work). Substantial environmental impacts. Anticipated controversy. Formal public hearings. Extensive (non-de minimis) right-of-way (ROW) acquisitions per the Eminent Domain Procedure Law (EDPL).

Refer to Section 7.2.1 of this chapter to determine the proper project type. 7.4.2

2R Requirements

The 2R requirements are contained in Exhibit 7-2. In general, where the 2R requirements are silent, the project should follow standard Department guidance and policies. Where policies and guidance have specific information for 3R projects, it should be used for 2R projects as well. The primary advantage of a 2R project compared to a 3R project is the simplified design approval document per PDM Appendix 7.

7.4.2

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RESURFACING, RESTORATION, & REHABILITATION

Exhibit 7-2
PIN: 1. PAVEMENT TREATMENT SCREENING No full-depth replacement of pavement except in localized areas (i.e., must be 0.6 miles or less of continuous reconstruction and less that 25% of the project length). At a minimum, shoulders, if any, must be restored to a satisfactory condition and be flush with the edge of traveled way. 2. CAPACITY SCREENING Through Capacity - A Level of Service (LOS) analysis is performed in accordance with HDM 5.2 . Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. For Interstates, the ETC+10 LOS must meet the criteria in HDM Chapter 2. Justify any nonstandard LOS. For non-Interstates, the ETC+10 LOS is at least D or, the design approval documents that The RPPM does not anticipate capacity improvements within ten years. Non Freeway Intersection Capacity - Intersections with observed operational or safety problems due to lack of turn lane or insufficient length of turn lane are analyzed in accordance with HDM 5.2 . Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. New turn lanes needed at intersections (signalized and unsignalized) are to: Meet the length required by HDM 5.9.8.2 or include an explanation for nonconforming lengths in the design approval document. Meet the width requirement in 7.5.3.1 B for rural highways or 7.5.3.2 B for urban highways. Meet the air quality requirements of Environmental Procedure Manual (EPM) 1.1. 3. GEOMETRIC DESIGN CRITERIA SCREENING Non-freeway routes: 3R standards referenced in HDM 7.5. Interstate System or other freeways: HDM 2.7.1.1 as modified by 7.6.3. All non-standard geometric features are justified in accordance with HDM 2.8. Non-conforming features (HDM 5.1) are listed in the design approval document with an explanation, as necessary.

7-9

2R Screening/Scoping Checklist (Page 1 of 2)

U

4. GENERAL DESIGN SCREENING Interstate System or other freeway routes meet the requirements of HDM 7.6. Roadside design meets the requirements for 3R projects in HDM 10.3. Bridge work is eligible for the element-specific process. (Refer to PDM Appendix 7.)

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7.4.2

7-10 Exhibit 7-2

RESURFACING, RESTORATION, & REHABILITATION

2R Screening/Scoping Checklist (Page 2 of 2)

5. SAFETY SCREENING - A three-year accident history review indicates the following: (This can be quickly accomplished using readily available products from the Departments Safety Information Management System (SIMS) and the computerized TE-164 methodology). The overall three-year accident rate is less than the average rate for a comparable type of facility, as shown in SIMS. The occurrence of Fatal, Injury, and combined Fatal+Injury accidents is not above average for similar type highways. Locations listed on the regular Priority Investigation Location (PIL) list within the project limits are addressed. A PIL is considered addressed if it has been investigated in the last five years and the recommendations implemented or are incorporated into the proposed project. Locations listed on the Fixed Object & Run-Off Road PIL list within the project limits are addressed. Locations listed on the Wet-Road PIL list within the project limits are addressed. Note: Segments that do not meet all of the above shall undergo an accident analysis using the methodology in HDM 5.3. The accident analysis and recommendations should be attached to the design approval document as an appendix. If, based on the accident analysis, it is decided to undertake a safety improvement that cannot be implemented in a 2R project, a 3R or other type of project should be progressed. 6. SAFETY ASSESSMENT - Perform a road safety assessment (Exhibit 7-1) as discussed in Section 7.2 of this chapter. Safety work that meets either of the following criteria is to be implemented under the multi-course requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or potential safety problems. 7. PUBLIC OUTREACH SCREENING Appropriate public involvement is done (See PDM Appendix 2) and community concerns are satisfactorily addressed. No formal public hearings are required or held. 8. ENVIRONMENTAL SCREENING SEQR (All projects): The project is determined to be a SEQR Type II (i.e., complies with 17 NYCRR 15.14(d) and 17 NYCRR 15.14(e)(37)). NEPA (Federal-aid projects): NEPA Assessment Checklist is completed and the project is determined to be either a NEPA Class II Programmatic Categorical Exclusion or a Categorical Exclusion with documentation and FHWA approval concurrence must be obtained. NOTE: Only segments that meet all of the requirements above can be progressed as 2R.

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7.5 NON-FREEWAY 3R PROJECTS

7-11

This section sets forth the design criteria and guidance for non-freeway 3R projects and highlights areas of particular importance to the scoping and design efforts. For the purposes of this chapter, the term non-freeway applies to all projects not on interstates and other freeways, expressways and multi-lane divided parkways as defined in Section 2.4.1.2 of this manual. The specific design requirements and guidance for the drainage, roadside, pavement, traffic control devices, etc., are in other sections of the Highway Design Manual, appropriate Engineering Instructions, etc. All Department policies, procedures, standards, rules and regulations are to be followed except as specifically modified by this section. 7.5.1

Non-Freeway 3R Scope of Work

Non-freeway 3R projects are designed to preserve and extend the service life of an existing highway, including any cost-effective safety improvements and other safety improvements. 3R projects are required to enhance safety. The scope of non-freeway 3R work cannot be arbitrarily limited to the surfaced roadway (i.e., the roadside must be considered in developing the scope of a non-freeway 3R project). Non-freeway 3R projects should generally provide a highway section that will require only routine maintenance work for many years after construction. Other work, such as bridge cleaning, painting and rehabilitation can be progressed concurrently with a 3R project to reduce motorist delays. However, if the bridge work expands from rehabilitation to replacement, the remaining service life of the structure may warrant that the bridge be retained as is (or with minor work) and programmed for future replacement. Changes to a highway's geometric elements, which are not required to meet minimum 3R standards or part of a low-cost safety enhancement or low-cost operational improvement, should be supported by an analysis demonstrating that the proposed work is cost-effective, (e.g., a non-freeway 3R project that proposes to widen a highway to the new or reconstruction minimum lane widths in Chapter 2, Section 2.7). Note that the safety and operational effects of the improvements should be considered together when calculating whether or not an improvement would be cost-effective. Non-freeway 3R pavement treatments generally have a service life of 10 to 20 years. However, reconstruction of short segments may be necessary to meet the project objectives. For example, straightening of a horizontal curve, which increases the curve length, usually requires full reconstruction between the beginning and ending points of the curve. Reconstruction segments of 0.6 miles or more shall be designed in accordance with the standards for new and reconstruction projects, including design criteria from Chapter 2 of this manual. The future plans for the facility and the length of the reconstruction work are factors in the decision to widen the roadway to the Chapter 2 widths, or justify using widths that are consistent with the adjacent non-freeway 3R segments. Some of the work may be accomplished more efficiently by separate contract. This is acceptable as long as the separate contracts are progressed in a timely manner (See Section 7.7 of this chapter). The conditions of each individual project should be evaluated to determine if work by a separate contract is a viable option. When work will be done by a separate contract within the limits of the non-freeway 3R project, the work is to be discussed in the Design 1/23/2009 7.5.1

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Approval Document. This discussion is required since the approval of the non-freeway 3R project may be dependent on the scope and schedule of the work being done under a separate contract. Refer to Exhibit 7-3 for requirements and guidance on the scope of work for a non-freeway 3R project.

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Exhibit 7-3
PIN: 1. FUNCTIONAL CLASSIFICATION Highway is not classified as an Interstate or other freeway as defined by Chapter 2, Section 2.4.

7-13

Non Freeway 3R Screening/Scoping Checklist (Page 1 of 2)

U

2. PAVEMENT TREATMENT SCREENING No full-depth replacement of pavement except in localized areas (i.e., must be 0.6 miles or less of continuous reconstruction and less than 25% of the project length). At a minimum, shoulders, if any, must be restored to a satisfactory condition and be flush with the edge of traveled way. Pavement treatments are to be designed to a minimum expected service life (ESL) of 10 years and desirably 15 to 20 years. ESL's of 5 to 9 years are non-conforming features that require an explanation. 3. CAPACITY SCREENING Through Capacity - A Level of Service (LOS) analysis is performed in accordance with HDM 5.2 Note: secondary data may be used if approved by the RPPM. The ETC+10 LOS will be at least D or, the design approval documents that the RPPM or Regional Traffic Engineer does not anticipate capacity improvements within ten years. Additional through travel lanes cannot be created/constructed. This includes restriping an existing 4- lane highway to 6 lanes, with or without widening the existing pavement. Intermittent climbing and passing lanes are allowed. New or existing Two-Way Left-Turn Lanes are to be a minimum of 11 ft. wide with minimal reconstruction work (e.g., through restriping, minor widening, changing a 4 lane road to a 3 lane road). NOTE: Additional through travel lanes substantially change the operating characteristics of the highway and violate the basic premise of the non-freeway 3R standards. Additionally, added travel lanes may create safety and operational problems, not only for the project segment, but at other locations within the highway system. Significant social, economic, and environmental concerns may also result from increasing the number of travel lanes. Intersection Capacity - Intersections with observed operational or safety problems due to lack of turn lane or insufficient length of turn lane are analyzed in accordance with HDM 5.2. Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. New turn lanes needed at intersections (signalized and unsignalized) are to: Meet the length required by HDM 5.9.8.2 or include an explanation for nonconforming lengths in the design approval document per HDM 5.1. Meet the width requirement in 7.5.2.1 B for rural highways or 7.5.2.2 B for urban highways. Meet the air quality requirements of Environmental Procedure Manual (EPM) 1.1. New, longer, and/or wider auxiliary lanes through an intersection with minimal reconstruction work. 4. GEOMETRIC DESIGN CRITERIA SCREENING Non-freeway 3R standards in HDM 7.5.2 All non-standard geometric features are justified in accordance with HDM 2.8. Non-conforming features (HDM 5.1) are listed in the design approval document with an explanation, as necessary.

7/30/2010

7.5.1

7- 14 Exhibit 7-3

RESURFACING, RESTORATION, & REHABILITATION

Non Freeway 3R Screening/Scoping Checklist (Page 2 of 2)

5. GENERAL DESIGN SCREENING Roadside design meets the requirements for 3R projects in HDM 10.3. Bridge work is eligible for the element-specific process. (Refer to PDM Appendix 7.) Medians may be widened or created with minimal reconstruction work. 6. SAFETY SCREENING - A three-year accident history review indicates the following: (This can be quickly accomplished using readily available products from the Departments Safety Information Management System (SIMS) and the computerized TE-164 methodology). The overall three-year accident rate is less than the average rate for a comparable type of facility, as shown in SIMS. The occurrence of Fatal, Injury, and combined Fatal+Injury accidents is not above average for similar type highways. Locations listed on the regular Priority Investigation Location (PIL) list within the project limits are addressed. A PIL is considered addressed if it has been investigated in the last five years and the recommendations implemented or are incorporated into the proposed project. Locations listed on the Fixed Object & Run-Off Road PIL list within the project limits are addressed. Locations listed on the Wet-Road PIL list within the project limits are addressed. Note: Segments that do not meet all of the above shall undergo an accident analysis using the methodology in HDM 5.3. The accident analysis and recommendations should be attached to the design approval document as an appendix. If, based on the accident analysis, it is decided to undertake a safety improvement that cannot be implemented in a 3R project (e.g., a new grade separation), a reconstruction or other type of project should be progressed. 7. SAFETY ASSESSMENT - Perform a road safety Assessment as discussed in Section 7.2 of this chapter. Safety work that meet either of the following criteria are to be implemented under the multi-course requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or likely safety problems. 8. PUBLIC OUTREACH SCREENING - Appropriate public involvement is done (See PDM Appendix 2) and community concerns are satisfactorily addressed. 9. ENVIRONMENTAL SCREENING - A SEQR type and NEPA classification are required. There are no restrictions on the environmental processing for 3R projects. NOTE: Only segments that meet all of the requirements above can be progressed as 3R.

7.5.1

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7.5.2 Design Criteria (Critical Design Elements and Other Design Parameters)

7-15

1. General - Sections 7.5.2.1 and 7.5.2.2 list the critical design elements for rural and urban conditions and are similar to the critical design elements in Chapter 2, Section 2.7 of this manual. Although this section looks similar to Chapter 2, Section 2.7, the standard values and treatment of many of the critical design elements are vastly different. 2. Background - The values for the critical design elements and other design parameters are based on Department experience and the concepts in Transportation Research Board Special Report 214. The non-freeway 3R design criteria is calculated from the existing highway geometrics since the design and operational characteristics of the existing highway can be observed and measured. This approach allows the design criteria to be lower than that for new and reconstruction projects because there is an operational "model" to analyze for safety and operational characteristics. When substantial changes are proposed, such as curve realignment, the non-freeway 3R design criteria is no longer applicable because the design criteria can no longer be supported by an analysis of the existing conditions. 3. Engineering Judgment - The inclusion of specified design criteria in this section does not preclude the use of engineering judgment to consider alternative engineering values and does not necessarily mean that existing roadways which were designed and constructed using different criteria, are either substandard or unsafe. Many existing facilities are adequate to safely and efficiently accommodate current traffic demands and do not need resurfacing, restoration and rehabilitation solely to meet current design criteria. 4. Guidance - Elements which meet the design criteria should generally be retained unless improvement is warranted based on existing or anticipated operation or safety problems. Existing elements in excess of these non-freeway 3R values should likewise be retained unless there are factors evident that would justify otherwise (e.g., excessive lane width encouraging multilane operation). Reductions can alter the occurrence and severity of collisions. 5. Bridges - The selection of lane and shoulder widths on bridges must be consistent with Section 2 of the Bridge Manual. 6. Segments with Different Design Criteria - For complex projects which encompass several highway types, there may be several sets of design criteria that apply to different portions of the project or to different alternatives. Separate criteria must be provided for side roads when they are being resurfaced beyond the limits of the intersection. 7. Values Below the Design Criteria - While it is Department policy to at least meet the design criteria values, there may be some situations where lesser values are appropriate for a particular situation and may provide the most cost-effective, quality design (as discussed above under engineering judgment). When this occurs and the critical design element value is not attained, a formal justification must be prepared in accordance with Department policy for use of the non-standard feature as specified in Chapter 2, Section 2.8 of this manual. A formal justification is not required for other design parameters that do not comply with the established values. However, they should be listed in the Design Approval 1/23/2009 7.5.2

7-16

RESURFACING, RESTORATION, & REHABILITATION

Document with an explanation as needed or required. Refer to Chapter 5, Section 5.1 for a discussion on the degree of explanation needed for non-conforming features.

8. Record Plans The method used to determine stopping sight distance changed in the 2001 AASHTO policy. Record plan values for stopping sight distance should not be used and must be regenerated based on the profile and new sight-line measurements. 7.5.2.1 Critical Design Elements for Rural Highways The following critical design elements apply to rural, non-freeway 3R projects. Descriptions of the critical design elements are included in Chapter 2, Section 2.6 of this manual. A. Design Speed (Rural Highways) Select a design speed in accordance with Chapter 2, Section 2.6.1 of this manual. B. Lane Width (Rural Highways) If the accident rate is at or below the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths or the widths determined from Exhibit 7-4. If the accident rate is above the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths, the widths determined from Exhibit 7-4, and the widths for Exhibit 7-5. Where the existing lane widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider lane widths may be necessary for large vehicles, at intersections for turning vehicles, etc. C. Shoulder Width (Rural Highways) If the accident rate is at or below the statewide average, the shoulder width shall be the greater of the existing width or the width determined from Exhibits 7-4. If the accident rate is above the statewide average, the shoulder widths shall be the greater of the existing width, the width determined from Exhibit 7-4 and the width from Exhibit 7-5. Where the shoulder widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider shoulder widths may be necessary for large vehicles, at intersections for turning vehicles, an added travel lane for emergency evacuation, bicyclists, occasional pedestrians, etc.

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Exhibit 7-4 Minimum Lane and Shoulder Widths for Rural Highways
Critical Design Elements Travel Lane Shoulder 5 Parking Lane Two-Way Left-Turn Lane (TWLTL) Turning Lane Local Roads 9 ft 2 ft 7 ft 11 ft 9 ft Collectors, Arterials & Truck Access Routes 1 10 ft 4 ft 7 ft 11 ft 10 ft 4 Qualifying Highways 2 12 ft 4 ft 7 ft 12 ft 10 ft
3

7-17

Notes: 1. Routes designated as Access Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 2. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 3. For Qualifying Highways on Rural Collectors, a 2 ft minimum shoulder width may be used if the current AADT is under 400 based on Chapter 2, Section 2.7. 4. 9 ft turn lanes may be used where design speed is less than 50 mph. 5. Refer to Chapter 2 of this manual for desirable widths.

Exhibit 7-5 Lane and Shoulder Widths for Widening Rural Highways
Design Year Volume (AADT) Design Speed (mph) Trucks1 10% Lane Width 2 (ft) Shoulder 3 Width (ft) Trucks1 < 10% Lane Width 2 (ft) Shoulder 3 Width (ft)

Two-Lane Rural Highways < 750 750 - 2000 > 2000 < 55 $ 55 < 55 $ 55 All 10 10 11 12 12 2 2 2 5 6 9 10 10 11 11 2 2 2 5 6

Multi-lane Rural Highways < 2000 $ 2000 < 55 $ 55 All 11 11 12 2 4 6 10 11 11 2 3 6

Notes: 1. Trucks are defined as heavy vehicles with six or more wheels. 2. Refer to Chapter 2 of this manual for the turning and parking lane widths. 3. Minimum width shall not be less than Exhibit 7-4. Refer to Chapter 2 of this manual for desirable widths.

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7.5.2

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RESURFACING, RESTORATION, & REHABILITATION

D. Bridge Roadway Width (Rural Highways) The minimum bridge roadway width shall be determined from Section 2.3 of the Bridge Manual. E. Grade (Rural Highways) There is no minimum or maximum grade required for non-freeway 3R projects. The existing grades should be retained unless they contribute to an accident or operational problem. Note that a climbing lane may be installed as part of a 3R project to mitigate the effects of long, steep grades. Refer to Chapter 5, Section 5.7.5 and the Highway Capacity Manual for guidance on the warrants and design of climbing lanes. F. Horizontal Curvature (Rural Highways) The design criteria for retention of horizontal curves is to be determined from Exhibit 7-6. Individual curves shall be analyzed in accordance with Section 7.5.3 of this chapter. Exhibit 7-6
AADT (vpd) 750 or less

Horizontal Curvature
Design Speed (mph) All 20 25 30 5 10 15 20 25 30 35 40 45 451 451 42 86 154 250 371 533 711 Design Speed2 minus 15 mph (mph) Minimum Radius (ft) e = 4.0% e = 6.0% 451 451 451 39 81 144 231 340 485 643 451 451 38 76 134 214 314 444 587 e = 8.0%

over 750

35 40 45 50 55 60

Notes: 1. The minimum curve radius for these low speed highways is also governed by the minimum turning radius of the design vehicle. 2. The minimum curve radius is based on a speed 15 mph below the design speed and the maximum superelevation rate as determined from Section 7.5.2.1 G of this chapter.

G. Superelevation (Rural Highways) 8.0% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds. 7.5.2.1 1/23/2009

RESURFACING, RESTORATION, & REHABILITATION

H. Stopping Sight Distance (Horizontal and Vertical for Rural Highways)

7-19

The minimum horizontal and vertical stopping sight distance (SSD) shall be determined from Exhibit 7-7. The minimum vertical SSD is based on the cost-effectiveness of curve reconstruction and the SSD from Chapter 2, Section 2.7 adjusted to 20 mph below the design speed. The minimum horizontal SSD is based on the lesser of the recommended speed or design speed of the improved facility. Refer to Section 5.2.4.1 B for information on recommended speed. Refer to Section 5.7.2.4 for additional information on horizontal SSD. The SSD is to be evaluated for each horizontal and crest vertical curve. Sag vertical curves need not be considered unless there are underpasses, overhead trees or there is an associated operational or safety problem. Due to the limited correlation between crashes and areas with limited vertical sight distance, the effect of grades is not considered in the minimum SSD value. Exhibit 7-7 Minimum Stopping Sight Distance (SSD)
Horizontal SSD Recommended Speed or Design Speed, whichever is lower (mph) Vertical SSD Is there an operational or safety Minimum problem associated with poor sight Vertical SSD distances, or is the AADT greater based on than 1500 vpd with major hazards Design Speed hidden from view (e.g. minus intersections, sharp horizontal 20 mph curves or narrow bridges)? 1 (ft) NO No Minimum Value 21 80 115 YES 40 45 50 55 60 305 360 425 495 570 40 45 50 55 60 155 200 250 305 360

Minimum Horizontal SSD (ft)

Design Speed (mph)

20 25 30 35

115 155 200 250

All 25 30 35

Notes: 1. The minimum values are based on AASHTO's "A Policy on the Geometric Design of Highways and Streets," 2004.

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7.5.2

7-20 I.

RESURFACING, RESTORATION, & REHABILITATION

Horizontal Clearance (Rural Highways)

Minimum equal to the greater of the shoulder width or 4 from the traveled way to the vertical element. J. Vertical Clearance (Rural Highways) Determine from the latest Section 2.4 of the Bridge Manual. K. Pavement Cross Slope (Rural Highways) Travel lanes = 1.5% minimum to 3% maximum. Shoulders = 2% minimum to 8% maximum. L. Rollover (Rural Highways) Between travel lanes = 4% maximum. At the traveled way edge = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 for further guidance. M. Pedestrian Accommodation (Rural Highways) To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

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7.5.2.2 Critical Design Elements for Urban Highways

7-21

The following critical design elements apply to urban, non-freeway 3R projects. Descriptions of the critical design elements are included in Chapter 2, Section 2.6 of this manual. A. Design Speed (Urban Highways) Select a design speed in accordance with Chapter 2, Section 2.6.1 of this manual. B. Travel Lane Width (Urban Highways) If the accident rate is at or below the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths or the widths determined from Exhibit 7-8. If the accident rate is above the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths, the widths determined from Exhibit 7-8, and the widths for Exhibit 7-9. Where the existing lane widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider lane widths may be necessary for large vehicles, at intersections for turning vehicles, etc. C. Shoulder Width (Urban Highways) Where the shoulder widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider shoulder widths may be necessary for large vehicles, at intersections for turning vehicles, an added travel lane for emergency evacuation, bicyclists, occasional pedestrians, etc. 1. Curbed If the accident rate is at or below the statewide average, the minimum curb offset or shoulder is equal to the existing width. If the accident rate is above the statewide average, the shoulder widths shall be the greater of the existing widths and the widths from Exhibit 7-9. Uncurbed - If the accident rate is at or below the statewide average in uncurbed sections of urban highways, the shoulder width shall be the greater of the existing width or the width determined from Exhibit 7-4. If the accident rate is above the statewide average in uncurbed sections of urban highways, the shoulder width shall be the greater of the existing width, the width determined from Exhibit 7-4, and the width for Exhibit 7-5.

2.

D. Bridge Roadway Width (Urban Highways) The minimum bridge roadway width shall be determined from Section 2.3 of the Bridge Manual.

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RESURFACING, RESTORATION, & REHABILITATION

Exhibit 7-8 Minimum Lane and Shoulder Widths for Urban Highways
Critical Design Elements Travel Lane Curbed Shoulder Parking Lane Two-Way Left-Turn Lane (TWLTL) Turning Lane Local Streets Collectors, Arterials & Truck Access Routes 1 10 ft 3 0 ft 8 ft 11 ft 9 ft 4 Qualifying Highways 2 12 ft 0 ft 8 ft 11 ft 10 ft

9 ft 3,4 0 ft 8 ft 11 ft 9 ft 4

Notes: 1. Routes designated as Access Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 2. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 3. The minimum width of a wide curb lane specifically intended to accommodate bicycling in low speed ( 45 mph) is 12 ft. 4. For streets that do not have shoulders or at least a 1 curb offset and allow truck or bus traffic, a minimum lane width of 10 is required.

Exhibit 7-9 Lane and Shoulder Width for Widening Urban Highways
Trucks1 $ 10% Design Year Volume (AADT) Design Speed (mph) Lane Width2 (ft) Desirable3 Shoulder or Curb Offset Width (ft) Trucks1 < 10% Lane Width2 (ft) Desirable3 Shoulder or Curb Offset Width (ft)

One Lane, One-Way or Two-Lane Urban Highways < 750 750 - 2000 > 2000 < 2000 $ 2000 < 45 $ 45 < 45 $ 45 All < 45 $ 45 All 10 10 11 12 12 11 11 12 2 2 2 4 5 2 4 5 9 10 10 11 11 10 11 11 2 2 2 4 5 2 3 5

Multi-Lane Urban Highways

Notes: 1. Trucks are defined as heavy vehicles with six or more wheels. 2. Refer to Chapter 2 of this manual for turning lane and parking lane widths. 3. Minimum width shall not be less than Exhibit 7-8.

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E. Grade (Urban Highways)

7-23

There is no minimum or maximum grade required for non-freeway 3R projects. The existing grades should be retained unless it is practical to improve a grade that contributes to an accident or operational problem. A minimum grade of 0.5% is desirable in curbed and cut sections for the operation of drainage systems. In uncurbed and fill sections, a level grade may provide adequate drainage. F. Horizontal Curvature (Urban Highways) The design criteria for retention of horizontal curves is to be determined from Exhibit 7-6. Individual curves shall be analyzed in accordance with Section 7.5.3 of this chapter. G. Superelevation (Urban Highways) A maximum superelevation rate of 4.0% for urban areas is desirable due to parking, intersection and driveway constraints. A 6% maximum may be used in suburban areas where existing or to mitigate curve related crashes. H. Stopping Sight Distance (Horizontal and Vertical) (Urban Highways) The minimum horizontal and vertical stopping sight distance (SSD) shall be determined from Exhibit 7-7. The minimum vertical SSD is based on the cost-effectiveness of curve reconstruction and the SSD distances from Chapter 2, Section 2.7 adjusted to 20 mph below the design speed. The minimum horizontal SSD is based on the anticipated operating speed of the improved facility. Refer to Section 5.7.2.4 for additional guidance on horizontal SSD. The SSD is to be evaluated for each horizontal and crest vertical curve. Sag vertical curves need not be considered unless there are underpasses, overhead trees or there is an associated operational or safety problem. Due to the limited correlation between crashes and areas with limited vertical sight distance, the effect of grades is not considered in the minimum SSD value. I. Horizontal Clearance (Urban Highways)

Minimum equal to the greater of the shoulder width or 1.5 from the traveled way to the vertical element. At intersections, the minimum is equal to the shoulder width or 3 from the traveled way (including turning lanes) to the vertical element. J. Vertical Clearance (Urban Highways) Determine from Section 2.4 of the Bridge Manual.

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RESURFACING, RESTORATION, & REHABILITATION

K. Pavement Cross Slope (Urban Highways) Travel lanes = 1.5% minimum to 3% maximum. Parking lanes = 1.5% minimum to 5% maximum. Shoulders = 2% minimum to 8% maximum. L. Rollover (Urban Highways) Between travel lanes = 4% maximum. At the edge of traveled way = 8% maximum. M. Pedestrian Accommodation (Urban Highways) To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual. 7.5.3

Horizontal Curve Evaluations

This section provides the requirements and guidance on horizontal curve evaluations, recommended treatments, and optional treatments such as spiral curve transitions and widening along sharp horizontal curves. Curves with recommended speeds that are below the design speed, or have unfavorable crash histories, should be evaluated using the following procedure. 1. 2. Determine the existing recommended speed as described in Chapter 5, Section 5.7.3 of this manual. The existing recommended speed should be compared to the design speed. If the existing superelevation rate does not permit recommended operating speeds equal to, or exceeding the design speed, the superelevation rate shall be increased, up to the maximum superelevation rate (4.0 %, 6.0 % or 8.0 %), as needed, to enable recommended speeds equal to, or exceeding the design speed using AASHTO superelevation distribution method 2, as discussed in Chapter 5, Section 5.7.3 of this manual. A nonstandard feature justification is needed if the curve superelevation cannot be reasonably increased and the proposed rate is below the maximum rate. If the existing superelevation allows recommended operating speeds in excess of the design speed using method 2 and there is an accident problem associated with the horizontal curve, the existing superelevation rate should be considered for improvement up to the superelevation rate in Tables 2-11 through 2-14 of Chapter 2 (i.e., consider using Method 5 as discussed in Chapter 5, Section 5.7.3 of this manual). If the superelevation is at the maximum of 6% in suburban areas, consider using the rural criteria of 8% maximum.

7.5.3

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3.

7-25

After improving the superelevation rate, as needed, the recommended speed should be recalculated as stated in step 1. The recommended speed, based on the improved superelevation rate, should be compared with the design speed using the appropriate item below. Speed difference is less than 15 mph or the speed difference is more than 15 mph and the design year AADT is 750 or less - The curvature meets the minimum design criteria and no special mitigation is required beyond signing and delineation, unless reconstruction is warranted due to safety and operational deficiencies. Speed difference more than 15 mph and the design year AADT is more than 750 - The curvature does not meet the minimum design criteria. The curve shall be evaluated for reconstruction or other mitigation measures. If the existing curvature with the maximum superelevation rate will be retained, the curve shall be justified as a non-standard feature in accordance with Chapter 2, Section 2.8 and shall be evaluated for mitigation measures. Based on horizontal curve accident studies, the elements of horizontal alignment that could improve safety include: Larger: o Radius/length o Superelevation o Pavement friction o Roadway width (up to 12) o Stopping Sight Distance o Distance to adjacent curves, intersections, bridges, etc. Use of Spirals Combine compound curves of similar radii and eliminate broken back curves Fewer roadside conditions (development, driveways, fixed objects, etc.) Flatter/straighter vertical alignment on horizontal curves Traffic control devices (e.g., flashing curve warning signs)

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7.5.3

7-26 7.6

RESURFACING, RESTORATION, & REHABILITATION

FREEWAY 3R PROJECTS

There are no separate standards for freeway 3R projects. The standards for 3R projects on interstates and other freeways are the same as those that apply to new and reconstruction projects, except as specifically noted in Section 7.6.3 of this chapter. Consequently, the requirements and guidance in this section apply to all interstate and other multilane freeway 3R projects regardless of funding. Unless specifically modified by this chapter, all other Department policies, procedures, standards, rules, regulations and guidance must be followed as appropriate. A freeway resurfacing project must follow these freeway 3R requirements if the minimum overall thickness of truing and leveling plus the single course overlay exceeds 2 in, or the project proposes multiple overlays. 7.6.1

Definition of Freeway Resurfacing, Restoration & Rehabilitation (3R)

7.6.1.1 Definition of the Term Freeway 3R For the purposes of this chapter, the term freeway 3R applies to interstates and other freeways, expressways and multi-lane divided parkways. The following definitions are based on Chapter 2, Section 2.4.1: 1. Interstate highways are highways on the Interstate Highway System. Generally, they are interregional, high speed, divided, high volume facilities with complete control of access. All interstates in New York State are freeways. Freeways are local, intraregional and interregional high speed, divided, high volume facilities with complete control of access. Historically, most freeways have been classified as principal arterials. Expressways are divided highways for through traffic with full or partial control of access and generally with grade separations at major crossroads.

2.

3.

7.6.1.2 Freeway 3R Project Scope of Work Freeway 3R projects are designed to extend the operational and service life, and to enhance the safety of an existing freeway. Since the standards for 3R projects on interstates and other freeways are the same as those that apply to new and reconstruction projects, except as specifically noted in Section 7.6.3 of this chapter, there are almost no limitations on the type of work that can be accomplished. All work is allowable except the extensive replacement of existing pavement (reconstruction of 0.6 miles or more or more than 25% of the project length) or the addition of new travel lanes. Projects with extensive full depth pavement replacement or the addition of new travel lanes can not be classified as 3R type projects and shall follow the criteria in Chapter 2, Section 2.7 for new or reconstruction projects. The general philosophy to follow when developing a freeway 3R project is to treat interstates and other freeways as what they are, our most important highway system. Consequently, extra effort should be exercised to maintain, restore, or improve them with particular emphasis placed on improving safety and operations. 7.6.2 7/30/2010

RESURFACING, RESTORATION, & REHABILITATION

7-27

There is a federal legislative requirement [see 23 Code of Federal Regulations (CFR) Section 106(b)(3) and Section 109(a)] as well as Federal Highway Administration (FHWA) policy requiring safety improvements in every freeway 3R project. Emphasis should be placed on maintaining, re-establishing, or, in the cases of some older freeways, creating a forgiving roadside for the high speed traveler. Work to restore or upgrade existing safety provisions must be part of every freeway 3R project. Elements that affect safety, and which are not consistent with current standards or design guidelines, should be considered for upgrading as part of any freeway 3R project. The greater the deviation, the greater the need to consider improvement. To ensure a freeway 3R project operates satisfactorily during its design life (which varies from about 8 years for a thin overlay to 15 years for crack and seat, rubblizing, or thick overlays), it is essential that the needs/deficiencies be identified during scoping and the resulting objectives identified and agreed to. How and to what extent the needs will be addressed must be discussed in the scoping documents and design reports. These documents must include the rationale for the decisions not to include work in the freeway 3R project that is needed to remediate identified deficiencies. Freeway 3R projects should be designed to be compatible with future improvements. Transportation System Management (TSM) and Travel Demand Management (TDM), Intelligent Transportation System (ITS), as well as other mobility enhancing strategies, need to be considered and discussed in the scoping document(s) and Design Report when there are current or expected congestion/mobility problems. There should be a deliberate consideration of opportunities to better manage demand or traffic flow on the system, such as the use of parkand-ride lots, intermodal connection facilities, traffic signal system improvements at interchange crossroads, etc. Opportunities for environmental improvements and mitigation should be considered during scoping. There may be many opportunities for landscaping, water pollution abatement, soil erosion control, pedestrian and bicyclist accommodations (at crossroads or along independent paths) and other appropriate work on freeway 3R projects. Contact the Regional Landscape Architect and/or Regional Environmental Contact for additional information on environmental enhancements during scoping. 7.6.2

Geometric Design Standards

There are no separate standards for freeway 3R projects. The standards for 3R projects on interstates and other freeways are the same as those that apply to new and reconstruction projects, except as specifically noted in Section 7.6.3 of this chapter. Federal law specifically prohibits separate interstate 3R standards. Consequently, there is no relationship between these freeway 3R projects and the Department's Non-Freeway 3R Standards in Section 7.5, which apply only to non-interstate and non-freeway resurfacing, restoration and rehabilitation projects. It is helpful to visualize interstate and other freeway 3R projects as reconstruction projects on existing alignment in respect to everything except the pavement treatment. The standards that apply are from AASHTO's A Policy on Geometric Design of Highways and Streets and AASHTO's A Policy on Design Standards - Interstate System. All standards used, including those reflected in the design criteria, must be consistent with the current design speed established in accordance with Chapter 2, Sections 2.7.1.1.A and 2.6.1. 1/23/2009 7.6.1.2

7-28 7.6.3

RESURFACING, RESTORATION, & REHABILITATION

Design Criteria

A list of design criteria must be provided in accordance with Chapter 2 for the mainline, ramps and any crossroads that have proposed work at ramp terminal intersections. Any critical design elements that do not comply with this section and Chapter 2, Section 2.7 (as referenced in this section), or the appropriate standards that were in effect at the time of construction or the time of inclusion in the interstate system shall be discussed as non-standard features in accordance with Chapter 2, Section 2.8. Except as noted below, this section and Chapter 2, Section 2.7 (as referenced in this section), shall be used to determine the design criteria. The important exceptions are: Standards of the Day: Freeway 3R projects on interstates may use the selected design criteria listed below from the AASHTO Interstate Standards in effect at the time of original construction or inclusion in the interstate system (Reference: page 1 of AASHTO's "A Policy on Design Standards - Interstate System," January, 2005.). Similarly, freeway 3R projects on other freeways may use the selected design criteria listed below, for existing elements, from the interstate standards that were in effect at the time of the freeway's construction. Selected Design Criteria: As shown in Exhibits 7-10 and 7-11, only the standards for stopping sight distance, minimum radii, grade, and the widths of medians, mainline travel lanes, and mainline shoulders from the AASHTO interstate standards in effect at the time of the freeway's construction or inclusion in the interstate system may be used in place of the current standards for existing elements. Other features shall be designed or evaluated against the current standards and guidelines. For example, mainline design speed, horizontal clearance, maximum superelevation, vertical clearance, and ramp lane widths shall be based on current standards and guidelines and NOT the standards from the time of original construction or inclusion in the interstate system. Current standards must also be used for other parameters such as speed change lane lengths, clear zone, etc. When the standards from the time of original construction or inclusion in the interstate system are used, the design criteria must be consistent with the current design speed. In other words, the original design criteria based on a design speed of, say, 60 mph cannot be used unless it will be consistent with the design speed as determined from Chapter 2, Sections 2.7.1.1.A and 2.6.1. The Design Approval Document should reference the appropriate standards that were used. Refer to Section 7.9 of this Chapter for a list of the various editions of the AASHTO "A Policy on Design Standards - Interstate System." NOTE: The method used to determine stopping sight distance changed in the 2001 AASHTO policy. Projects using standards of the day may calculate the stopping sight distance using the method in effect at the time of the freeway's construction or inclusion in the Interstate System.

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7.6.3.1 Guidance on Mainline Critical Design Elements

7-29

When "Standards of the Day" are used for existing features, refer to Exhibit 7-10 for the minimum values for the stopping sight distance, minimum radii, grade, and the widths of medians, mainline travel lanes, and mainline shoulders. Otherwise, the design criteria shall conform to Chapter 2, Section 2.7.1.1. 7.6.3.2 Guidance on Ramp Critical Design Elements

When "Standards of the Day" are used for existing features, refer to Exhibit 7-11 for the minimum values for the ramp design speed, maximum grade, horizontal curvature and stopping sight distance. Otherwise, ramps shall conform to Chapter 2, Section 2.7.5.2, including lane width adequate to accommodate the design vehicle. This applies for rest areas and safety parking area ramps as well as interchange ramps. Note that the "Standards of the Day" do not apply to ramp lane widths.

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7-30

RESURFACING, RESTORATION, & REHABILITATION

Exhibit 7-10 Mainline Critical Design Elements Based on "Standards of the Day"4,5
Editions of AASHTO's "Green Book" & AASHO's "Blue Book"6 Versions of AASHO's & AASHTO's "A Policy on Design Standards - Interstate System" Lane Width Shoulder Width Right Right (Mountainous Terrain) Left Grade1 2001 1990 &1984 1991 & 1967 12 ft 10 ft 6 ft 4 ft 7 M 6.0 5.5 5.0 L R 3.0 4.0 3.0 4.0 3.0 4.0 M 6.0 5.5 5.0 L 3.0 3.0 3.0 3.0 1965 1967 & 1965 12 ft 10 ft 6 ft 4 ft 7 R 4.0 4.0 4.0 4.0 M 6.0 5.5 5.0 1954 1963 & 1956 12 ft 10 ft 6 ft 4 ft 7 L R M 4.0 5.0 6.0 3.0 4.0 5.0 -

1991 12 ft 10 ft 6 ft 4 ft

L R 60 mph 3.0 4.0 65 mph 3.0 4.0 70 mph 3.0 4.0 75 mph -

Minimum Radii at emax2,3 6.0% 8.0% 60 mph 1348 ft 1206 ft 65 mph 1638 ft 1528 ft 70 mph 2083 ft 1910 ft 75 mph SSD3 60 mph 65 mph 70 mph 75 mph 570 ft 645 ft 730 ft 820 ft 36 ft 10 ft 10 ft

6.0% 8.0% 1348 ft 1206 ft 1638 ft 1528 ft 2083 ft 1910 ft 525 ft 550 ft 625 ft 36 ft 16 ft 4 ft 8

6.0% 1263 ft 1483 ft 1815 ft 2206 ft

8.0% 6.0% 8.0% 1143 ft 1263 ft 1143 ft 1341 ft 1633 ft 1815 ft 1633 ft 1974 ft 475 ft 600 ft 36 ft 16 ft 4 ft

475 ft 550 ft 600 ft 675 ft 36 ft 16 ft 4 ft

Median Width Rural Area Mountainous Terrain Urban Area

Notes
1 2 3. 4. 5. 6. 7. 8. Level, rolling and mountainous terrain are abbreviated L, R and M, respectively. For curves with radii larger than the minimum radius, use Chapter 2, Exhibits 2-13 and 2-14 to determine the superelevation rate. To avoid technical discrepancies, metric radii and stopping sight distances are soft converted from US Customary values and rounded to the nearest meter. "Standards of the day" refers to the standards in effect at the time of original construction or inclusion in the interstate system and only applies to existing features. The design criteria must be consistent with the current design speed. Mainline critical design elements not listed in this Exhibit shall be determined from Chapter 2, Section 2.7.1.1 and Section 7.6.3.1 of this chapter. "Green Book" and Blue Book" refer to the AASHTO and AASHO Policies referenced in Section 7.9 of this Chapter. The minimum 4 median consists of two 1 left shoulders and a 2 wide median barrier. FHWA must be consulted before using this standard of the day. In 1991, the minimum urban median width was increased to 10.

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RESURFACING, RESTORATION, & REHABILITATION

Exhibit 7-11 Ramp Critical Design Elements Based on "Standards of the Day"3,5
Editions of AASHTO's "Green Book" & AASHO's "Blue Book"6 Versions of the AASHO & AASHTO "A Policy on Design Standards - Interstate System" Ramp Design Speed4 Mainline Design Speed 50 mph 55 mph 60 mph 65 mph 70 mph 75 mph 25 mph 30 mph 35 mph 40 mph 45 mph 50 mph 2001 1990 &1984 1991 & 1967 Ramp Design Speed7 25 mph 30 mph 30 mph 35 mph 7.0% 7.0% 6.0% 6.0% 5.0% 5.0% 6.0% 8.0% 144 ft 134 ft 230 ft 214 ft 340 ft 310 ft 485 ft 444 ft 675 ft 613 ft 849 ft 764 ft 150 ft 200 ft 225 ft 275 ft 325 ft 400 ft 1965 1967 & 1965 Ramp Design Speed 25 mph 30 mph 30 mph 30 mph 35 mph 7.0% 7.0% 6.0% 6.0% 5.0% 5.0% 6.0% 144 ft 230 ft 340 ft 485 ft 894 ft 1104 ft 8.0% 134 ft 214 ft 310 ft 444 ft 600 ft 741 ft 1954 1963 & 1956

7-31

1991 Ramp Design Speed7 25 mph 30 mph 30 mph 30 mph 35 mph 7.0% 7.0% 6.0% 5.0% 5.0% 6.0% 144 ft 230 ft 340 ft 485 ft 660 ft 835 ft 8.0% 134 ft 214 ft 310 ft 444 ft 500 ft 760 ft

Ramp Design Speed 25 mph 30 mph 30 mph 7.0% 7.0% 6.0% 6.0% 5.0% 5.0% 6.0% 144 ft 230 ft 340 ft 485 ft 894 ft 1104 ft 8.0% 134 ft 214 ft 310 ft 444 ft 600 ft 741 ft

Grade -

Minimum Radii at emax1,2 25 mph 30 mph 35 mph 40 mph 45 mph 50 mph SSD2 25 mph 30 mph 35 mph 40 mph 45 mph 50 mph

155 ft 200 ft 250 ft 305 ft 360 ft 425 ft

160 ft 200 ft 240 ft 275 ft 350 ft

160 ft 200 ft 240 ft 275 ft 350 ft

Notes
1. 2. 3. 4. 5. 6. 7. For curves with radii larger than the minimum radius, use Chapter 2, Exhibits 2-13 and 2-14 to determine the superelevation rate. To avoid technical discrepancies, metric radii and stopping sight distances are soft converted from US Customary values and rounded to the nearest meter. "Standards of the day" refers to the standards in effect at the time of original construction or inclusion in the interstate system and only applies to existing features. Ramp design speed is based on mainline design speed. Therefore, the design criteria must be consistent with the current mainline design speed. Ramp critical design elements not listed in this Exhibit shall be determined from Chapter 2, Section 2.7.5.2 and Section 7.6.3.2 of this chapter. "Green Book" and Blue Book" refer to the AASHTO and AASHO Policies referenced in Section 7.9 of this Chapter. For loop ramps, a 25 mph design speed may be used based on Chapter 2 of this manual and the 1984 through 2004 AASHTO Green Books.

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7.6.3.2

7-32 7.7 7.7.1

RESURFACING, RESTORATION, & REHABILITATION

PROJECT DELIVERY

Timing of Resurfacing Safety Work

Exhibit 7-12 includes a list of typical safety work with the time frames of when the work is to be accomplished. The objective is to minimize the publics exposure to existing or potential safety problems. However, it may be beneficial to use separate contracts or state forces to perform some of the work. Use engineering judgment to determine the appropriate time frame for addressing the safety concerns. 7.7.2

Preparation of Contract Documents & Implementation

Refer to the PDM steps in Chapter 4 and HDM Chapter 21 for the final design requirements for Department let projects. Note that plans are not required for single course overlays but are required for permanent construction activities per HDM Section 21.2.1, which include multiple course projects (2R and 3R). When work is performed by State forces, the Region is to develop plans for permanent construction activities (2R & 3R), consistent with HDM Chapter 21, to serve as a permanent record of the work. The following are federal aid contract requirements: The project must be competitively let and the work by State forces cannot be an integral part of the contract for the paving work (e.g., State forces doing the M&PT work for Vendor In-place Paving). The Office of General Service (OGS) let Vendor in Place Paving (VPP) projects meet Federal Highway Administration (FHWA) requirements and can be used on federal-aid projects complying with the requirements of this chapter. Maintenance and construction work performed by State forces is not reimbursable with Federal funds and must be accomplished with 100% State funds only.

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RESURFACING, RESTORATION, & REHABILITATION

Exhibit 7-12 Timing of Safety Related Work for Resurfacing Projects
PIN: Timing To be done before the paving contract, as required To be done during the paving contract, as required Work Replace or install regulatory or warning signs as noted by regional forces. Clean, repair or install any closed drainage system components. Superelevation. Shoulders. Interim treatment for edge of pavement drop-offs shall be provided in accordance with 619-3.01 G.3 of the NYSDOT Standard Specifications and shall continue until the edge drop-offs are corrected. Modify driveways to conform to the spirit and intent of the most recent Policy and Standards for Entrances to State Highways. (Multi-course resurfacing only) Modify curbing to conform to HDM 10.2.2.4. (Multi-course resurfacing only) Pavement markings (Pavement markings shall be in accordance with the Department Pavement Marking Policy. For temporary pavement markings, refer to specifications and current EBs and EIs for timing. In general, pavement markings are needed for all lanes opened to traffic at the end of the construction day/night.). Shoulder Rumble strips. Back-up shoulders to eliminate edge drop-offs. Additional/updated regulatory, advisory and warning signs not addressed above (generally within 2 months). Brush removal, clearing and grubbing. Fixed objects: remove, relocate, modify to make crash worthy, shield by guide rail/crash cushion, or delineate. Guide rail: U reset guide rail that is or will be at the improper height. (ref. HDM Table 10-7). U replace severely deteriorated and non-functional guide rail (ref. HDM 10.3.1.2 B). U replace severely substandard guide rail and connections to bridge rail (e.g., concrete post/cable or railroad rail post/cable) and transitions between different rail types. (ref. HDM 10.3.1.2 B). U install guide rail if missing or not extending to the point of need if a serious hazard, such as a cliff, deep body of water or liquid fuel tank is exposed and there is a reasonable expectation that vehicles will reach the hazard (ref. HDM 10.2.2.1). U restore guide rail deflection distance through clearing and grubbing. (Ref. HDM 10.2.2.3 & Table 10-3) Delineation. Guide rail not addressed under the as soon as possible work noted above (e.g., new runs of guide rail). Replace any missing or damaged reference markers. Fixed objects which cannot be practically addressed as soon as possible. Install guide signs/route markers, if needed.

7-33

To be done before, during, or as soon as possible following completion of the paving contract, as appropriate (i.e., The safety work should normally be completed within 2 months of the paving work, unless otherwise specified. As an exception, safety work needed to supplement paving work completed near the end of the construction season may be deferred to the first couple of months in the following construction season if its completion within 2 months is impractical. Pavement markings, regulatory signs, warning signs, critical guide rail, and other work to mitigate an accident problem are not included in this exception.)

To be done before, during, or in a timely manner following the completion of paving (i.e., within 18 months of the paving work)

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7.7.2

7-34 7.8

RESURFACING, RESTORATION, & REHABILITATION

SAFETAP REPORTING FOR 1R & 2R PROJECTS

A Safety Appurtenance (SAFETAP) Reporting Form is to be completed by each Regional Office at the end of each State fiscal year. The form is to be submitted to the Office of Safety and Security. A sample form is included as Exhibit 7-13. The following information is to be reported in the form: A listing of all 1R and 2R sites paved. This listing should include the beginning and ending reference marker for each site. The fund source used for the paving work. The year and month that the paving was done. The reference markers and description of improvements made (to be made) after the paving work was done. A site visit is to be performed to ensure the safety issues have been properly addressed. The year and month that the improvements were made or scheduled to be completed, in accordance with Section 7.7.1 of this chapter.

7.8

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RESURFACING, RESTORATION, & REHABILITATION

7-35

Exhibit 7-13 Sample 2R SAFETAP Reporting Form - Completed Safety Improvements

Resurfacing Site Beg. RM 1. End. RM Project Type 2R Fund Source State Resurfacing Complete May, 2002 Post Mounted Delineation Post Mounted Delineation 1R Federal June, 2002 Superelevation 2R State July, 2002 Guide Rail Replacement Clear zone widening 1R Federal May, 2002 Chevrons Chevrons August, 2002 August, 2002 October, 2002 October, 2002 June, 2002 June, 2002 June, 2002 Improvements Completion Date Month/Year

25 0303 1161 1101 1137 1138 1148 1149

2. 25A 0302 1087 1068 1077 1078 3. 27 0304 1146 1139 1139 1141 1141 1146 4. 101 0301 1012 1004 1006 1008 1010 1011

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7-36 7.9 1.

RESURFACING, RESTORATION, & REHABILITATION

REFERENCES A Policy on Design Standards, Interstate System, July 12, 1956; April 12, 1963; October 24, 1963; May 15, 1965; June 20, 1967; July, 1991, and January, 2005, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Policy on Geometric Design of Highways and Streets, 1984, 1990, 1994, 2001, and 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Policy on Geometric Design of Rural Highways, 1954 and 1965, American Association of State Highway Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Americans With Disabilities Act Accessibility Guidelines for Buildings and Facilities, 49 CFR Part 37, Appendix A, USDOT, 400 7th St. S.W., Washington, D.C. 20590. Reprinted Dec. 1993, Landscape Architecture Bureau, New York State Department of Transportation, for Department staff only. Bridge Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Comprehensive Pavement Design Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Cross Section Alignment Design Issues, TRR 1445, 1994, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Designing Safer Roads: Practices for Resurfacing, Restoration, and Rehabilitation, Special Report 214, 1987, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Environmental Procedures Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232.

2.

3.

4.

5. 6. 7. 8.

9.

10. Geometric Design Guide for Resurfacing, Restoration, and Rehabilitation (RRR) of Highways and Streets, 1977, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. 11. Highway Capacity Manual, Special Report 209, 1997, Transportation Research Board, National Research Council, 2101 Constitution Avenue, N.W., Washington D.C., 20418. 12. Highway Safety Design and Operations Guide, 1997, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. 13. Highway Safety Improvement Program: Procedures and Techniques, 1989, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. 7.9 1/23/2009

RESURFACING, RESTORATION, & REHABILITATION

7-37

14. New York State's 2006 - Highway Sufficiency Ratings, Technical Services Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. 15. Official Description of Designated Qualifying and Access Highways in New York State, April 2006, Traffic Engineering and Highway Safety Division, Operations Bureau, New York State Department of Transportation, 50 Wolf Road, POD 42, Albany, NY 12232. 16. Project Development Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. 17. Relationship Between Safety and Key Highway Features: A Synthesis of Prior Research, State of the Art Report 6, 1987, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. 18. Roadside Design Guide, 2006, American Association of State Highway and Transportation Officials, Suite 249, 444 North Capitol Street, N.W., Washington, D.C. 20001. 19. Roadway Widths for Low-Traffic-Volume Roads, NCHRP 362, 1994, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. 20. Safety Effectiveness of Highway Design Features: Volumes I - VI, November, 1992, Federal Highway Administration, Design Concepts Research Division, HSR-20, Turner Fairbank Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296. 21. Safety Effectiveness of Roadway Design Decisions, TRR 1512, 1995, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. 22. Vehicle and Traffic Law, New York State Department of Motor Vehicles, Empire State Plaza, Albany, NY 12228.

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APPENDIX A METRIC HIGHWAY DESIGN MANUAL

Chapter 7 - Resurfacing, Restoration And Rehabilitation (1R, 2R & 3R)

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CHAPTER 7 APPENDIX A - METRIC RESURFACING, RESTORATION AND REHABILITATION Contents M7.1 M7.2 Page

INTRODUCTION..........................................................................................................7A-1 PROJECT DEVELOPMENT .......................................................................................7A-2 Determining the Project Type.......................................................................... 7A-2 Project Development Process ......................................................................... 7A-4 ........................................................................................................7A-7

M7.2.1 M7.2.2 M7.3 M7.4

1R PROJECTS

2R PROJECTS ............................................................................................................7A-8 Definition of 2R................................................................................................ 7A-8 2R Requirements ........................................................................................... 7A-8

M7.4.1 M7.4.2 M7.5

NON-FREEWAY 3R PROJECTS ..............................................................................7A-11 Non-Freeway 3R Scope of Work .................................................................. 7A-11 Design Criteria (Critical Design Elements and Other Controlling Design Parameters) .......................................................................................7A-15 Horizontal Curve Evaluations ....................................................................... 7A-24

M7.5.1 M7.5.2 M7.5.3 M7.6

FREEWAY 3R PROJECTS .......................................................................................7A-26 Definition of Freeway Resurfacing, Restoration & Rehabilitation (3R) ......... 7A-26 Geometric Design Standards .........................................................................7A-28 Design Criteria................................................................................................7A-28

M7.6.1 M7.6.2 M7.6.3 M7.7

PROJECT DELIVERY ...............................................................................................7A-32 Timing of Resurfacing Safety Work................................................................7A-32 Preparation of Contract Documents & Implementation ..................................7A-32

M7.7.1 M7.7.2 M7.8 M7.9

SAFETAP REPORTING .......................................................................................... 7A-34 REFERENCES......................................................................................................... 7A-36

APPENDIX A - METRIC RESURFACING, RESTORATION AND REHABILITATION

LIST OF EXHIBITS M7-1 M7-2 M7-3 M7-4 M7-5 M7-6 M7-7 M7-8 M7-9 M7-10 M7-11 M7-12 M7-13 Resurfacing Safety Assessment Form .................................................................... 7A-5 2R Screening/Scoping Checklist ............................................................................. 7A-9 Non-Freeway 3R Screening/Scoping Checklist .......................................................7A-13 Minimum Lane and Shoulder Widths for Rural Highways........................................7A-17 Lane and Shoulder Width for Widening Rural Highways .........................................7A-17 Horizontal Curvature ................................................................................................7A-18 Minimum Stopping Sight Distance (SSD) ................................................................7A-19 Minimum Lane and Shoulder Width for Urban Highways ........................................7A-22 Lane and Shoulder Width for Widening Urban Highways ........................................7A-22 Mainline Critical Design Elements Based on "Standards of the Day" ......................7A-30 Ramp Critical Design Elements Based on "Standards of the Day" ..........................7A-31 Timing of Safety Related Work for Resurfacing Projects .........................................7A-33 Sample 2R SAFETAP Reporting Form - Completed Safety Improvements .......... 7A-35

RESURFACING, RESTORATION, & REHABILITATION

M7.1 INTRODUCTION

7A-1

The deterioration of our transportation infrastructure in New York State has been well documented and the Department has a duty to maintain facilities constructed with federal funds per 23 USC 116(a). The State is faced with more service and safety needs than can be met with available funds. Extensively upgrading facilities, which perform at acceptable levels and do not have a documented safety deficiency, to current standards for new or reconstruction projects is not cost effective. Available dollars must be used to repair as many miles of highways and as many bridges as practicable. This goal can be achieved on a project by project basis using engineering skills to treat known and potential safety and operational problems. Single course resurfacing (1R) and multi-course resurfacing, restoration and rehabilitation (2R/3R) projects were developed to help extend the State's limited resources to achieve this goal. Resurfacing is defined as the placement or replacement of a pavement course(s) to enable the existing pavement to achieve its design life and to provide additional strength or to improve serviceability while not degrading safety. Restoration and rehabilitation are defined as the work required to return the existing pavement to a suitable condition for resurfacing while enhancing highway safety. This includes work necessary to return the roadway, including the shoulder, roadside, bridges and appurtenances to a condition of structural or functional adequacy. The purpose of this chapter is to provide the basic scope of work and design criteria for 100% State funded and federally funded single and multiple course overlays and inlays. This chapter covers: 1R (single course resurfacing) for all highways. 2R (simple freeway and non-freeway 3R project). Non-freeway 3R (resurfacing, restoration, and rehabilitation). Freeway 3R using standards of the day.

This chapter is not all inclusive. Other chapters and Engineering Instructions continue to provide requirements and guidance for design elements not modified by this chapter, such as pavement design, traffic control devices, guide rail, accommodation of pedestrians and bicyclists, drainage, utilities, landscaping, driveways, etc.

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7A-2 M7.2

RESURFACING, RESTORATION, & REHABILITATION

PROJECT DEVELOPMENT

One of the major decisions is to determine the appropriate type of project to address the needs and resulting objectives. Prematurely deciding on a resurfacing project or deciding not to gather needed data defeats the scoping process. This can lead to a failure to identify important problems that need treatment, selecting the wrong type of project, or designing an incomplete solution. Accordingly, it is essential that functional group representation on the scoping team be emphasized to reduce the possibility of this occurring. The NYSDOT Project Development Manual (PDM) covers the project development procedures for maintenance, simple, moderate and complex projects that include 1R, 2R and 3R projects. The following sections help determine the appropriate standards for pavement resurfacing, restoration, and/or rehabilitation work.

M7.2.1

Determining the Project Type

The following steps are necessary to determine the Project Type (1R, 2R or 3R):

1. Pavement Evaluation and Treatment Selection For any paving project, it is important to determine the primary types of deterioration and select the most appropriate treatment(s). The NYSDOT Comprehensive Pavement Design Manual (CPDM) describes accepted treatment alternatives (ranging from preventive maintenance to reconstruction) and provides guidance on selection procedures. That manual, and other current Department pavement policy and instructions, should be followed as appropriate. The Resident Engineer and Regional Materials Engineer are to be contacted for input on the pavement evaluation and treatment selection. 2R and 3R projects may include segments (generally greater than 1 km) of preventive maintenance, corrective maintenance or all types of rehabilitation pavement treatments (including rubblizing and cracking and seating). More extensive pavement treatments (i.e., reconstruction) may qualify as part of a 2R or 3R project if: It does not include the construction of new highway segments There is less than 1 km of continuous pavement reconstruction The reconstruction is less that 25% of the total project length On 1R projects, pavement repairs are limited to isolated pavement distress (e.g., joint failure, frost heave, pavement blow-up).

2. Safety Assessment The Safety Appurtenance Program (SAFETAP) ensures that safety considerations are i n c o r p o r a t e di n t ot h eD e p a r t me n t sma i n t e n a n c ep a v i n gp r o j e c t s .S A F E T A Pr e q u i r e sa project review of paving sites by a team of qualified Department staff for the purpose of deciding the low cost safety work to be implemented before, at the time of, or soon after, construction. M7.2.1 1/23/2009

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During project initiation or early in project scoping, one or more licensed professional experts from Traffic, Design (generally not the designer), and Maintenance, and any other experts as deemed appropriate, are to be selected to become part of an independent Safety Assessment Team. The Safety Assessment Team will: Perform a simple analysis of site related computerized accident data in accordance with Section 5.3.5 of this manual. Examine the sites selected (generally the project designer will help facilitate the field visit). Make recommendations for low cost safety work based on Safety Assessment and the selected pavement treatment. Coordination between the Safety Assessment Team and project team (e.g., Regional Design; Traffic; Maintenance; Planning and Program Management; Regional Structures, etc.) is imperative for the successful completion of the process. The objectives are to build consensus on the scope of improvements, make certain decisions in the field, and expedite the project while avoiding conflicts with on-going or future projects. This will expedite the process and reduce paper work, e-mails, memos, and meetings. Complete the Resurfacing Safety Assessment Form in Exhibit M7-1. A key element in this process is the documentation of safety related work. The form summarizes the safety related items that need to be documented. This encourages the consideration of low cost safety and other operational improvements. For 1R and 2R projects, the form replaces the comprehensive Design Report format used for 3R projects (Refer to Section M7.2.2 for project documentation). For 3R projects, the form helps identify basic safety improvements. Recommended safety work that will not be addressed is to be documented and explained in the Design Approval Document in accordance with PDM Appendix 7. A Safety Appurtenance (SAFETAP) Reporting Form shall be completed by each Regional Office at the end of each State fiscal year. See Section M7.8 of this chapter. 3. Project Type Selection

Projects that include single course resurfacing (overlay or inlay) with no pavement widening or other work beyond the scope of a 1R project (Refer to Section M7.3 of this chapter) can be progressed as a 1R project using section M7.3 of this chapter. Projects that include multiple course resurfacing (overlay or inlay) o r d o n t me e t t h e1 R requirements in Section M7.3 of this chapter should be progressed as 2R using section M7.4 of this chapter if they meet the 2R Screening/Scoping Checklist in Exhibit M7-2 and do NOT include: 1/23/2009 Substantial amounts of reconstruction (e.g., 1 km or more of continuous reconstruction or more than 25% of the length) Additional through travel lanes. New two-way left-turn lanes, additional through lanes or medians Bridge work (other than element-specific eligible bridge work). Substantial environmental impacts. Anticipated controversy. Formal public hearings. M7.2.1

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RESURFACING, RESTORATION, & REHABILITATION

Extensive (non-de minimis) right-of-way (ROW) acquisitions per the Eminent Domain Procedure Law (EDPL).

Segments that do not meet all of the screening requirements for 2R projects should be progressed as a 3R using Section M7.5 for non-freeways or Section M7.6 for freeways unless they require: Substantial amounts of reconstruction (i.e., 1 km or more of continuous reconstruction and no more than 25% of the total project length) Additional through travel lanes, except short auxiliary through lanes to help intersection capacity.

M7.2.2 Project Process and Design Approval Document Process - 1R, 2R and 3R projects should follow the Project Development Manual (PDM) Steps in Chapter 4, the Design Related Approvals Matrix, and Appendix 7. Section 7.7 of this chapter on project delivery applies to 1R, 2R and all 3R projects. After the project is completed, 1R and 2R projects require the preparation of a SAFETAP Reporting Form For Completed Safety Improvements as discussed in Section M7.8 of this chapter. Design Approval Documentation - 1R projects use an Initial Project Proposal/Final Design Report (IPP/FDR) to obtain project initiation, scoping and design approval using a single document. 2R projects use Project Scoping Report/Final Design Report (PSR/FDR) for scoping and design approval. 3R projects require separate Project Scoping and Design Reports to obtain scoping approval and design approval. Refer to PDM Appendix 7 for more information. Refer to PDM Appendix 7, Exhibit 7-11 for the material that should be attached to the 1R, 2R and 3R design approval documents.

M7.2.2

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Exhibit M7-1 Resurfacing Safety Assessment Form (Page 1 of 2)
PIN = Safety Assessment Team Design = Traffic = Maintenance = Element Guidance Comments Date =

7A-5

The Following Elements Apply to Single and Multicourse Resurfacing Projects (1R, 2R, and 3R): Signing Signs should be installed as needed in accordance with the MUTCD. Review for condition (retroreflectivity), location, post type (breakaway or rigid), and appropriateness (need). Immediately notify the Resident Engineer of any missing regulatory or warning signs. Pavement markings should be installed in accordance with the MUTCD. The adequacy of existing passing zones should be e v a l u a t e d .C u r r e n t E I s a n ds p e c i f i c a t i o n s mu s t b ef o l l o w e d . Delineation should be installed per the MUTCD Trim, remove, or replace vegetation to improve substandard intersection sight distance, and horizontal and vertical stopping sight distance. Guidance: Intersection Sight Distance - HDM 5.9.5.1 Passing Sight Distance - HDM 5.7.2.2 Horizontal & Sag Vertical SSD - HDM Chapter 2 and HDM 5.7.2.1 and HDM 5.7.2.4 For 1R projects: Address obvious objects that are within the prevailing clear area and within the ROW based on engineering judgment from a field visit (e.g., tree removal on the outside of a curve or installation of traversable driveway culvert end sections). For 2R/3R projects: Reestablish the clear zone and remove, relocate, modify to make crash worthy, shield by guide rail/crash cushion, or delineate any fixed objects. For guidance on identifying fixed objects, refer to HDM 10.3.1.2 B. Guide Rail The following should be used to evaluate the need for guide rail and other roadside work. HDM 10.2.2.1 - point of need HDM Table 10-7 - acceptable guide rail height HDM 10.3.1.2 B - guidance on determining severely deteriorated guide rail and non-functional guide rail HDM 10.2.2.3 and Table 10-3 - barrier deflection distance HDM 10.2.2 - design of new guide rail Current EIs and EBs. The Regional Structures Group, Regional Design Group, Main Office Structures, and Design Quality Assurance Bureau should be contacted, as needed, to help identify substandard connections to bridge rail and for the recommended treatment. Contact Regional Rail Coordinator. Contact Office of Design if replacing crossing surface as required per HDM Ch 23. On rural, high speed facilities (80 km/h or greater) consider shoulder rumble strips in accordance with HDM 3.2.5.4. Centerline rumble strips should be considered for similar facilities and where head-on and sideswipe rates are above average.

Pavement Markings Delineation Sight Distance

Fixed Objects

Bridge Rail Transitions

Rail Road Crossing Rumble Strips

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M7.2.2

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Exhibit M7-1 Resurfacing Safety Assessment Form (Page 2 of 2)

Element Shoulder Resurfacing Guidance Unpaved, stabilized shoulders should be paved in order to reinforce the edge of the traveled way, accommodate bicyclists, and increase safety. A 1:10 pavement wedge maybe used to transition between the travel way paving and a paved shoulder that will not be resurfaced on nonfreeways. Comments

Edge DropOffs

Edge drop-offs are not permitted between the traveled way and shoulder. Where edge drop-offs will remain at the outside edge of fully paved shoulders and vehicles could have a wheel leave and return to the roadway, the edge is to be sloped at 1:1 or flatter and have a maximum height of 50 mm to help accommodate motorcycles and trucks. Consult HDM 5.7.3. Identify where the recommended speed Superelevation is less than design speed (use Section 2.6.1.1 of this manual). Improve superelevation (up to the maximum rate as necessary using AASHTO Superelevation Distribution Method 2) to have the recommended speed equal to the design speed. Where the maximum rate is insufficient, install advisory speed signs and consider additional treatments (e.g., chevrons, roadside clearing), as needed. The Following Are Additional Elements Where Multicourse Resurfacing (2R and 3R) is Recommended: Superelevation For Freeway projects, the superelevation is to be improved to meet the values in HDM Ch 2, Tables 2-13 or 2-14 (which utilizes AASHTO Superelevation Distribution Method 5).

Speed Change S p e e dc h a n g el a n e s s h o u l dme e t A A S H T O G r e e nB o o k Lanes Chapter 10 standards. Clear Zone(s) Traffic Signals Establish based on HDM 10.3.2.2 A for non-freeway and HDM 10.2.1 for freeways. Signal heads should be upgraded to meet current requirements. Detection systems should be evaluated for actuated signals and considered for fixed-time signals. New traffic signals that meet the signal warrants may be included. Shoulders should be widened to 0.6 m on local rural roads and 1.2 m on other nonfreeway rural facilities for motor vehicle recovery, bicyclists, and pedestrians.

Shoulder Widening

Lane Widening Non-freeway lanes may be widened per HDM 7.5.3. New through travel lanes are not permitted. Design Vehicle Intersections should accommodate the design vehicle without encroachment into other travel lanes or turning lanes. Driveways Driveways shall meet the spirit and intent of the most recent P o l i c y a n dS t a n d a r d s f o r the Design of Entrances to State H i g h w a y s in Chapter 5, Appendix 5A of this manual. Turn lanes should meet the requirements of HDM 5.9.8.2 Curbing must meet the requirements of HDM 10.2.2.4. For freeways, curbing that cannot be eliminated should be replaced with the 1:3 slope, 100 mm high traversable curb. Closed drainage work may include new closed drainage structures, culverts, and the cleaning and repair of existing systems. Subsurface utility exploration should be considered for closed drainage system modifications. Sidewalk curb ramps and existing sidewalks must meet HDM Chapter 18 requirements. Consider cross walks and pedestrian push buttons at signals. Minimum shoulder width of 1.2 m if no curbing.

Turn Lanes Curbing

Drainage

Pedestrian & Bicycle

Other

M7.2.2

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M7.3 1R PROJECTS

7A-7

1R projects are single course freeway or non-freeway resurfacing projects. Refer to Section 7.2 of this chapter to determine the proper project type. 1R projects must meet the following requirements: Overlays are limited to a single course with a maximum thickness of 50 mm. Additional thickness is permitted for superelevation improvements and to address isolated pavement distress (e.g., joint failure, frost heave, pavement blow-up). Multiple course resurfacing projects shall be progressed as 2R or 3R projects in accordance with the PDM and this chapter. The existing pavement must have a pavement surface condition rating of 6 or greater. Exceptions must follow the pavement treatment selection in Chapter 3 of the Comprehensive Pavement Design Manual and be approved on a case by case basis by the Regional Director. Truing & leveling is to be used at spot locations to remove irregularities in the old pavement, fill and patch holes, correct variations in banked pavement, establish pavement crowns and for the terminations of the overlay as noted in Section 3.3.1 of this manual. Truing and leveling is not to be used over substantial lengths of the project to effectively increase the overall maximum overlay thickness or add a second pavement course. Wheel ruts are to be filled with a shim course or top course material. The intent is to fill ruts to improve surface drainage and allow adequate compaction of the overlay without adding a second pavement course that would warrant a more in depth evaluation. Milling may be used in place of truing and leveling. Milling of 50 mm or less may be performed for the traveled way or traveled way and full depth shoulders to maintain the existing surface elevation. Reasons for milling include: maintaining vertical clearances, maintaining proper barrier heights, maintaining curb height for drainage, and replacing a poor top course on a sound pavement structure. Spot locations may have more milling to obtain an acceptable cross slope and profile. The overlay must extend the full width of the paved roadway (travel lanes & paved shoulders) unless milling is performed as noted above and the paved shoulders, if any, are in satisfactory condition. Where shoulders are in good condition, the travel lane overlays (50 mm or less) may be feathered (1:10) on the shoulder. Lane and shoulder widening are not permitted. Where the travel lanes are in good condition (6 or greater) and the safety assessment does not recommend any work on the traveled-way, 1R projects may involve resurfacing of the shoulder only. The Safety Assessment Team must inspect each site and complete the Resurfacing Safety Assessment Form as outlined in Section 7.2.1 of this chapter. The non-pavement work must be performed in accordance with Sections 7.7.1 of this chapter. A report is prepared in accordance with Section 7.2.2 of this chapter. The contract is not restricted to the 10 contract items as stated in CPDM Appendix 3E. Safety work that meet the above criteria and either of the following criteria are to be implemented under the 1R Requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or likely (i.e., a reasonable likelihood of occurrence) safety problems

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M7.3

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2R PROJECT

M7.4

M7.4.1 Definition of 2R Projects 2R projects are defined as simple freeway or nonfreeway 3R projects. 2R projects are multicourse resurfacing projects that may include: milling, superelevation, traffic signals, turn lanes, driveway modifications, roadside work, minor safety work, lane and shoulder widening, drainage work, sidewalk curb ramps, etc. 2R projects do not include: New through travel lanes. New two-way left-turn lanes (TWLTL), auxiliary lanes or medians Extensive pavement reconstruction (e.g., 1 km or more of continuous reconstruction or more than 25% of the total project length). Bridge work (other than element-specific eligible bridge work). Substantial environmental impacts. Anticipated controversy. Formal public hearings. Extensive (non-de minimis) right-of-way (ROW) acquisitions per the Eminent Domain Procedure Law (EDPL). Refer to Section M7.2.1 of this chapter to determine the proper project type.

M7.4.2 2R Requirements The 2R requirements are contained in Exhibit M7-2. In general, where the 2R requirements are silent, the project should follow standard Department guidance and policies. Where policies and guidance have specific information for 3R projects, it should be used for 2R projects as well. The primary advantage of a 2R project compared to a 3R project is the simplified design approval document per PDM Appendix 7.

M7.4.2

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Exhibit M7-2 2R Screening/Scoping Checklist (Page 1 of 2)
PIN: 1. PAVEMENT TREATMENT SCREENING No full-depth replacement of pavement except in localized areas (i.e., must be 1 km or less of continuous reconstruction and less that 25% of the project length). At a minimum, shoulders, if any, must be restored to a satisfactory condition and be flush with the edge of traveled way. 2. CAPACITY SCREENING Through Capacity - A Level of Service (LOS) analysis is performed in accordance with HDM 5.2 . Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. For Interstates, the ETC+10 LOS must meet the criteria in HDM Chapter 2. Justify any nonstandard LOS. For non-Interstates, the ETC+10 LOS i s a t l e a s t D o r , t h ed e s i g na p p r o v a l documents that T h eR P P Md o e s n o t a n t i c i p a t ec a p acity improvements within ten years. Non Freeway Intersection Capacity - Intersections with observed operational or safety problems due to lack of turn lane or insufficient length of turn lane are analyzed in accordance with HDM 5.2 . Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. New turn lanes needed at intersections (signalized and unsignalized) are to: Meet the length required by HDM 5.9.8.2 or include an explanation for nonconforming lengths in the design approval document. Meet the width requirement in M7.5.3.1 B for rural highways or M7.5.3.2 B for urban highways. Meet the air quality requirements of Environmental Procedure Manual (EPM) 1.1. 3. GEOMETRIC DESIGN CRITERIA SCREENING Non-freeway routes: 3R standards referenced in HDM M7.5. Interstate System or other freeways: HDM 2.7.1.1 as modified by M7.6.3. All non-standard geometric features are justified in accordance with HDM 2.8. Non-conforming features (HDM 5.1) are listed in the design approval document with an explanation, as necessary. 4. GENERAL DESIGN SCREENING Interstate System or other freeway routes meet the requirements of HDM M7.6. Roadside design meets the requirements for 3R projects in HDM 10.3. Bridge work is eligible for the element-specific process. (Refer to PDM Appendix 7.)

7A-9

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M7.4.2

7A-10 Exhibit 7-2

RESURFACING, RESTORATION, & REHABILITATION

2R Screening/Scoping Checklist (Page 2 of 2)

5. SAFETY SCREENING - A three-year accident history review indicates the following: (This can be quickly accomplished u s i n gr e a d i l y a v a i l a b l ep r o d u c t s f r o mt h eD e p a r t me n t s S a f e t y Information Management System (SIMS) and the computerized TE-164 methodology). The overall three-year accident rate is less than the average rate for a comparable type of facility, as shown in SIMS. The occurrence of Fatal, Injury, and combined Fatal+Injury accidents is not above average for similar type highways. Locations listed on the regular Priority Investigation Location (PIL) list within the project limits are addressed. A PIL is considered addressed if it has been investigated in the last five years and the recommendations implemented or are incorporated into the proposed project. L o c a t i o n s l i s t e do nt h e F i x e dO b j e c t &R u n -O f f R o a d P I Ll i s t w i t h i nt h ep r o j e c t l i mi t s a r e addressed. Locations listed on the Wet-Road PIL list within the project limits are addressed. Note: Segments that do not meet all of the above shall undergo an accident analysis using the methodology in HDM 5.3. The accident analysis and recommendations should be attached to the design approval document as an appendix. If, based on the accident analysis, it is decided to undertake a safety improvement that cannot be implemented in a 2R project, a 3R or other type of project should be progressed. 6. SAFETY ASSESSMENT - Perform a road safety assessment (Exhibit M7-1) as discussed in Section M7.2 of this chapter. Safety work that meets either of the following criteria is to be implemented under the multi-course requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or potential safety problems. 7. PUBLIC OUTREACH SCREENING Appropriate public involvement is done (See PDM Appendix 2) and community concerns are satisfactorily addressed. No formal public hearings are required or held. 8. ENVIRONMENTAL SCREENING SEQR (All projects): The project is determined to be a SEQR Type II (i.e., complies with 17 NYCRR 15.14(d) and 17 NYCRR 15.14(e)(37)). NEPA (Federal-aid projects): NEPA Assessment Checklist is completed and the project is determined to be either a NEPA Class II Programmatic Categorical Exclusion or a Categorical Exclusion with documentation and FHWA approval concurrence must be obtained. NOTE: Only segments that meet all of the requirements above can be progressed as 2R.

M7.4.2

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RESURFACING, RESTORATION, & REHABILITATION M7.5 NON-FREEWAY 3R PROJECTS

7A-11

This section sets forth the design criteria and guidance for non-freeway 3R projects and highlights areas of particular importance to the scoping and design efforts. For the purposes of this chapter, the term non-freeway applies to all projects not on interstates and other freeways, expressways and multi-lane divided parkways as defined in Section 2.4.1.2 of this manual. The specific design requirements and guidance for the drainage, roadside, pavement, traffic control devices, etc., are in other sections of the Highway Design Manual, appropriate Engineering Instructions, etc. All Department policies, procedures, standards, rules and regulations are to be followed except as specifically modified by this section.

M7.5.1

Non-Freeway 3R Scope of Work

Non-freeway 3R projects are designed to preserve and extend the service life of an existing highway, including any cost-effective safety improvements and other safety improvements. 3R projects are required to enhance safety. The scope of non-freeway 3R work cannot be arbitrarily limited to the surfaced roadway (i.e., the roadside must be considered in developing the scope of a non-freeway 3R project). Non-freeway 3R projects should generally provide a highway section that will require only routine maintenance work for many years after construction. Other work, such as bridge cleaning, painting and rehabilitation can be progressed concurrently with a 3R project to reduce motorist delays. However, if the bridge work expands from rehabilitation to replacement, the remaining service life of the structure may warrant that the bridge be retained as is (or with minor work) and programmed for future replacement. Changes to a highway's geometric elements, which are not required to meet minimum 3R standards or part of a low-cost safety enhancement or low-cost operational improvement, should be supported by an analysis demonstrating that the proposed work is cost-effective, (e.g., a non-freeway 3R project that proposes to widen a highway to the new or reconstruction minimum lane widths in Chapter 2, Section 2.7). Note that the safety and operational effects of the improvements should be considered together when calculating whether or not an improvement would be cost-effective. Non-freeway 3R pavement treatments generally have a service life of 10 to 20 years. However, reconstruction of short segments may be necessary to meet the project objectives. For example, straightening of a horizontal curve, which increases the curve length, usually requires full reconstruction between the beginning and ending points of the curve. Reconstruction segments of 1 km or more shall be designed in accordance with the standards for new and reconstruction projects, including design criteria from Chapter 2 of this manual. The future plans for the facility and the length of the reconstruction work are factors in the decision to widen the roadway to the Chapter 2 widths, or justify using widths that are consistent with the adjacent non-freeway 3R segments. Some of the work may be accomplished more efficiently by separate contract. This is acceptable as long as the separate contracts are progressed in a timely manner (See Section M7.7 of this chapter). The conditions of each individual project should be evaluated to determine if work by a separate contract is a viable option. When work will be done by a separate contract within the limits of the non-freeway 3R project, the work is to be discussed in 1/23/2009 M7.5.1

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the Design Approval Document. This discussion is required since the approval of the nonfreeway 3R project may be dependent on the scope and schedule of the work being done under a separate contract. Refer to Exhibit M7-3 for requirements and guidance on the scope of work for a non-freeway 3R project.

M7.5.1

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Exhibit M7-3 Non Freeway 3R Screening/Scoping Checklist (Page 1 of 2)
PIN: 1. FUNCTIONAL CLASSIFICATION Highway is not classified as an Interstate or other freeway as defined by Chapter 2, Section 2.4. 2. PAVEMENT TREATMENT SCREENING No full-depth replacement of pavement except in localized areas (i.e., must be 1 km or less of continuous reconstruction and less that 25% of the project length). At a minimum, shoulders, if any, must be restored to a satisfactory condition and be flush with the edge of traveled way. Pavement treatments are to be designed to a minimum expected service life (ESL) of 10 years and desirably 15 to 20 years. ESL's of 5 to 9 years are non-conforming features that require an explanation. 3. CAPACITY SCREENING Through Capacity - A Level of Service (LOS) analysis is performed in accordance with HDM 5.2 Note: secondary data may be used if approved by the RPPM. The ETC+10 LOS will be at least D o r , t h ed e s i g na p p r o v a l d o c u me n t s t h a t the RPPM or Regional Traffic Engineer does not anticipate capacity improvements within ten years. Additional through travel lanes cannot be created/constructed. This includes restriping an existing 4- lane highway to 6 lanes, with or without widening the existing pavement. Intermittent climbing and passing lanes are allowed. New or existing Continuous Left Turn Median Lanes are to be a minimum of 3.3 m wide with minimal reconstruction work (e.g., through restriping, minor widening, changing a 4 lane road to a 3 lane road). NOTE: Additional through travel lanes substantially change the operating characteristics of the highway and violate the basic premise of the non-freeway 3R standards. Additionally, added travel lanes may create safety and operational problems, not only for the project segment, but at other locations within the highway system. Significant social, economic, and environmental concerns may also result from increasing the number of travel lanes. Intersection Capacity - Intersections with observed operational or safety problems due to lack of turn lane or insufficient length of turn lane are analyzed in accordance with HDM 5.2. Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. New turn lanes needed at intersections (signalized and unsignalized) are to: Meet the length required by HDM 5.9.8.2 or include an explanation for nonconforming lengths in the design approval document per HDM 5.1. Meet the width requirement in M7.5.3.1 B for rural highways or M7.5.3.2 B for urban highways. Meet the air quality requirements of Environmental Procedure Manual (EPM) 1.1. New, longer, and/or wider auxiliary lanes through an intersection with minimal reconstruction work. 4. GEOMETRIC DESIGN CRITERIA SCREENING Non-freeway 3R standards in HDM M7.5.3 All non-standard geometric features are justified in accordance with HDM 2.8. Non-conforming features (HDM 5.1) are listed in the design approval document with an explanation, as necessary.

7A-13

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M7.5.1

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Exhibit M7-3 Non Freeway 3R Screening/Scoping Checklist (Page 2 of 2)

5. GENERAL DESIGN SCREENING Roadside design meets the requirements for 3R projects in HDM 10.3. Bridge work is eligible for the element-specific process. (Refer to PDM Appendix 7.) Medians may be widened or created with minimal reconstruction work. 6. SAFETY SCREENING - A three-year accident history review indicates the following: (This can be quickly accomplished using readily available prod u c t s f r o mt h eD e p a r t me n t s S a f e t y Information Management System (SIMS) and the computerized TE-164 methodology). The overall three-year accident rate is less than the average rate for a comparable type of facility, as shown in SIMS. The occurrence of Fatal, Injury, and combined Fatal+Injury accidents is not above average for similar type highways. Locations listed on the regular Priority Investigation Location (PIL) list within the project limits are addressed. A PIL is considered addressed if it has been investigated in the last five years and the recommendations implemented or are incorporated into the proposed project. L o c a t i o n s l i s t e do nt h e F i x e dO b j e c t &R u n -O f f R o a d P I Ll i s t w i t h i nt h ep r o j e c t l i mi t s a r e addressed. Locations listed on the Wet-Road PIL list within the project limits are addressed. Note: Segments that do not meet all of the above shall undergo an accident analysis using the methodology in HDM 5.3. The accident analysis and recommendations should be attached to the design approval document as an appendix. If, based on the accident analysis, it is decided to undertake a safety improvement that cannot be implemented in a 3R project (e.g., a new grade separation), a reconstruction or other type of project should be progressed. 7. SAFETY ASSESSMENT - Perform a road safety Assessment as discussed in Section M7.2 of this chapter. Safety work that meet either of the following criteria are to be implemented under the multi-course requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or likely safety problems. 8. PUBLIC OUTREACH SCREENING - Appropriate public involvement is done (See PDM Appendix 2) and community concerns are satisfactorily addressed. 9. ENVIRONMENTAL SCREENING - A SEQR type and NEPA classification are required. There are no restrictions on the environmental processing for 3R projects. NOTE: Only segments that meet all of the requirements above can be progressed as 3R.

M7.5.1

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7A-15

M7.5.2 Design Criteria (Critical Design Elements and Other Controlling Design Parameters) 1. General - Sections M7.5.2.1 and M7.5.2.2 list the critical design elements for rural and urban conditions and are similar to the critical design elements in Chapter 2, Section 2.7 of this manual. Although this section looks similar to Chapter 2, Section 2.7, the standard values and treatment of many of the critical design elements are vastly different. 2. Background - The values for the critical design elements and other controlling design parameters are based on Department experience and the concepts in Transportation Research Board Special Report 214. The non-freeway 3R design criteria is calculated from the existing highway geometrics since the design and operational characteristics of the existing highway can be observed and measured. This approach allows the design criteria to be lower than that for new and reconstruction projects because there is an operational "model" to analyze for safety and operational characteristics. When substantial changes are proposed, such as curve realignment, the non-freeway 3R design criteria is no longer applicable because the design criteria can no longer be supported by an analysis of the existing conditions. 3. Engineering Judgment - The inclusion of specified design criteria in this section does not preclude the use of engineering judgment to consider alternative engineering values and does not necessarily mean that existing roadways which were designed and constructed using different criteria, are either substandard or unsafe. Many existing facilities are adequate to safely and efficiently accommodate current traffic demands and do not need resurfacing, restoration and rehabilitation solely to meet current design criteria. 4. Guidance - Elements which meet the design criteria should generally be retained unless improvement is warranted based on existing or anticipated operation or safety problems. Existing elements in excess of these non-freeway 3R values should likewise be retained unless there are factors evident that would justify otherwise (e.g., excessive lane width encouraging multilane operation). Reductions can alter the occurrence and severity of collisions. 5. Bridges - The selection of lane and shoulder widths on bridges must be consistent with Section 2 of the Bridge Manual. 6. Segments with Different Design Criteria - For complex projects which encompass several highway types, there may be several sets of design criteria that apply to different portions of the project or to different alternatives. Separate criteria must be provided for side roads when they are being resurfaced beyond the limits of the intersection. 7. Values Below the Design Criteria - While it is Department policy to at least meet the design criteria values, there may be some situations where lesser values are appropriate for a particular situation and may provide the most cost-effective, quality design (as discussed above under engineering judgment). When this occurs and the critical design element value is not attained, a formal justification must be prepared in accordance with Department policy for use of the non-standard feature as specified in Chapter 2, Section 2.8 of this manual.

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A formal justification is not required for other design parameters that do not comply with the established values. However, they should be listed in the Design Approval Document with an explanation as needed or required. Refer to Chapter 5, Section 5.1 for a discussion on the degree of explanation needed for non-conforming features.

8. Record Plans The method used to determine stopping sight distance changed in the 2001 AASHTO policy. Record plan values for stopping sight distance should not be used and must be regenerated based on the profile and new sight-line measurements.

M7.5.2.1

Critical Design Elements for Rural Highways

The following critical design elements apply to rural, non-freeway 3R projects. Descriptions of the critical design elements are included in Chapter 2, Section 2.6 of this manual.

A. Design Speed (Rural Highways) Select a design speed in accordance with Chapter 2, Section 2.6.1 of this manual.

B. Lane Width (Rural Highways) If the accident rate is at or below the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths or the widths determined from Exhibit M7-4. If the accident rate is above the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths, the widths determined from Exhibit M7-4, and the widths for Exhibit M7-5. Where the existing lane widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider lane widths may be necessary for large vehicles, at intersections for turning vehicles, etc.

C. Shoulder Width (Rural Highways) If the accident rate is at or below the statewide average, the shoulder width shall be the greater of the existing width or the width determined from Exhibits M7-4. If the accident rate is above the statewide average, the shoulder widths shall be the greater of the existing width, the width determined from Exhibit M7-4 and the width from Exhibit M7-5. Where the shoulder widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider shoulder widths may be necessary for large vehicles, at intersections for turning vehicles, an added travel lane for emergency evacuation, bicyclists, occasional pedestrians, etc.

M7.5.2.1

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Exhibit M7-4 Minimum Lane and Shoulder Widths for Rural Highways
Critical Design Elements Travel Lane Shoulder 5 Parking Lane Two-Way Left-Turn Lane (TWLTL) Turning Lane Local Roads 2.7 m 0.6 m 2.1 m 3.3 m 2.7 m Collectors, Arterials & Truck Access Routes 1 3.0 m 1.2 m 2.1 m 3.3 m 3.0 m 4

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Qualifying Highways 2 3.6 m 1.2 m 3 2.1 m 3.6 m 3.0 m

Notes: 1. Routes designated as Access Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 2. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 3. For Qualifying Highways on Rural Collectors, a 0.6 m minimum shoulder width may be used if the current AADT is under 400 based on Chapter 2, Section 2.7. 4. 2.7 m turn lanes may be used where design speed is less than 80 km/h. 5. Refer to Chapter 2 of this manual for desirable widths.

Exhibit M7-5 Lane and Shoulder Widths for Widening Rural Highways
Design Year Volume (AADT) Design Speed (km/h) Trucks1 10% Lane Width 2 (m) Shoulder 3 Width (m) Trucks1 < 10% Lane Width 2 (m) Shoulder 3 Width (m)

Two-Lane Rural Highways < 750 750 - 2000 > 2000 < 80 80 < 80 80 All 3.0 3.0 3.3 3.6 3.6 0.6 0.6 0.6 0.9 1.8 2.7 3.0 3.0 3.3 3.3 0.6 0.6 0.6 0.9 1.8

Multi-lane Rural Highways < 2000 2000 < 80 80 All 3.3 3.3 3.6 0.6 1.2 1.8 3.0 3.3 3.3 0.6 0.9 1.8

Notes: 1. Trucks are defined as heavy vehicles with six or more wheels. 2. Refer to Chapter 2 of this manual for the turning and parking lane widths. 3. Minimum width shall not be less than Exhibit 7-4. Refer to Chapter 2 of this manual for desirable widths.

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RESURFACING, RESTORATION, & REHABILITATION

D. Bridge Roadway Width (Rural Highways) The minimum bridge roadway width shall be determined from Section 2.3 of the Bridge Manual.

E. Grade (Rural Highways) There is no minimum or maximum grade required for non-freeway 3R projects. The existing grades should be retained unless they contribute to an accident or operational problem. Note that a climbing lane may be installed as part of a 3R project to mitigate the effects of long, steep grades. Refer to Chapter 5, Section 5.7.5 and the Highway Capacity Manual for guidance on the warrants and design of climbing lanes.

F. Horizontal Curvature (Rural Highways) The design criteria for retention of horizontal curves is to be determined from Exhibit 7-6. Individual curves shall be analyzed in accordance with Section M7.5.3 of this chapter.

Exhibit M7-6
AADT (vpd) 750 or less

Horizontal Curvature
2 Design Speed Design Speed minus 20 km/h (km/h) (km/h)

Minimum Radius (m) e = 4.0% e = 6.0% 141 e = 8.0%

All 30 40 50 10 20 30 40 50 60 70 80 141 141 22 47 86 135 203 280

141 141 21 43 79 123 184 252

141 141 20 41 73 113 168 229

over 750

60 70 80 90 100

Notes: 1. The minimum curve radius for these low speed highways is also governed by the minimum turning radius of the design vehicle. 2. The minimum curve radius is based on a speed of 20 km/h below the design speed and the maximum superelevation rate as determined from Section M7.5.3.1 G of this chapter.

G. Superelevation (Rural Highways) 8.0% maximum. A 6% maximum may be used in suburban areas to minimize the effect of negative side friction during peak periods with low travel speeds.

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H. Stopping Sight Distance (Horizontal and Vertical for Rural Highways)

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The minimum horizontal and vertical stopping sight distance (SSD) shall be determined from Exhibit M7-7. The minimum vertical SSD is based on the cost-effectiveness of curve reconstruction and the SSD from Chapter 2, Section 2.7 adjusted to 30 km/h below the design speed. The minimum horizontal SSD is based on the lesser of the recommended speed or design speed of the improved facility. Refer to Section 5.2.4.1 B for information on recommended speed. Refer to Section 5.7.2.4 for additional information on horizontal SSD. The SSD is to be evaluated for each horizontal and crest vertical curve. Sag vertical curves need not be considered unless there are underpasses, overhead trees or there is an associated operational or safety problem. Due to the limited correlation between crashes and areas with limited vertical sight distance, the effect of grades is not considered in the minimum SSD value. Exhibit M7-7 Minimum Stopping Sight Distance (SSD)
Horizontal SSD Recommended Speed or Design Speed, whichever is lower (km/h) Vertical SSD Is there an operational or safety Minimum problem associated with poor sight Vertical SSD distances, or is the AADT greater based on than 1500 vpd with major hazards Design Speed hidden from view (e.g. minus intersections, sharp horizontal 30 km/h curves or narrow bridges)? (m) 1 NO No Minimum Value 8 20 35 YES 70 80 90 100 110 105 130 160 185 220 70 80 90 100 110 50 65 85 105 130

Minimum Horizontal SSD (m)

Design Speed (km/h)

30 40 50 60

35 50 65 85

All 40 50 60

Notes: 1. The minimum values are based on AASHTO's "A Policy on the Geometric Design of Highways and Streets," 2004 rounded to the nearest meter to reduce technical discrepancies.

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RESURFACING, RESTORATION, & REHABILITATION

Horizontal Clearance (Rural Highways)

Minimum equal to the greater of the shoulder width or 1.2 m from the traveled way to the vertical element.

J. Vertical Clearance (Rural Highways) Determine from the latest Section 2.4 of the Bridge Manual.

K. Pavement Cross Slope (Rural Highways) Travel lanes = 1.5% minimum to 3% maximum. Shoulders = 2% minimum to 8% maximum.

L. Rollover (Rural Highways) Between travel lanes = 4% maximum. At the traveled way edge = 8% maximum. When the superelevation rate exceeds 6%, a maximum rollover rate of 10% at the edge of traveled way may be permitted. Refer to Chapter 3, Section 3.2.5.1 for further guidance.

M. Pedestrian Accommodation (Rural Highways) To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

M7.5.2.1

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M7.5.2.2 Critical Design Elements for Urban Highways

7A-21

The following critical design elements apply to urban, non-freeway 3R projects. Descriptions of the critical design elements are included in Chapter 2, Section 2.6 of this manual.

A. Design Speed (Urban Highways) Select a design speed in accordance with Chapter 2, Section 2.6.1 of this manual.

B. Travel Lane Width (Urban Highways) If the accident rate is at or below the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths or the widths determined from Exhibit M7-8. If the accident rate is above the statewide average, the travel lane, parking lane, and turning lane widths shall be the greater of the existing widths, the widths determined from Exhibit M7-8, and the widths for Exhibit M7-9. Where the existing lane widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider lane widths may be necessary for large vehicles, at intersections for turning vehicles, etc.

C. Shoulder Width (Urban Highways) Where the shoulder widths are wider than necessary, they may be reduced to the widths for the type of facility in Chapter 2, Section 2.7 of this manual. Note that wider shoulder widths may be necessary for large vehicles, at intersections for turning vehicles, an added travel lane for emergency evacuation, bicyclists, occasional pedestrians, etc. 1. Curbed If the accident rate is at or below the statewide average, the minimum curb offset or shoulder is equal to the existing width. If the accident rate is above the statewide average, the shoulder widths shall be the greater of the existing widths and the widths from Exhibit M7-9. Uncurbed - If the accident rate is at or below the statewide average in uncurbed sections of urban highways, the shoulder width shall be the greater of the existing width or the width determined from Exhibit M7-4. If the accident rate is above the statewide average in uncurbed sections of urban highways, the shoulder width shall be the greater of the existing width, the width determined from Exhibit M7-4, and the width for Exhibit M7-5.

2.

D. Bridge Roadway Width (Urban Highways) The minimum bridge roadway width shall be determined from Section 2.3 of the Bridge Manual.

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Exhibit M7-8 Minimum Lane and Shoulder Widths for Urban Highways
Critical Design Elements Travel Lane Curbed Shoulder Parking Lane Two-Way Left-Turn Lane (TWLTL) Turning Lane Local Streets Collectors, Arterials & Truck Access Routes 1 3.0 m 3 0.0 m 2.4 m 3.3 m 2.7 m 4 Qualifying Highways 2 3.6 m 0.0 m 2.4 m 3.3 m 3.0 m

2.7 m 3,4 0.0 m 2.4 m 3.3 m 2.7 m 4

Notes: 1. Routes designated as Access Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 2. Routes designated as Qualifying Highways on the national network of Designated Truck Access Highways (1982 STAA highways). 3. The minimum width of a wide curb lane specifically intended to accommodate bicycling in low speed (70 km/h) is 3.6 m. 4. For streets that do not have shoulders or at least a 0.3 m curb offset and allow truck or bus traffic, a minimum lane width of 3.0 m is required.

Exhibit M7-9 Lane and Shoulder Width for Widening Urban Highways
Trucks1 10% Design Year Volume (AADT) Design Speed (km/h) Lane Width2 (m) Desirable 3 Shoulder or Curb Offset Width (m) Trucks1 < 10% Lane Width2 (m) Desirable 3 Shoulder or Curb Offset Width (m)

One Lane, One-Way or Two-Lane Urban Highways < 750 750 - 2000 > 2000 < 80 80 < 80 80 All 3.0 3.0 3.3 3.6 3.6 0.6 0.6 0.6 1.2 1.5 2.7 3.0 3.0 3.3 3.3 0.6 0.6 0.6 1.2 1.5

Multi-Lane Urban Highways < 2000 2000 < 80 80 All 3.3 3.3 3.6 0.6 1.2 1.5 3.0 3.3 3.3 0.6 0.9 1.5

Notes: 1. Trucks are defined as heavy vehicles with six or more wheels. 2. Refer to Chapter 2 of this manual for turning lane and parking lane widths. 3. Minimum width shall not be less than Exhibit M7-8.

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E. Grade (Urban Highways)

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There is no minimum or maximum grade required for non-freeway 3R projects. The existing grades should be retained unless it is practical to improve a grade that contributes to an accident or operational problem. A minimum grade of 0.5% is desirable in curbed and cut sections for the operation of drainage systems. In uncurbed and fill sections, a level grade may provide adequate drainage.

F. Horizontal Curvature (Urban Highways) The design criteria for retention of horizontal curves is to be determined from Exhibit M7-6. Individual curves shall be analyzed in accordance with Section M7.5.3 of this chapter.

G. Superelevation (Urban Highways) A maximum superelevation rate of 4.0% for urban areas is desirable due to parking, intersection and driveway constraints. A 6% maximum may be used in suburban areas where existing or to mitigate curve related crashes.

H. Stopping Sight Distance (Horizontal and Vertical) (Urban Highways) The minimum horizontal and vertical stopping sight distance (SSD) shall be determined from Exhibit M7-7. The minimum vertical SSD is based on the cost-effectiveness of curve reconstruction and the SSD distances from Chapter 2, Section 2.7 adjusted to 30 km/h below the design speed. The minimum horizontal SSD is based on the anticipated operating speed of the improved facility. Refer to Section 5.7.2.4 for additional guidance on horizontal SSD. The SSD is to be evaluated for each horizontal and crest vertical curve. Sag vertical curves need not be considered unless there are underpasses, overhead trees or there is an associated operational or safety problem. Due to the limited correlation between crashes and areas with limited vertical sight distance, the effect of grades is not considered in the minimum SSD value.

I.

Horizontal Clearance (Urban Highways)

Minimum equal to the greater of the shoulder width or 0.5 m from the traveled way to the vertical element. At intersections, the minimum is equal to the greater of the shoulder width or 1 m to the vertical element.

J. Vertical Clearance (Urban Highways) Determine from Section 2.4 of the Bridge Manual.

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K. Pavement Cross Slope (Urban Highways) Travel lanes = 1.5% minimum to 3% maximum. Parking lanes = 1.5% minimum to 5% maximum. Shoulders = 2% minimum to 8% maximum.

L. Rollover (Urban Highways) Between travel lanes = 4% maximum. At the edge of traveled way = 8% maximum.

M. Pedestrian Accommodation (Urban Highways) To assure access for persons with disabilities, pedestrian facilities shall be located and constructed in accordance with Chapter 18 of this manual.

M7.5.3

Horizontal Curve Evaluations

This section provides the requirements and guidance on horizontal curve evaluations, recommended treatments, and optional treatments such as spiral curve transitions and widening along sharp horizontal curves. Curves with recommended speeds that are below the design speed, or have unfavorable crash histories, should be evaluated using the following procedure. 1. Determine the existing recommended speed as described in Chapter 5, Section 5.7.3 of this manual. The existing recommended speed should be compared to the design speed. If the existing superelevation rate does not permit recommended operating speeds equal to, or exceeding the design speed, the superelevation rate shall be increased, up to the maximum superelevation rate (4.0 %, 6.0 % or 8.0 %), as needed, to enable recommended speeds equal to, or exceeding the design speed using AASHTO superelevation distribution method 2, as discussed in Chapter 5, Section 5.7.3 of this manual. A nonstandard feature justification is needed if the curve superelevation cannot be reasonably increased and the proposed rate is below the maximum rate. If the existing superelevation allows recommended operating speeds in excess of the design speed using method 2 and there is an accident problem associated with the horizontal curve, the existing superelevation rate should be considered for improvement up to the superelevation rate in Tables 2-11 through 2-14 of Chapter 2 (i.e., consider using Method 5 as discussed in Chapter 5, Section 5.7.3 of this manual). If the superelevation is at the maximum of 6% in suburban areas, consider using the rural criteria of 8% maximum.

2.

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3.

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After improving the superelevation rate, as needed, the recommended speed should be recalculated as stated in step 1. The recommended speed, based on the improved superelevation rate, should be compared with the design speed using the appropriate item below. Speed difference is less than 20 km/h or the speed difference is more than 20 km/h and the design year AADT is 750 or less - The curvature meets the minimum design criteria and no special mitigation is required beyond signing and delineation, unless reconstruction is warranted due to safety and operational deficiencies. Speed difference more than 20 km/h and the design year AADT is more than 750 - The curvature does not meet the minimum design criteria. The curve shall be evaluated for reconstruction or other mitigation measures. If the existing curvature with the maximum superelevation rate will be retained, the curve shall be justified as a non-standard feature in accordance with Chapter 2, Section 2.8 and shall be evaluated for mitigation measures. Based on horizontal curve accident studies, the elements of horizontal alignment that could improve safety include: Larger: o Radius/length o Superelevation o Pavement friction o Roadway width (up to 3.6 m) o Stopping Sight Distance o Distance to adjacent curves, intersections, bridges, etc. Use of Spirals Combine compound curves of similar radii and eliminate broken back curves Fewer roadside conditions (development, driveways, fixed objects, etc.) Flatter/straighter vertical alignment on horizontal curves Traffic control devices (e.g., flashing curve warning signs)

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M7.5.3

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RESURFACING, RESTORATION, & REHABILITATION

FREEWAY 3R PROJECTS

There are no separate standards for freeway 3R projects. The standards for 3R projects on interstates and other freeways are the same as those that apply to new and reconstruction projects, except as specifically noted in Section M7.6.3 of this chapter. Consequently, the requirements and guidance in this section apply to all interstate and other multilane freeway 3R projects regardless of funding. Unless specifically modified by this chapter, all other Department policies, procedures, standards, rules, regulations and guidance must be followed as appropriate. A freeway resurfacing project must follow these freeway 3R requirements if the minimum overall thickness of truing and leveling plus the single course overlay exceeds 50 mm, or the project proposes multiple overlays.

M7.6.1 Definition of Freeway Resurfacing, Restoration & Rehabilitation (3R)

M7.6.1.1

Definition of the Term Freeway 3R

For the purposes of this chapter, the term freeway 3R applies to interstates and other freeways, expressways and multi-lane divided parkways. The following definitions are based on Chapter 2, Section 2.4.1: 1. Interstate highways are highways on the Interstate Highway System. Generally, they are interregional, high speed, divided, high volume facilities with complete control of access. All interstates in New York State are freeways. Freeways are local, intraregional and interregional high speed, divided, high volume facilities with complete control of access. Historically, most freeways have been classified as principal arterials. Expressways are divided highways for through traffic with full or partial control of access and generally with grade separations at major crossroads.

2.

3.

M7.6.1.2

Freeway 3R Project Scope of Work

Freeway 3R projects are designed to extend the operational and service life, and to enhance the safety of an existing freeway. Since the standards for 3R projects on interstates and other freeways are the same as those that apply to new and reconstruction projects, except as specifically noted in Section M7.6.3 of this chapter, there are almost no limitations on the type of work that can be accomplished. All work is allowable except the extensive replacement of existing pavement (reconstruction of 1 km or more or more than 25% of the project length) or the addition of new travel lanes. Projects with extensive full depth pavement replacement or the addition of new travel lanes can not be classified as 3R type projects and shall follow the criteria in Chapter 2, Section 2.7 for new or reconstruction projects. The general philosophy to follow when developing a freeway 3R project is to treat interstates and other freeways as what they are, our most important highway system. Consequently, extra effort should be exercised to maintain, restore, or improve them with particular emphasis placed on improving safety and operations. M7.6.1.2 1/23/2009

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There is a federal legislative requirement [see 23 Code of Federal Regulations (CFR) Section 106(b)(3) and Section 109(a)] as well as Federal Highway Administration (FHWA) policy requiring safety improvements in every freeway 3R project. Emphasis should be placed on maintaining, re-establishing, or, in the cases of some older freeways, creating a forgiving roadside for the high speed traveler. Work to restore or upgrade existing safety provisions must be part of every freeway 3R project. Elements that affect safety, and which are not consistent with current standards or design guidelines, should be considered for upgrading as part of any freeway 3R project. The greater the deviation, the greater the need to consider improvement. To ensure a freeway 3R project operates satisfactorily during its design life (which varies from about 8 years for a thin overlay to 15 years for crack and seat, rubblizing, or thick overlays), it is essential that the needs/deficiencies be identified during scoping and the resulting objectives identified and agreed to. How and to what extent the needs will be addressed must be discussed in the scoping documents and design reports. These documents must include the rationale for the decisions not to include work in the freeway 3R project that is needed to remediate identified deficiencies. Freeway 3R projects should be designed to be compatible with future improvements. Transportation System Management (TSM) and Travel Demand Management (TDM), Intelligent Transportation System (ITS), as well as other mobility enhancing strategies, need to be considered and discussed in the scoping document(s) and Design Report when there are current or expected congestion/mobility problems. There should be a deliberate consideration of opportunities to better manage demand or traffic flow on the system, such as the use of parkand-ride lots, intermodal connection facilities, traffic signal system improvements at interchange crossroads, etc. Opportunities for environmental improvements and mitigation should be considered during scoping. There may be many opportunities for landscaping, water pollution abatement, soil erosion control, pedestrian and bicyclist accommodations (at crossroads or along independent paths) and other appropriate work on freeway 3R projects. Contact the Regional Landscape Architect and/or the Regional Environmental Contact for additional information on environmental enhancements during scoping.

M7.6.2

Geometric Design Standards

There are no separate standards for freeway 3R projects. The standards for 3R projects on interstates and other freeways are the same as those that apply to new and reconstruction projects, except as specifically noted in Section M7.6.3 of this chapter. Federal law specifically prohibits separate interstate 3R standards. Consequently, there is no relationship between these freeway 3R projects and the Department's Non-Freeway 3R Standards in Section M7.5, which apply only to non-interstate and non-freeway resurfacing, restoration and rehabilitation projects. It is helpful to visualize interstate and other freeway 3R projects as reconstruction projects on existing alignment in respect to everything except the pavement treatment. The standards that apply are from AASHTO's A Policy on Geometric Design of Highways and Streets and AASHTO's A Policy on Design Standards - Interstate System. All standards used, including those reflected in the design criteria, must be consistent with the current design speed established in accordance with Chapter 2, Sections 2.7.1.1.A and 2.6.1. 1/23/2009 M7.6.2

7A-28 M7.6.3

RESURFACING, RESTORATION, & REHABILITATION

Design Criteria

A list of design criteria must be provided in accordance with Chapter 2 for the mainline, ramps and any crossroads that have proposed work at ramp terminal intersections. Any critical design elements that do not comply with this section and Chapter 2, Section 2.7 (as referenced in this section), or the appropriate standards that were in effect at the time of construction or the time of inclusion in the interstate system shall be discussed as non-standard features in accordance with Chapter 2, Section 2.8. Except as noted below, this section and Chapter 2, Section 2.7 (as referenced in this section), shall be used to determine the design criteria. The important exceptions are: Standards of the Day: Freeway 3R projects on interstates may use the selected design criteria listed below from the AASHTO Interstate Standards in effect at the time of original construction or inclusion in the interstate system (Reference: page 1 of AASHTO's "A Policy on Design Standards - Interstate System," January, 2005.). Similarly, freeway 3R projects on other freeways may use the selected design criteria listed below, for existing elements, from the interstate standards that were in effect at the time of the freeway's construction. Selected Design Criteria: As shown in Exhibits M7-10 and M7-11, only the standards for stopping sight distance, minimum radii, grade, and the widths of medians, mainline travel lanes, and mainline shoulders from the AASHTO interstate standards in effect at the time of the freeway's construction or inclusion in the interstate system may be used in place of the current standards for existing elements. Other features shall be designed or evaluated against the current standards and guidelines. For example, mainline design speed, horizontal clearance, vertical clearance, maximum superelevation rate, and ramp lane widths shall be based on current standards and guidelines and NOT the standards from the time of original construction or inclusion in the interstate system. Current standards must also be used for other controlling parameters such as speed change lane lengths, clear zone, etc. When the standards from the time of original construction or inclusion in the interstate system are used, the design criteria must be consistent with the current design speed. In other words, the original design criteria based on a design speed of, say, 100 km/h cannot be used unless it will be consistent with the design speed as determined from Chapter 2, Sections 2.7.1.1.A and 2.6.1. The Design Approval Document should reference the appropriate standards that were used. Refer to Section 7.9 of this Chapter for a list of the various editions of the AASHTO "A Policy on Design Standards - Interstate System." NOTE: The method used to determine stopping sight distance changed in the 2001 AASHTO policy. Projects using standards of the day may calculate the stopping sight distance using the method in effect at the time of the freeway's construction or inclusion in the Interstate System.

M7.6.3

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M7.6.3.1 Guidance on Mainline Critical Design Elements

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When "Standards of the Day" are used for existing features, refer to Exhibit M7-10 for the minimum values for the stopping sight distance, minimum radii, grade, and the widths of medians, mainline travel lanes, and mainline shoulders. Otherwise, the design criteria shall conform to Chapter 2, Section 2.7.1.1.

M7.6.3.2

Guidance on Ramp Critical Design Elements

When "Standards of the Day" are used for existing features, refer to Exhibit M7-11 for the minimum values for the ramp design speed, maximum grade, horizontal curvature and stopping sight distance. Otherwise, ramps shall conform to Chapter 2, Section 2.7.5.2, including lane width adequate to accommodate the design vehicle. This applies for rest areas and safety parking area ramps as well as interchange ramps. Note that the "Standards of the Day" do not apply to ramp lane widths.

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M7.6.3.2

7A-30 Exhibit M7-10

RESURFACING, RESTORATION, & REHABILITATION

Mainline Critical Design Elements Based on "Standards of the Day"4,5
2001 1990 &1984 1965 1967 & 1965 3.6 m 3.0 m 1.8 m 1.2 m 7 M 6.0 5.5 5.0 L 3.0 3.0 3.0 3.0 R 4.0 4.0 4.0 4.0 M 6.0 5.5 5.0 1954 1963 & 1956 3.6 m 3.0 m 1.8 m 1.2 m 7 L R M 4.0 5.0 6.0 3.0 4.0 5.0 6.0% 8.0% 385 m 348 m 553 m 498 m 145 m 183 m 11.0 m 4.9 m 1.2 m

Editions of AASHTO's "Green Book" & AASHO's "Blue Book"6 Versions of AASHO's & AASHTO's "A Policy on Design Standards - Interstate System" Lane Width Shoulder Width Right Right (Mountainous Terrain) Left Grade1 -

1991 3.6 m 3.0 m 1.8 m 1.2 m M 6.0 5.5 5.0 -

1991 & 1967 3.6 m 3.0 m 1.8 m 1.2 m 7 L R 3.0 4.0 3.0 4.0 3.0 4.0 -

L R 100 km/h (60 mph) 3.0 4.0 110 km/h (65 mph) 3.0 4.0 115 km/h (70 mph) 3.0 4.0 120 km/h (75 mph) -

Minimum. Radii at emax2,3 100 km/h (60 mph) 110 km/h (65 mph) 115 km/h (70 mph) 120 km/h (75 mph) SSD3 100 km/h (60 mph) 110 km/h (65 mph) 115 km/h (70 mph) 120 km/h (75 mph)

6.0% 8.0% 411 m 368 m 499 m 466 m 635 m 582 m 174 m 197 m 223 m 250 m 11.0 m 3.0 m 3.0 m

6.0% 8.0% 411 m 368 m 499 m 466 m 635 m 582 m 160 m 168 m 191 m 11.0 m 4.9 m 1.2 m 8

6.0% 385 m 452 m 553 m 672 m

8.0% 348 m 409 m 498 m 602 m

145 m 168 m 183 m 205 m 11.0 m 4.9 m 1.2 m

Median Width Rural Area Mountainous Terrain Urban Area

Notes
1 2 3. 4. 5. 6. 7. 8. Level, rolling and mountainous terrain are abbreviated L, R and M, respectively. For curves with radii larger than the minimum radius, use Chapter 2, Exhibits 2-13 and 2-14 to determine the superelevation rate. To avoid technical discrepancies, metric radii and stopping sight distances are soft converted from US Customary values and rounded to the nearest meter. "Standards of the day" refers to the standards in effect at the time of original construction or inclusion in the interstate system and only applies to existing features. The design criteria must be consistent with the current design speed. Mainline critical design elements not listed in this Exhibit shall be determined from Chapter 2, Section 2.7.1.1 and Section M7.6.3.1 of this chapter. "Green Book" and Blue Book" refer to the AASHTO and AASHO Policies referenced in Section M7.9 of this Chapter. The minimum 1.2 m median consists of two 0.3 m left shoulders and a 0.6 m wide median barrier. FHWA must be consulted before using this standard of the day. In 1991, the minimum urban median width was increased to 3 m.

M7.6.3.2

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RESURFACING, RESTORATION, & REHABILITATION

Exhibit M7-11 Ramp Critical Design Elements Based on "Standards of the Day"3,5
Editions of AASHTO's "Green Book" & AASHO's "Blue Book"6 Versions of the AASHO & AASHTO "A Policy on Design Standards - Interstate System" Ramp Design Speed4 Mainline Design Speed 80 km/h (50 mph) 90 km/h (55 mph) 100 km/h (60 mph) 110 km/h (65 mph) 115 km/h (70 mph) 120 km/h (75 mph) 40 km/h (25 mph) 50 km/h (30 mph) 60 km/h (35 mph) 70 km/h (40 mph) 70 km/h (45 mph) 80 km/h (50 mph) 40 km/h (25 mph) 50 km/h (30 mph) 60 km/h (35 mph) 70 km/h (40 mph) 70 km/h (45 mph) 80 km/h (50 mph) 40 km/h (25 mph) 50 km/h (30 mph) 60 km/h (35 mph) 70 km/h (40 mph) 70 km/h (45 mph) 80 km/h (50 mph) 2001 1990 &1984 1965 1967 & 1965 Ramp Design Speed 40 km/h 50 km/h 50 km/h 50 km/h 60 km/h 7% 7% 6% 6% 5% 5% 6.0% 8.0% 44 m 41 m 70 m 65 m 104 m 94 m 148 m 135 m 272 m 183 m 336 m 226 m 46 m 61 m 69 m 84 m 96 m 107 m

7A-31

1954 1963 & 1956 Ramp Design Speed 40 km/h 50 km/h 50 km/h 7% 7% 6% 6% 5% 5% 6.0% 8.0% 44 m 41 m 70 m 65 m 104 m 94 m 148 m 135 m 272 m 183 m 336 m 226 m 46 m 61 m 69 m 84 m 96 m 107 m

1991 Ramp Design Speed7 40 km/h 50 km/h 50 km/h 50 km/h 60 km/h 7% 7% 6% 5% 5% 6.0% 8.0% 44 m 41 m 70 m 65 m 104 m 94 m 148 m 135 m 201 m 152 m 255 m 232 m 47 m 61 m 76 m 93 m 110 m 130 m

1991 & 1967 Ramp Design Speed7 40 km/h 50 km/h 50 km/h 60 km/h 7% 7% 6% 6% 5% 5% 6.0% 8.0% 44 m 41 m 70 m 65 m 104 m 94 m 148 m 135 m 206 m 187 m 259 m 233 m 46 m 61 m 69 m 84 m 99 m 122 m

Grade -

Horiz. Curvature at emax1,2 -

SSD2 -

Notes
1. 2. 3. 4. 5. 6. 7. For curves with radii larger than the minimum radius, use Chapter 2, Exhibits 2-13 and 2-14 to determine the superelevation rate. To avoid technical discrepancies, metric radii and stopping sight distances are soft converted from US Customary values and rounded to the nearest meter. "Standards of the day" refers to the standards in effect at the time of original construction or inclusion in the interstate system and only applies to existing features. Ramp design speed is based on mainline design speed. Therefore, the design criteria must be consistent with the current mainline design speed. Ramp critical design elements not listed in this Exhibit shall be determined from Chapter 2, Section 2.7.5.2 and Section M7.6.3.2 of this chapter. "Green Book" and Blue Book" refer to the AASHTO and AASHO Policies referenced in Section M7.9 of this Chapter. For loop ramps, a 40 km/h design speed may be used based on Chapter 2 of this manual and the 1984 through 2004 AASHTO G r e e nB o o k s .

1/23/2009

M7.6.3.2

7A-32 M7.7

RESURFACING, RESTORATION, & REHABILITATION

PROJECT DELIVERY

M7.7.1 Timing of Resurfacing Safety Work Exhibit M7-12 includes a list of typical safety work with the time frames of when the work is to be accomplished. The objective is to minimiz et h ep u b l i c se x p o s u r et oe x i s t i n go r p o t e n t i a l s a f e t y problems. However, it may be beneficial to use separate contracts or state forces to perform some of the work. Use engineering judgment to determine the appropriate time frame for addressing the safety concerns.

M7.7.2 Preparation of Contract Documents & Implementation Refer to the PDM steps in Chapter 4 and HDM Chapter 21 for the final design requirements for Department let projects. Note that plans are not required for single course overlays but are required for permanent construction activities per HDM Section 21.2.1, which include multiple course projects (2R and 3R). When work is performed by State forces, the Region is to develop plans for permanent construction activities (2R & 3R), consistent with HDM Chapter 21, to serve as a permanent record of the work. The following are federal aid contract requirements: The project must be competitively let and the work by State forces cannot be an integral part of the contract for the paving work (e.g., State forces doing the M&PT work for Vendor In-place Paving). The Office of General Service (OGS) let Vendor in Place Paving (VPP) projects meet Federal Highway Administration (FHWA) requirements and can be used on federal-aid projects complying with the requirements of this chapter. Maintenance and construction work performed by State forces is not reimbursable with Federal funds and must be accomplished with 100% State funds only.

M7.7.2

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RESURFACING, RESTORATION, & REHABILITATION

Exhibit M7-12
PIN: Timing To be done before the paving contract, as required To be done during the paving contract, as required Work Replace or install regulatory or warning signs as noted by regional forces. Clean, repair or install any closed drainage system components. Superelevation. Shoulders. Interim treatment for edge of pavement drop-offs shall be provided in accordance with 619-3.01 G.3 of the NYSDOT S t a n d a r dS p e c i f i c a t i o n s a n ds h a l l c o n t i n u eu n t i l t h ee d g e drop-offs are corrected. Modify driveways to conform to the spirit and intent of the mo s t r e c e n t P o l i c y a n dS t a n d a r d s f o r E n t r a n c e s t oS t a t e H i g h w a y s . ( Mu l t i -course resurfacing only) Modify curbing to conform to HDM 10.2.2.4. (Multi-course resurfacing only) Pavement markings (Pavement markings shall be in accordance with the Department Pavement Marking Policy. For temporary pavement markings, refer to specifications and current EBs and EIs for timing. In general, pavement markings are needed for all lanes opened to traffic at the end of the construction day/night.). Shoulder Rumble strips. Back-up shoulders to eliminate edge drop-offs. Additional/updated regulatory, advisory and warning signs not addressed above (generally within 2 months). Brush removal, clearing and grubbing. Fixed objects: remove, relocate, modify to make crash worthy, shield by guide rail/crash cushion, or delineate. Guide rail: reset guide rail that is or will be at the improper height. (ref. HDM Table 10-7). replace severely deteriorated and non-functional guide rail (ref. HDM 10.3.1.2 B). replace severely substandard guide rail and connections to bridge rail (e.g., concrete post/cable or railroad rail post/cable) and transitions between different rail types. (ref. HDM 10.3.1.2 B). install guide rail if missing or not extending to the point of need if a serious hazard, such as a cliff, deep body of water or liquid fuel tank is exposed and there is a reasonable expectation that vehicles will reach the hazard (ref. HDM 10.2.2.1). restore guide rail deflection distance through clearing and grubbing. (Ref. HDM 10.2.2.3 & Table 10-3) Delineation. G u i d er a i l n o t a d d r e s s e du n d e r t h e a s s o o na s p o s s i b l e work noted above (e.g., new runs of guide rail). Replace any missing or damaged reference markers. Fixed objects which cannot be practically addressed as soon as possible. Install guide signs/route markers, if needed.

7A-33

Timing of Safety Related Work for Resurfacing Projects

To be done before, during, or as soon as possible following completion of the paving contract, as appropriate (i.e., The safety work should normally be completed within 2 months of the paving work, unless otherwise specified. As an exception, safety work needed to supplement paving work completed near the end of the construction season may be deferred to the first couple of months in the following construction season if its completion within 2 months is impractical. Pavement markings, regulatory signs, warning signs, critical guide rail, and other work to mitigate an accident problem are not included in this exception.)

To be done before, during, or in a timely manner following the completion of paving (i.e., within 18 months of the paving work)

1/23/2009

M7.7.2

7A-34 M7.8

RESURFACING, RESTORATION, & REHABILITATION

SAFETAP REPORTING FOR 1R & 2R PROJECTS

A Safety Appurtenance (SAFETAP) Reporting Form is to be completed by each Regional Office at the end of each State fiscal year. The form is to be submitted to the Office of Safety and Security. A sample form is included as Exhibit 7-13. The following information is to be reported in the form: A listing of all 1R and 2R sites paved. This listing should include the beginning and ending reference marker for each site. The fund source used for the paving work. The year and month that the paving was done. The reference markers and description of improvements made (to be made) after the paving work was done. A site visit is to be performed to ensure the safety issues have been properly addressed. The year and month that the improvements were made or scheduled to be completed, in accordance with Section 7.7.1 of this chapter.

M7.8

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RESURFACING, RESTORATION, & REHABILITATION

7A-35

Exhibit M7-13 Sample 2R SAFETAP Reporting Form - Completed Safety Improvements

Resurfacing Site Beg. RM 1. End. RM Project Type 2R Fund Source State Resurfacing Complete May, 2002 Post Mounted Delineation Post Mounted Delineation 1R Federal June, 2002 Superelevation 2R State July, 2002 Guide Rail Replacement Clear zone widening 1R Federal May, 2002 Chevrons Chevrons August, 2002 August, 2002 October, 2002 October, 2002 June, 2002 June, 2002 June, 2002 Improvements Completion Date Month/Year

25 0303 1161 1101 1137 1138 1148 1149

2. 25A 0302 1087 1068 1077 1078 3. 27 0304 1146 1139 1139 1141 1141 1146 4. 101 0301 1012 1004 1006 1008 1010 1011

1/23/2009

M7.8

7A-36 M7.9 1.

RESURFACING, RESTORATION, & REHABILITATION

REFERENCES

A Policy on Design Standards, Interstate System, July 12, 1956; April 12, 1963; October 24, 1963; May 15, 1965; June 20, 1967; July, 1991, and January, 2005, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Policy on Geometric Design of Highways and Streets, 1984, 1990, 1994, 2001, and 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. A Policy on Geometric Design of Rural Highways, 1954 and 1965, American Association of State Highway Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Americans With Disabilities Act Accessibility Guidelines for Buildings and Facilities, 49 CFR Part 37, Appendix A, USDOT, 400 7th St. S.W., Washington, D.C. 20590. Reprinted Dec. 1993, Landscape Architecture Bureau, New York State Department of Transportation, for Department staff only. Bridge Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Comprehensive Pavement Design Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. Cross Section Alignment Design Issues, TRR 1445, 1994, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Designing Safer Roads: Practices for Resurfacing, Restoration, and Rehabilitation, Special Report 214, 1987, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Environmental Procedures Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232.

2.

3.

4.

5.

6.

7.

8.

9.

10. Geometric Design Guide for Resurfacing, Restoration, and Rehabilitation (RRR) of Highways and Streets, 1977, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. 11. Highway Capacity Manual, Special Report 209, 1997, Transportation Research Board, National Research Council, 2101 Constitution Avenue, N.W., Washington D.C., 20418. 12. Highway Safety Design and Operations Guide, 1997, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. 13. Highway Safety Improvement Program: Procedures and Techniques, 1989, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. M7.9 1/23/2009

RESURFACING, RESTORATION, & REHABILITATION

7A-37

14. New York State's 2006 - Highway Sufficiency Ratings, Technical Services Division, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. 15. Official Description of Designated Qualifying and Access Highways in New York State, April 2006, Traffic Engineering and Highway Safety Division, Operations Bureau, New York State Department of Transportation, 50 Wolf Road, POD 42, Albany, NY 12232. 16. Project Development Manual, Plan Sales, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. 17. Relationship Between Safety and Key Highway Features: A Synthesis of Prior Research, State of the Art Report 6, 1987, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. 18. Roadside Design Guide, 2006, American Association of State Highway and Transportation Officials, Suite 249, 444 North Capitol Street, N.W., Washington, D.C. 20001. 19. Roadway Widths for Low-Traffic-Volume Roads, NCHRP 362, 1994, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. 20. Safety Effectiveness of Highway Design Features: Volumes I - VI, November, 1992, Federal Highway Administration, Design Concepts Research Division, HSR-20, Turner Fairbank Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296. 21. Safety Effectiveness of Roadway Design Decisions, TRR 1512, 1995, Transportation Research Board, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. 22. Vehicle and Traffic Law, New York State Department of Motor Vehicles, Empire State Plaza, Albany, NY 12228.

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RESURFACING, RESTORATION, & REHABILITATION

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M7.9

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A-PDF OFFICE TO PDF DEMO: Purchase from www.A-PDF.com to remove the watermark

Resurfacing Safety Assessment Form (Page 1 of 2)

PIN = Safety Assessment Team Design = Traffic = Maintenance = Element Guidance Comments Date =

The Following Elements Apply to Single and Multicourse Resurfacing Projects (1R, 2R, and 3R): Signing Signs should be installed as needed in accordance with the MUTCD. Review for condition (retroreflectivity), location, post type (breakaway or rigid), and appropriateness (need). Immediately notify the Resident Engineer of any missing regulatory or warning signs. Pavement markings should be installed in accordance with the MUTCD. The adequacy of existing passing zones should be evaluated. Current EIs and specifications must be followed. Delineation should be installed per the MUTCD Trim, remove, or replace vegetation to improve substandard intersection sight distance, and horizontal and vertical stopping sight distance. Guidance: Intersection Sight Distance - HDM 5.9.5.1 Passing Sight Distance - HDM 5.7.2.2 Horizontal & Sag Vertical SSD - HDM Chapter 2 and HDM 5.7.2.1 and HDM 5.7.2.4 For 1R projects: Address obvious objects that are within the prevailing clear area and within the ROW based on engineering judgment from a field visit (e.g., tree removal on the outside of a curve or installation of traversable driveway culvert end sections). For 2R/3R projects: Reestablish the clear zone and remove, relocate, modify to make crash worthy, shield by guide rail/crash cushion, or delineate any fixed objects. For guidance on identifying fixed objects, refer to HDM 10.3.1.2 B. Guide Rail The following should be used to evaluate the need for guide rail and other roadside work. HDM 10.2.2.1 - point of need HDM Table 10-7 - acceptable guide rail height HDM 10.3.1.2 B - guidance on determining severely deteriorated guide rail and non-functional guide rail HDM 10.2.2.3 and Table 10-3 - barrier deflection distance HDM 10.2.2 - design of new guide rail Current EIs and EBs. The Regional Structures Group, Regional Design Group, Main Office Structures, and Design Quality Assurance Bureau should be contacted, as needed, to help identify substandard connections to bridge rail and for the recommended treatment. Contact Regional Rail Coordinator. Contact Office of Design if replacing crossing surface as required per HDM Ch 23. On rural, high speed facilities (80 km/h or greater) consider shoulder rumble strips in accordance with HDM 3.2.5.4. Centerline rumble strips should be considered for similar facilities and where head-on and sideswipe rates are above average.

Pavement Markings Delineation Sight Distance

Fixed Objects

Bridge Rail Transitions

Rail Road Crossing Rumble Strips

Comment [r1]: About 20 states use centerline rumble strips as of 2007. From the IIHS study: Overall, motor vehicle crashes at treated sites were reduced 14 percent; injury crashes were reduced by an estimated 15 percent. Head-on and opposingdirection sideswipe crashes the primary target of center line rumble strips were reduced by an estimated 21 percent, while head-on and opposingdirection sideswipe crashes involving injuries were reduced by an estimated 25 percent. This result, taken together with the fact that installation costs are relatively low, suggest that consideration should be given to wider application of center line rumble strips on rural two-lane roads to reduce injury crashes.

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

Resurfacing Safety Assessment Form (Page 2 of 2)

Element Shoulder Resurfacing Guidance Unpaved, stabilized shoulders should be paved in order to reinforce the edge of the traveled way, accommodate bicyclists, and increase safety. A 1:10 pavement wedge maybe used to transition between the travel way paving and a paved shoulder that will not be resurfaced on nonfreeways. Comments

Edge DropOffs

Edge drop-offs are not permitted between the traveled way and shoulder. Where edge drop-offs will remain at the outside edge of fully paved shoulders and vehicles could have a wheel leave and return to the roadway, the edge is to be sloped at 1:1 or flatter and have a maximum height of 50 mm to help accommodate motorcycles and trucks. Consult HDM 5.7.3. Identify where the recommended speed Superelevation is less than design speed (use Section 2.6.1.1 of this manual). Improve superelevation (up to the maximum rate as necessary using AASHTO Superelevation Distribution Method 2) to have the recommended speed equal to the design speed. Where the maximum rate is insufficient, install advisory speed signs and consider additional treatments (e.g., chevrons, roadside clearing), as needed. The Following Are Additional Elements Where Multicourse Resurfacing (2R and 3R) is Recommended: Superelevation For Freeway projects, the superelevation is to be improved to meet the values in HDM Ch 2, Tables 2-13 or 2-14 (which utilizes AASHTO Superelevation Distribution Method 5).

Speed Change Speed change lanes should meet AASHTO Green Book Lanes Chapter 10 standards. Clear Zone(s) Traffic Signals Establish based on HDM 10.3.2.2 A for non-freeway and HDM 10.2.1 for freeways. Signal heads should be upgraded to meet current requirements. Detection systems should be evaluated for actuated signals and considered for fixed-time signals. New traffic signals that meet the signal warrants may be included. Shoulders should be widened to 0.6 m on local rural roads and 1.2 m on other nonfreeway rural facilities for motor vehicle recovery, bicyclists, and pedestrians.

Shoulder Widening

Lane Widening Non-freeway lanes may be widened per HDM 7.5.3. New through travel lanes are not permitted. Design Vehicle Intersections should accommodate the design vehicle without encroachment into other travel lanes or turning lanes. Driveways Driveways shall meet the spirit and intent of the most recent Policy and Standards for the Design of Entrances to State Highways in Chapter 5, Appendix 5A of this manual. Turn lanes should meet the requirements of HDM 5.9.8.2 Curbing must meet the requirements of HDM 10.2.2.4. For freeways, curbing that cannot be eliminated should be replaced with the 1:3 slope, 100 mm high traversable curb. Closed drainage work may include new closed drainage structures, culverts, and the cleaning and repair of existing systems. Subsurface utility exploration should be considered for closed drainage system modifications. Sidewalk curb ramps and existing sidewalks must meet HDM Chapter 18 requirements. Consider cross walks and pedestrian push buttons at signals. Minimum shoulder width of 1.2 m if no curbing.

Turn Lanes Curbing

Drainage

Pedestrian & Bicycle

Other

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

2R Screening/Scoping Checklist (Page 1 of 2)

PIN: 1. PAVEMENT TREATMENT SCREENING No full-depth replacement of pavement except in localized areas (i.e., must be 1 km or less of continuous reconstruction and less that 25% of the project length). At a minimum, shoulders, if any, must be restored to a satisfactory condition and be flush with the edge of traveled way. 2. CAPACITY SCREENING Through Capacity - A Level of Service (LOS) analysis is performed in accordance with HDM 5.2 . Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. For Interstates, the ETC+10 LOS must meet the criteria in HDM Chapter 2. Justify any nonstandard LOS. For non-Interstates, the ETC+10 LOS is at least D or, the design approval documents that The RPPM does not anticipate capacity improvements within ten years. Non Freeway Intersection Capacity - Intersections with observed operational or safety problems due to lack of turn lane or insufficient length of turn lane are analyzed in accordance with HDM 5.2 . Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. New turn lanes needed at intersections (signalized and unsignalized) are to: Meet the length required by HDM 5.9.8.2 or include an explanation for nonconforming lengths in the design approval document. Meet the width requirement in M7.5.3.1 B for rural highways or M7.5.3.2 B for urban highways. Meet the air quality requirements of Environmental Procedure Manual (EPM) 1.1. 3. GEOMETRIC DESIGN CRITERIA SCREENING Non-freeway routes: 3R standards referenced in HDM M7.5. Interstate System or other freeways: HDM 2.7.1.1 as modified by M7.6.3. All non-standard geometric features are justified in accordance with HDM 2.8. Non-conforming features (HDM 5.1) are listed in the design approval document with an explanation, as necessary.

Comment [r2]: From EI 01-031.

Comment [r3]: TRB SR 214 p 204 recommends design life of feature. A more consistent design life is used to help compare alternatives and reflects the accuracy of traffic predictions.

4. GENERAL DESIGN SCREENING Interstate System or other freeway routes meet the requirements of HDM M7.6. Roadside design meets the requirements for 3R projects in HDM 10.3. Bridge work is eligible for the element-specific process. (Refer to PDM Appendix 7.)

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

2R Screening/Scoping Checklist (Page 2 of 2)

5. SAFETY SCREENING - A three-year accident history review indicates the following: (This can be quickly accomplished using readily available products from the Departments Safety Information Management System (SIMS) and the computerized TE-164 methodology). The overall three-year accident rate is less than the average rate for a comparable type of facility, as shown in SIMS. The occurrence of Fatal, Injury, and combined Fatal+Injury accidents is not above average for similar type highways. Locations listed on the regular Priority Investigation Location (PIL) list within the project limits are addressed. A PIL is considered addressed if it has been investigated in the last five years and the recommendations implemented or are incorporated into the proposed project. Locations listed on the Fixed Object & Run-Off Road PIL list within the project limits are addressed. Locations listed on the Wet-Road PIL list within the project limits are addressed. Note: Segments that do not meet all of the above shall undergo an accident analysis using the methodology in HDM 5.3. The accident analysis and recommendations should be attached to the design approval document as an appendix. If, based on the accident analysis, it is decided to undertake a safety improvement that cannot be implemented in a 2R project, a 3R or other type of project should be progressed. 6. SAFETY ASSESSMENT - Perform a road safety assessment (Exhibit M7-1) as discussed in Section M7.2 of this chapter. Safety work that meets either of the following criteria is to be implemented under the multi-course requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or potential safety problems. 7. PUBLIC OUTREACH SCREENING Appropriate public involvement is done (See PDM Appendix 2) and community concerns are satisfactorily addressed. No formal public hearings are required or held. 8. ENVIRONMENTAL SCREENING SEQR (All projects): The project is determined to be a SEQR Type II (i.e., complies with 17 NYCRR 15.14(d) and 17 NYCRR 15.14(e)(37)). NEPA (Federal-aid projects): NEPA Assessment Checklist is completed and the project is determined to be either a NEPA Class II Programmatic Categorical Exclusion or a Categorical Exclusion with documentation and FHWA approval concurrence must be obtained. NOTE: Only segments that meet all of the requirements above can be progressed as 2R.

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

Non Freeway 3R Screening/Scoping Checklist (Page 1 of 2)

PIN: 1. FUNCTIONAL CLASSIFICATION Highway is not classified as an Interstate or other freeway as defined by Chapter 2, Section 2.4. 2. PAVEMENT TREATMENT SCREENING No full-depth replacement of pavement except in localized areas (i.e., must be 1 km or less of continuous reconstruction and less that 25% of the project length). At a minimum, shoulders, if any, must be restored to a satisfactory condition and be flush with the edge of traveled way. Pavement treatments are to be designed to a minimum expected service life (ESL) of 10 years and desirably 15 to 20 years. ESL's of 5 to 9 years are non-conforming features that require an explanation. 3. CAPACITY SCREENING Through Capacity - A Level of Service (LOS) analysis is performed in accordance with HDM 5.2 Note: secondary data may be used if approved by the RPPM. The ETC+10 LOS will be at least D or, the design approval documents that the RPPM or Regional Traffic Engineer does not anticipate capacity improvements within ten years. Additional through travel lanes cannot be created/constructed. This includes restriping an existing 4- lane highway to 6 lanes, with or without widening the existing pavement. Intermittent climbing and passing lanes are allowed. New or existing Continuous Left Turn Median Lanes are to be a minimum of 3.3 m wide with minimal reconstruction work (e.g., through restriping, minor widening, changing a 4 lane road to a 3 lane road). NOTE: Additional through travel lanes substantially change the operating characteristics of the highway and violate the basic premise of the non-freeway 3R standards. Additionally, added travel lanes may create safety and operational problems, not only for the project segment, but at other locations within the highway system. Significant social, economic, and environmental concerns may also result from increasing the number of travel lanes. Intersection Capacity - Intersections with observed operational or safety problems due to lack of turn lane or insufficient length of turn lane are analyzed in accordance with HDM 5.2. Note: secondary data may be used if approved by the RPPM or Regional Traffic Engineer. New turn lanes needed at intersections (signalized and unsignalized) are to: Meet the length required by HDM 5.9.8.2 or include an explanation for nonconforming lengths in the design approval document per HDM 5.1. Meet the width requirement in M7.5.3.1 B for rural highways or M7.5.3.2 B for urban highways. Meet the air quality requirements of Environmental Procedure Manual (EPM) 1.1. New, longer, and/or wider auxiliary lanes through an intersection with minimal reconstruction work. 4. GEOMETRIC DESIGN CRITERIA SCREENING Non-freeway 3R standards in HDM M7.5.3 All non-standard geometric features are justified in accordance with HDM 2.8. Non-conforming features (HDM 5.1) are listed in the design approval document with an explanation, as necessary.

Comment [r4]: TRB SR 214 p 204 recommends design life of feature. A more consistent design life is used to help compare alternatives and reflects the accuracy of traffic predictions.

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

Non Freeway 3R Screening/Scoping Checklist (Page 2 of 2)

5. GENERAL DESIGN SCREENING Roadside design meets the requirements for 3R projects in HDM 10.3. Bridge work is eligible for the element-specific process. (Refer to PDM Appendix 7.) Medians may be widened or created with minimal reconstruction work. 6. SAFETY SCREENING - A three-year accident history review indicates the following: (This can be quickly accomplished using readily available products from the Departments Safety Information Management System (SIMS) and the computerized TE-164 methodology). The overall three-year accident rate is less than the average rate for a comparable type of facility, as shown in SIMS. The occurrence of Fatal, Injury, and combined Fatal+Injury accidents is not above average for similar type highways. Locations listed on the regular Priority Investigation Location (PIL) list within the project limits are addressed. A PIL is considered addressed if it has been investigated in the last five years and the recommendations implemented or are incorporated into the proposed project. Locations listed on the Fixed Object & Run-Off Road PIL list within the project limits are addressed. Locations listed on the Wet-Road PIL list within the project limits are addressed. Note: Segments that do not meet all of the above shall undergo an accident analysis using the methodology in HDM 5.3. The accident analysis and recommendations should be attached to the design approval document as an appendix. If, based on the accident analysis, it is decided to undertake a safety improvement that cannot be implemented in a 3R project (e.g., a new grade separation), a reconstruction or other type of project should be progressed. 7. SAFETY ASSESSMENT - Perform a road safety Assessment as discussed in Section M7.2 of this chapter. Safety work that meet either of the following criteria are to be implemented under the multi-course requirements: The safety treatments are necessary to avoid degrading safety, or The safety treatments are practical and necessary to address existing or likely safety problems. 8. PUBLIC OUTREACH SCREENING - Appropriate public involvement is done (See PDM Appendix 2) and community concerns are satisfactorily addressed. 9. ENVIRONMENTAL SCREENING - A SEQR type and NEPA classification are required. There are no restrictions on the environmental processing for 3R projects. NOTE: Only segments that meet all of the requirements above can be progressed as 3R.

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

Timing of Safety Related Work for Resurfacing Projects

PIN: Timing To be done before the paving contract, as required To be done during the paving contract, as required Work Replace or install regulatory or warning signs as noted by regional forces. Clean, repair or install any closed drainage system components. Superelevation. Shoulders. Interim treatment for edge of pavement drop-offs shall be provided in accordance with 619-3.01 G.3 of the NYSDOT Standard Specifications and shall continue until the edge drop-offs are corrected. Modify driveways to conform to the spirit and intent of the most recent Policy and Standards for Entrances to State Highways. (Multi-course resurfacing only) Modify curbing to conform to HDM 10.2.2.4. (Multi-course resurfacing only) Pavement markings (Pavement markings shall be in accordance with the Department Pavement Marking Policy. For temporary pavement markings, refer to specifications and current EBs and EIs for timing. In general, pavement markings are needed for all lanes opened to traffic at the end of the construction day/night.). Shoulder Rumble strips. Back-up shoulders to eliminate edge drop-offs. Additional/updated regulatory, advisory and warning signs not addressed above (generally within 2 months). Brush removal, clearing and grubbing. Fixed objects: remove, relocate, modify to make crash worthy, shield by guide rail/crash cushion, or delineate. Guide rail: reset guide rail that is or will be at the improper height. (ref. HDM Table 10-7). replace severely deteriorated and non-functional guide rail (ref. HDM 10.3.1.2 B). replace severely substandard guide rail and connections to bridge rail (e.g., concrete post/cable or railroad rail post/cable) and transitions between different rail types. (ref. HDM 10.3.1.2 B). install guide rail if missing or not extending to the point of need if a serious hazard, such as a cliff, deep body of water or liquid fuel tank is exposed and there is a reasonable expectation that vehicles will reach the hazard (ref. HDM 10.2.2.1). restore guide rail deflection distance through clearing and grubbing. (Ref. HDM 10.2.2.3 & Table 10-3) Delineation. Guide rail not addressed under the as soon as possible work noted above (e.g., new runs of guide rail). Replace any missing or damaged reference markers. Fixed objects which cannot be practically addressed as soon as possible. Install guide signs/route markers, if needed.

To be done before, during, or as soon as possible following completion of the paving contract, as appropriate (i.e., The safety work should normally be completed within 2 months of the paving work, unless otherwise specified. As an exception, safety work needed to supplement paving work completed near the end of the construction season may be deferred to the first couple of months in the following construction season if its completion within 2 months is impractical. Pavement markings, regulatory signs, warning signs, critical guide rail, and other work to mitigate an accident problem are not included in this exception.)

To be done before, during, or in a timely manner following the completion of paving (i.e., within 18 months of the paving work)

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

Sample 2R SAFETAP Reporting Form - Completed Safety Improvements

Resurfacing Site Beg. RM 1. End. RM Project Type 2R Fund Source State Resurfacing Complete May, 2002 Post Mounted Delineation Post Mounted Delineation 1R Federal June, 2002 Superelevation 2R State July, 2002 Guide Rail Replacement Clear zone widening 1R Federal May, 2002 Chevrons Chevrons August, 2002 August, 2002 October, 2002 October, 2002 June, 2002 June, 2002 June, 2002 Improvements Completion Date Month/Year

25 0303 1161 1101 1137 1138 1148 1149

2. 25A 0302 1087 1068 1077 1078 3. 27 0304 1146 1139 1139 1141 1141 1146 4. 101 0301 1012 1004 1006 1008 1010 1011

Per NYSDOT Highway Design manual Chapter 7, 1/23/2009

HIGHWAY DESIGN MANUAL

Chapter 8 HIGHWAY DRAINAGE (Limited Revision)

Revision 61

March 25, 2011

Section 8.6.7

Changes Section updated by EB 11-008

03/25/11

CHAPTER 8 HIGHWAY DRAINAGE

Contents

Page

8.1 INTRODUCTION ................................................................................................................ 8-1 8.2 LEGAL ASPECTS OF HIGHWAY DRAINAGE ................................................................. 8-2 8.2.1 8.2.2 8.2.3 State Drainage Law ................................................................................................ 8-2 State and Federal Environmental Laws and Regulations ....................................... 8-4 Connections to State Drainage Facilities .............................................................. 8-12

8.3 HYDROLOGY ................................................................................................................... 8-15 8.3.1 8.3.2 Type of Project vs Extent of Hydrologic Analysis.................................................. 8-15 Hydrologic Analysis .............................................................................................. 8-16

8.4 HYDRAULIC PRINCIPLES .............................................................................................. 8-28 8.4.1 8.4.2 Types of Open Channel Flow ............................................................................... 8-28 Energy of Flow ...................................................................................................... 8-31

8.5 OPEN CHANNELS ........................................................................................................... 8-32 8.5.1 8.5.2 8.5.3 8.5.4 Types of Open Channels ...................................................................................... 8-32 Channel Design Criteria ........................................................................................ 8-35 Hydraulics - Design and Analysis ......................................................................... 8-37 Maintenance ......................................................................................................... 8-40

8.6 CULVERTS ....................................................................................................................... 8-41 8.6.1 8.6.2 8.6.3 8.6.4 8.6.5 8.6.6 8.6.7 Hydraulic Design Criteria ...................................................................................... 8-41 Pipe Design Criteria ............................................................................................. 8-43 Culvert Design - Overview .................................................................................... 8-52 Site Considerations ............................................................................................... 8-61 Maintenance ......................................................................................................... 8-64 Safety - Roadside Design ..................................................................................... 8-65 Rehabilitation of Culverts and Storm Drains.. 8-65

8.7 STORM DRAINAGE SYSTEMS ....................................................................................... 8-66 8.7.1 8.7.2 8.7.3 8.7.4 8.7.5 8.7.6 8.7.7 8.7.8 8.7.9 Planning and Coordination ................................................................................... 8-67 Hydrologic Analysis .............................................................................................. 8-67 Gutters .................................................................................................................. 8-69 Inlets .................................................................................................................... 8-70 Storm Drains ......................................................................................................... 8-77 Drainage Structures .............................................................................................. 8-88 Storage Facilities .................................................................................................. 8-94 Shared Costs ........................................................................................................ 8-95 Maintenance ......................................................................................................... 8-96

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CHAPTER 8 HIGHWAY DRAINAGE

8.8 EROSION AND SEDIMENT CONTROL AND STORMWATER MANAGEMENT ........... 8-97 8.8.1 8.8.2 8.8.3 8.8.4 8.8.5 Determining The Need For An Erosion and Sediment Control Plan and SPDES/NPDES Stormwater Permits .................................................................... 8-97 Erosion and Sediment Control ............................................................................ 8-100 SPDES Stormwater General Permit ................................................................... 8-106 NPDES Stormwater General Permit ................................................................... 8-108 MS4 Stormwater Outfall Mapping ....................................................................... 8-109

8.9 DRAINAGE REPORT ..................................................................................................... 8-110 8.9.1 8.9.2 8.9.3 8.9.4 8.9.5 8.9.6 8.9.7 8.9.8 Introduction ......................................................................................................... 8-110 Hydrology ............................................................................................................ 8-110 Open Channels ................................................................................................... 8-111 Culverts ............................................................................................................... 8-111 Storm Drainage Systems .................................................................................... 8-111 Erosion and Sediment Control and Stormwater Management............................ 8-112 Special Considerations ....................................................................................... 8-112 References ......................................................................................................... 8-112

8.10 PLANS AND SPECIFICATIONS .................................................................................. 8-113 8.10.1 Plans ................................................................................................................... 8-113 8.10.2 Specifications ...................................................................................................... 8-116 8.10.3 Special Notes ...................................................................................................... 8-116 8.11 DRAINAGE SOFTWARE ............................................................................................. 8-117 8.12 REFERENCES ............................................................................................................. 8-118 8.12.1 References for Chapter 8.................................................................................... 8-118 8.12.2 Topics Presented in the "Highway Drainage Guidelines" and the "Model Drainage Manual" .................................................................................. 8-121 Appendix A Structural Materials for Various Pipe Materials and Shapes Appendix B NYSDOT Design Requirements and Guidance for State Pollutant Discharge Elimination System (SPDES) General Permit GP-02-01

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CHAPTER 8 HIGHWAY DRAINAGE LIST OF FIGURES Figure Number 8-1 8-2 8-3 8-4 8-5 8-6 8-7 Title Flood Hazard Area Specific Energy Diagram Total Energy in Open Channels Typical Anchor Bolt Details Flow Profiles for Culverts in Inlet Control Flow Profiles for Culverts in Outlet Control Drainage Structure Pipe Entrance Page 8-9 8-30 8-31 8-51 8-56 8-60 8-90

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CHAPTER 8 HIGHWAY DRAINAGE LIST OF TABLES Table Number 8-1 8-2 8-3 8-4 8-5 8-6 8-7 8-8 8-9 8-10 8-11 8-12 8-13 8-14 8-15 8-16 8-17 8-18 8-19 8-20 8-21 8-22 through 8-36 Title Page

Areas of Environmental Concern 8-4 Design Flood Frequencies (in years) For Drainage Structures and Channels 8-21 Values of Runoff Coefficient (C) for Use in the Rational Method 8-23 k Values for Various Land Covers and Flow Regimes 8-25 Design Lives 8-44 Metal Loss Rates for Steel By Geographic Location 8-45 Anticipated Service Life, in years, for Steel (with and without additional coating) 8-46 Additional Coating Options 8-47 Factors Influencing Culvert Performance in Inlet and Outlet Control 8-53 Anticipated Service Life, in years, for Steel (with and without additional coating) 8-78 Headloss coefficients 8-82 Correction Factors for Bench Types 8-85 Inside Dimensions of Drainage Structures (Types A Through U) 8-90 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Concrete and Smooth Interior Corrugated Polyethylene) 8-91 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Metal) 8-91 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Horizontal Elliptical Concrete Pipe Dimensions 8-92 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Metal Pipe Arch Dimensions 8-92 Maximum Size Round Pipe (Concrete and Smooth Interior Corrugated Polyethylene) and Skew Angle For Type Q Thru U Drainage Structures 8-93 Maximum Size Round Pipe (Metal) and Skew Angle For Type Q Thru U Drainage Structures 8-93 Contributory Flow Formulas 8-95 Separate Flow Formulas 8-96 Structural Criteria for Various Pipe Materials and Shapes Appendix A 8A-1 through 8A-19

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HIGHWAY DRAINAGE 8.1 INTRODUCTION

8-1

Highway drainage is an important consideration in the design of many projects. The term drainage is defined in several different ways, including the process of removing surplus groundwater or surface waters by artificial means, the manner in which the waters of an area are removed, and the area from which waters are drained. A project may alter the existing drainage. When this occurs, drainage features should be provided which protect the highway, adjacent landowners, and the traveling public from water, while maintaining water quality and protecting other environmental resources. The American Association of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), the U.S. Army Corps of Engineers (USACE), the National Resource Conservation Service (NRCS), and the U.S. Geological Survey (USGS) are the predominant source of guides, manuals and other documents to aid in the design of highway drainage features. In addition, "NYSDOT Guidelines for the Adirondack Park" provides information for consideration when designing projects within the Adirondack Park. (Refer to Chapter 2, Section 2.3.4 of the Highway Design Manual for further information regarding the use of this guideline.) AASHTO's "Highway Drainage Guidelines" presents an overview of highway drainage design. Procedures, formulas, and methodologies are not presented in detail. AASHTO's "Model Drainage Manual" provides procedures, formulas, methodologies, and example problems. FHWA's "Hydraulic Design Series" and "Hydraulic Engineering Circulars" provide guidance, formulas, and example problems on various subjects. The USACE, NRCS, and the USGS provide guidance regarding specific hydrologic, and hydraulic methodologies. Rather than repeat all of the detailed information in the publications mentioned above, this chapter provides an overview of highway drainage which is consistent with these publications and refers to them as necessary throughout the text. Departmental drainage design criteria, Regional experience, and other guidance is given where it may differ from the information presented in the referenced publications. Refer to Chapter 5, Section 5.1.2 for guidance regarding deviation from other design elements (drainage design criteria).

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8.1

8-2

HIGHWAY DRAINAGE

8.2 LEGAL ASPECTS OF HIGHWAY DRAINAGE The Department is obligated by State and Federal laws and regulations to protect: 1. The highway from rainfall and runoff. 2. Adjacent land beyond the highway from the discharge of artificially collected and concentrated flow from highway channels. 3. Floodplains. 4. Water quality and natural resources. Questions regarding our legal obligation to protect adjacent landowners from the Department's alteration of existing drainage should be addressed to the Office of Legal Affairs for opinion. Questions regarding water quality and protecting natural resources should be directed to the Regional Environmental Contact. The legal aspects of highway drainage are discussed at greater length in "The Legal Aspects of Highway Drainage" (Chapter 5 of the "Highway Drainage Guidelines") and "Legal Aspects" (Chapter 2 of the "Model Drainage Manual"). 8.2.1 State Drainage Law State drainage law is derived from common law based on two historical lines of thought: the old English common law rule ("common-enemy rule") and the "civil law rule". These rules developed into the "reasonable use rule". The law in New York seems to be based on the common law rule, modified by the law of reasonable use. Common law is that body of principles which developed from immemorial usage and custom and which receives judicial recognition and sanction through repeated application. These principles were developed without legislative action and are embodied in the decisions of the court. State drainage law is not located in "McKinney's Consolidated Laws of New York Annotated". State drainage law defines surface waters (runoff) and natural watercourses (natural channels), and establishes the legal consequences of their alteration. "Drainage of Surface Waters", prepared and issued by the Office of Legal Affairs, summarizes the law, cases relating to drainage, and drainage problems specific to New York. Each situation is unique and the circumstances involved play a prominent role in determining legal liability, as well as rights and duties. When in doubt, legal opinion should be sought from the Office of Legal Affairs. "Drainage of Surface Waters" was issued to further the legal understanding of the basics of drainage of surface water.

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8.2

HIGHWAY DRAINAGE

8-3

Projects which alter existing drainage patterns should be progressed in accordance with the following guidance which is based on "Drainage of Surface Waters": 1. Every effort shall be made to perpetuate the natural drainage pattern that existed prior to the construction of the highway. Collection and diversion of flows should be avoided whenever possible to limit the Department's liability from these actions. 2. When existing drainage patterns are disturbed by collection, diversion, elimination of ponding areas, or increasing stream velocities, provisions shall be included in the contract documents to return the drainage pattern downstream of the project to approximately the conditions existing before the project, as quickly as is feasible. 3. Whenever possible, the natural drainage pattern shall be re-established within the highway right of way. 4. Downstream drainage easements (usually permanent easements as described in Chapter 5, Section 5.5.4) shall be taken for all drainage from the highway boundary (right of way) to a point downstream where the pre-project drainage pattern has been reestablished. This point will usually be the location at which all collected waters would have entered the stream had the project not been built. However, the point may be that place at which the velocity returns to its natural state. At times, this may involve a considerable length which should require special studies and investigations. Economics may dictate taking an easement to a major water course without determining the point of re-established conditions. (Note: It may be argued that in rough terrain there would be little chance of downstream improvements being made and, therefore, there is no need to take downstream easements. If land in these areas is inexpensive, it would cost little to protect the Department from some future court action. There is no guarantee that a piece of property will never have capital improvements.) 5. Upstream drainage easements (permanent easements) shall be taken where necessary to provide adequate storage for headwater resultant from a drainage facility. These easements should be large enough to accommodate access to adequately maintain the drainage facility. Contact the Regional Maintenance Group to verify the size and location of the easement before the appropriation map is scheduled to be produced. 6. Consider improving existing downstream structures, to protect downstream landowners from increased flooding potential, when the flow reaching the structure is increased significantly because of the proposed highway improvement. An equally acceptable solution would be the creation of upstream storage areas. 7. Existing structures which become inadequate by the loss of their upstream storage areas due to highway construction shall be improved.

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8.2.1

8-4

HIGHWAY DRAINAGE

8.2.2 State and Federal Environmental Laws and Regulations The "Environmental Procedures Manual" (EPM) contains guidelines prepared consistent with the various state and federal laws and regulations which should be followed during project development. This guidance generally reflects State and Federal interagency concurrence on the most expeditious methods for the progress of Department activities. Copies of the laws and regulations are maintained by the Regional Environmental Contact. Refer to the Project Development Manual (PDM), Appendix 1, for a list of federal and state laws, rules, and regulations related to the environment, and guidelines for their implementation. Table 8-1 lists areas of environmental concern associated with highway drainage and the corresponding reference in the EPM. Table 8-1 Areas of Environmental Concern Area of Environmental Concern Wetlands Wild, scenic and recreational rivers Coastal zone Floodplains Water quality Endangered species Fish and wildlife Location of Guidance in EPM Chapter 4 4.A 4.6 4.2 See note 1 4.3, 4.4, 4.5 4.1 4.1

Note 1. IPDG 24 Flood Plain Management Criteria For State Projects is still in force, although it is not in the EPM. A copy of IPDG 24 may be obtained from the Regional Hydraulics Engineer or the Office of Structures.

Sections 8.2.2.1 to 8.2.2.7 discuss these areas of environmental concern in greater detail. 8.2.2.1 Wetlands In addition to the discussion presented in Sections A through C, wetlands are also regulated under water quality. Refer to Section 8.2.2.5.C.

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8.2.2

HIGHWAY DRAINAGE
A. Executive Order (EO) 11990 Protection of Wetlands (May 24, 1977)

8-5

EO 11990 was enacted to minimize the destruction, loss or degradation of wetlands and to preserve and enhance the natural and beneficial values of wetlands through proper planning. A programmatic wetland finding has been developed (dated 4/9/97) to streamline the wetland findings process for simple/minor projects. A programmatic EO evaluation and finding is acceptable for transportation projects which are classified as a Categorical Exclusion and require only a Corps of Engineers' Section 404 Nationwide Permit for work which will affect waters of the United States. The New York State Department of Transportation is also required to have a Design Approval Document containing a description and a plan depicting the location of the impacted wetlands, and a discussion on the type and size of permanent and/or temporary direct and indirect impacts to the wetlands. The project document needs a statement that there are no practicable alternatives to avoid construction in the federally regulated wetlands and that all practicable measures to minimize wetland harm have been incorporated. Finally, the project must be developed in accordance with the procedure for a public involvement/public hearing. Any projects not meeting the above requirements shall require an individual wetland finding. An individual wetland finding has the same requirements for the Design Approval Document listed above. Mitigation for unavoidable impacts should be provided where practicable. A Notice of Construction in Wetlands must be published for a 30 day comment period in advance of an individual finding by FHWA. B. Article 24 of the Environmental Conservation Law (Title 6 of the State of New York Official Compilation of Codes, Rules and Regulations, 6NYCRR, Part 663-665) This article establishes regulations to preserve, protect and conserve freshwater wetlands. A New York State Department of Environment Conservation (NYSDEC) Freshwater Wetlands Permit is required for any project activities, including excavation, erecting structures, grading, grubbing, filling, draining, clear-cutting, or work on drainage structures or channels within the established boundary of a state regulated wetland or within its adjacent 100 ft. wide buffer area. NYSDEC jurisdictional wetlands are generally 12.4 acres or larger and are mapped by NYSDEC. The Adirondack Park Agency regulates activities in and adjacent to freshwater wetlands on all lands within the Adirondack Park pursuant to Article 24 and Adirondack Park Agency Rules and Regulations (9 NYCRR 578). Within the Adirondack Park, all wetlands 1.0 acre or larger are regulated (100 ft.) adjacent area) and all wetlands smaller than 1.0 acre are regulated if there is a free exchange with open water (e.g., streams, ponds, lakes). Regulated activities include any form of excavation, filling, draining, polluting, clearcutting, and erecting structures.

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8.2.2.1

8-6

HIGHWAY DRAINAGE
C. Article 25 of the Environmental Conservation Law (6 NYCRR Part 661) This article establishes regulations to preserve, protect and enhance tidal wetlands. A NYSDEC Tidal Wetlands Permit is required for all regulated project activities, including dredging, grading, excavating or constructing bridges or drainage structures within tidal wetlands areas and adjacent areas that extend up to 300 ft. inland from the wetland boundary (up to 150 ft.) within New York City).

8.2.2.2 Wild, Scenic, and Recreational Rivers A. Wild and Scenic Rivers Act (16 USC 1271, 36 CFR 251, 297, and 43 CFR 8350) This Act requires consultation with the National Park Service for any proposed federal activity affecting a "Listed, Study or Inventory River". Department activities shall not affect the free-flowing character or scenic value of designated rivers or affect the future designation of inventory or study rivers. Regulated activities include expanding or establishing new river crossings or adjacent roads, clearing, and filling. B. Article 15 of the Environmental Conservation Law (6 NYCRR Part 666) The Wild, Scenic and Recreational Rivers Act was developed to protect and preserve, in a free-flowing condition, those rivers of the state that possess outstanding natural, scenic, historical, ecological and recreational values. Project activities within a designated river or its immediate environs (generally 0.5 mi. each side, outside the Adirondack Park and 0.25 mi. each side, within the Adirondack Park) must be designed to prevent significant erosion or direct runoff into the river. NYSDEC has jurisdiction over rivers on public lands within the Adirondack Park and on lands outside the Park. The Adirondack Park Agency has jurisdiction over rivers on private lands within the Adirondack Park. 8.2.2.3 Coastal Zone A. Article 34 of the Environmental Conservation Law (6 NYCRR Part 505), the Coastal Erosion Hazard Act This article requires a permit from NYSDEC for any project proposed within a coastal erosion hazard area.

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8.2.2.1

HIGHWAY DRAINAGE

8-7

B. Article 42 of the Executive Law (19 NYCRR 600 and 601), The Waterfront Revitalization and Coastal Resources Act This article requires project activities in coastal areas to be consistent with NYS Department of State's (NYSDOS) 44 coastal policies and, to the maximum extent practicable, with approved municipal Local Waterfront Revitalization Plans (LWRP's). NYSDOS coastal policies and LWRP's include provisions to protect wetlands and surface water resources from erosion and sedimentation and other non-point source pollution. 8.2.2.4 Floodplains A floodplain or flood prone area is any land or area susceptible to being inundated by water from any source. A flood or flooding means a general and temporary condition of partial or complete inundation of normally dry land areas from the overflow of inland or tidal waters, or the unusual and rapid accumulation or runoff of surface waters from any source. A. National Flood Insurance Program (NFIP) NFIP regulations are contained in 44 CFR Parts 59-77. The following acts describe the program: 1. The National Flood Insurance Act of 1968 (PL 90-448), as amended, was enacted to provide previously unavailable flood insurance protection to property owners in flood-prone areas. 2. The Housing and Urban Development Act of 1969 (PL 91-152) added mudslide protection to the program. 3. The Flood Disaster Protection Act of 1973 (PL 93-234) added flood-related erosion to the program and requires the purchase of flood insurance as a condition of receiving any form of federal or federally-related financial assistance for acquisition or construction purposes with respect to insurable buildings and mobile homes within an identified special flood, mudslide, or flood-related erosion hazard area that is located within any community participating in the program. (A community includes any State or area or political subdivision thereof which has authority to adopt and enforce flood plain management regulations for the areas within its jurisdiction.) In addition, the act requires that on and after 7/1/75, or one year after a community has been notified by the Federal Insurance Administrator (FIA) of its identification as a community containing one or more special flood, mudslide, or flood-related erosion hazard areas, no federal financial assistance shall be provided within such an area unless the community participates in the program. To qualify for the sale of federally-subsidized flood insurance, a community must adopt and submit to the FIA as part of its application, flood plain management regulations. New York's regulations are contained in 6 NYCRR Part 502.

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8.2.2.3

8-8

HIGHWAY DRAINAGE

It is possible to comply with the federal requirements regarding the encroachment of a highway on a floodplain and still be faced with future legal liabilities because of the impact of the highway on the floodplain and the stream. The Regional Hydraulics Engineer should review these potential liabilities and ensure that their evaluation is considered when the final highway location is selected. B. Executive Order (EO) 11988 Floodplain Management (May 24, 1977) EO 11988 requires each Federal agency to take the following actions: 1. To reduce the risk of flood loss, to minimize the impact of floods on human safety, health and welfare, and to restore and preserve the natural and beneficial values served by floodplains, and 2. To evaluate the potential effect of any actions it may take in a floodplain, to ensure its planning programs reflect consideration of flood hazards and floodplain management. These requirements are contained in the Federal Aid Policy Guide (FAPG) under 23 CFR 650 Subpart A, Location and Hydraulic Design of Encroachments on Flood Plains. C. Article 36 of the Environmental Conservation Law (ECL) - Participation in Flood Insurance Programs, and Part 502 (6 NYCRR) - Flood Plain Management Criteria For State Projects This article establishes regulations (6 NYCRR 502) for Departmental and other State agency implementation to insure that the use of State lands and the siting, construction, administration and disposition of State-owned and State financed facilities are conducted in ways that will minimize flood hazards and losses. As previously discussed, the regulations are required for the State to continue its qualification as a participating community in the NFIP administered by the Federal Insurance Administration of the Department of Housing and Urban Development. Projects which involve flood hazard areas shall be progressed in accordance with the criteria in Section 502.4. A flood hazard area consists of the land in a floodplain within a city, town or village subject to a one-percent or greater chance of flooding in any given year. A Flood Hazard Boundary Map (FHBM), or Flood Insurance Rate Map (FIRM) is available from the municipality, NYSDEC, or the Regional Hydraulics Engineer, for those flood hazard areas which have been delineated by the FIA. Figure 8-1 illustrates the flood hazard area and the 100 year flood plain.

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8.2.2.4

HIGHWAY DRAINAGE

8-9

Figure 8-1 Flood Hazard Area

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8.2.2.4

8-10

HIGHWAY DRAINAGE

8.2.2.5 Water Quality A. Section 401 of the Federal Water Pollution Control Act This section (33 USC 1341) authorizes state environmental agencies to certify that proposed dredge and fill disposal projects will not violate state water quality standards before a federal permit is granted. NYSDEC administers Section 401 through its 401 Water Quality Certification (WQC) Program. The issuance of any federal permit (e.g., U.S. Coast Guard Section 9, U.S. Army Corps of Engineers (USACE) Section 10 and Section 404) is contingent on receipt of a NYSDEC 401 WQC. B. Section 402(p) of the Federal Water Pollution Control Act This section (added in 1987; 33 USC 1342(p)) requires the Environmental Protection Agency (EPA) to establish final regulations governing stormwater discharge permit application requirements under the National Pollutant Discharge Elimination System (NPDES) program. NYSDEC implements the federal program through its State Pollutant Discharge Elimination System (SPDES) program. Under NYSDEC SPDES Stormwater General Permit No. GP-02-01, a Notice of Intent must be filed and a Stormwater Pollution Prevention Plan (SWPPP) must be prepared as discussed in Appendix B, Section 2.4 of this chapter, and Chapter 4.3 of the Environmental Procedures Manual. Refer to Section 8.8, Erosion and Sediment Control and Stormwater Management, and Appendix B, NYSDOT Design Requirements and Guidance for SPDES General Permit GP-02-01, for additional guidance regarding the need for coverage under the SPDES General Permit. NYSDEC does not have jurisdiction on federal land within New York State. For projects on Indian Lands, refer to the NPDES Construction General Permit in EPM Chapter 4.3, Attachment 4.3.C.1 C. Section 404 of the Federal Water Pollution Control Act This section (33 USC 1344) prohibits the unauthorized discharge of dredged or fill material, including incidental discharge from excavation activities, into waters of the United States, including federal-jurisdictional wetlands. USACE Individual or Nationwide Section 404 Permits are required for the placement of fill materials into waters of the United States associated with the construction, repair or replacement of highways, bridges and drainage structures and facilities.

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8.2.2.5

HIGHWAY DRAINAGE
D. Section 10 of the Rivers and Harbors Act of 1879

8-11

This section (33 USC 403 and 33 CFR 320-325) prohibits the unauthorized obstruction or alteration, including the excavation or deposition of materials in and the construction of any structure in or over designated navigable waters of the United States without a Corps of Engineers Individual or Nationwide Permit. Requirements are usually met with section 404 and 401 compliance. E. Section 1424 (e) of the Safe Drinking Water Act - Sole Source Aquifers This section, EO 12372, and a 1974 FHWA/EPA MOU requires certain Federally funded projects over designated sole source aquifers to be coordinated with EPA and modified, if necessary, to protect the water quality and quantity of the aquifer. Projects over state primary water supply and principal aquifer areas should also consider potential contamination of aquifers and include best management practices as appropriate. Although no permitting program exists, other regulations such as SPDES, Protection of Waters, Wetlands Act, etc. can also be used to require project modification. F. Article 15 of the NYS Environmental Conservation Law This section (ECL Article 15-0501 and 15-0505, and 6 NYCRR Part 608) regulates the disturbance of the bed and banks of any protected stream (class CT or higher) and the excavation and fill in any navigable water. The Department is exempt from permit requirements. However, the Department is obligated through a 1996 MOU to coordinate with DEC and modify projects if necessary. G. Water Quality Classifications and Standards (6 NYCRR Part 700-705) These regulations classify surface and groundwaters according to their potential best usage (Part 701) and establish water quality standards to protect water quality (Part 703). Department projects, whether or not a permit is required, can not result in a violation of established water quality standards (e.g., no increase in water turbidity that causes a substantial visible contrast to natural conditions).

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8.2.2.5

8-12

HIGHWAY DRAINAGE

8.2.2.6 Endangered Species The Federal Endangered Species Act of 1973, as amended, Section 7 (16 USC 1536) prohibits federal agencies (e.g., FHWA, USACE, Coast Guard) from taking actions (e.g., approving funding or issuing permits) that would be likely to jeopardize the continued existence of endangered or threatened species. Projects with activities involving drainage, wetlands and surface waterbodies must be evaluated for potential impacts affecting federally listed or proposed endangered or threatened species. 8.2.2.7 Fish and Wildlife The Fish and Wildlife Act of 1956 (16 USC 742a et seq.), the Migratory Game-Fish Act (16 USC 760c-760g) and the Fish and Wildlife Coordination Act (16 USC 661-666c) express the concern of Congress with the quality of the aquatic environment. The United States Fish and Wildlife Service is authorized to review and comment on the effects of a proposal on fish and wildlife resources under federal permit processes. It is the function of the regulatory agency (e.g., USACE, Coast Guard) to consider and balance all factors, including anticipated benefits and costs in accordance with the National Environmental Procedures Act, in deciding whether to issue the permit (40 FR 55810, December 1, 1975). 8.2.3 Connections To State Drainage Facilities Sections 8.2.3.1 and 8.2.3.2 discuss the different types of connections to state drainage facilities which shall be considered. 8.2.3.1 Sanitary Sewer Connections Private or municipal sanitary sewer connections may exist within our right of way. A. Private Sanitary Sewer Connections The discharge of private sanitary sewer systems into a state highway drainage facility is illegal. Department representatives who suspect a private sanitary sewer connection to a storm sewer, culvert, or open channel within the right of way should contact the local representative of the Department of Health for their recommendation in removing the subject trespass. If the sanitary sewer pipe terminates outside the right of way and the effluent flows into a highway drainage facility, the Department's representative should contact the Department of Health and request the necessary corrective action be taken. (This arrangement has been agreed to by Memorandum of Understanding between the Department of Transportation and the Department of Health dated 4/11/66.) The cost of corrective action shall be paid for by the private owner.

10/22/09

8.2.2.6

HIGHWAY DRAINAGE

8-13

B. Municipal Sanitary Sewer Connections Existing sanitary sewer systems may be separate, or combined with our existing storm drainage system. The Department will participate in the relocation of separate, and combined systems if our project affects them. If the municipality desires any improvements to their system, this is a betterment and should be treated as such. 8.2.3.2 Storm Drainage Connections A. Private Storm Drainage Connections 1. Existing Connections. It is the Department's responsibility to maintain existing surface water drainage across and along the highway right of way. Due to the nature of typical section design for cuts, fill and curbed highways, the collection and redirection of the flow of surface water will continue. In many corridors, the highway drainage system has become the only way that the stormwater or groundwater discharge from adjacent development can be conveyed to a natural watercourse. The Department's highway work permit process, and a municipality's site plan approval process, generally ensure that discharges from developments are designed in a manner that does not increase flows that have the potential to damage the highway or downstream properties. If adding discharge to a State system is unavoidable, the applicant shall assume the cost of altering the downstream section of the State system to accommodate the increased flow. There will be locations where connections to the state's storm drainage system were constructed without our knowledge or approval and where damage has occurred or may occur in the future. In situations where designers suspect this to be the case, they should first consult with the Resident Engineer for whatever historical information may be available. If there is potential for damage, or if damage has occurred in the past and it is clear that we cannot correct the situation at nominal cost, a coordinated approach by the Department and the municipality is advisable.

10/22/09

8.2.3.1

8-14

HIGHWAY DRAINAGE
2. Proposed Connections. Private development adjacent to State Highways will not be allowed to significantly increase either the runoff velocity or rate of runoff as it enters the State highway drainage system. This policy is administered through the highway work permit process. (Refer to Procedure 7.12-2 of the "Manual of Administrative Procedures", and the "Policy and Standards For Entrances To State Highways" for additional guidance.) Generally, a retention or detention system is necessary to restrict the flow rate of a development's drainage discharge to the predevelopment rate. In situations where the development is discharging near the downstream end of a relatively large drainage area, an undetained connection may be appropriate. This allows the increased flow from the development to pass downstream prior to the peak flow from the watershed. Detention in these situations can actually increase the watershed peak flow. Proper analysis of the watershed's characteristics is necessary. Consideration shall be given to redevelopment projects in corridors with older storm drainage facilities. There may be an existing development that was constructed with stormwater discharge to the state's highway drainage facilities without proper consideration of the effect on our system. If this site is being proposed for redevelopment, any deficiencies in the design of the original development's storm drainage system shall be corrected at the expense of the owner. B. Municipal Storm Drainage Connections Proposed storm drainage systems may be progressed in cooperation with a municipality. The municipality shall participate in the cost of cooperative projects as discussed in Section 8.7.8.

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8.2.3.2

HIGHWAY DRAINAGE

8-15

8.3 HYDROLOGY Hydrology is a science concerned with the occurrence, distribution, and movement of water. The necessity and extent of the hydrologic analysis to be performed is based on the type of project. Typically, a design discharge (usually the peak discharge) must be determined for a unique design flood frequency and storm duration. On occasion, the peak discharge must be determined from plotting a hydrograph. An overview of the process of performing a hydrologic analysis, including criteria (design flood frequency) and methodologies for determining the peak discharge (with and without the use of a hydrograph), are discussed in this section. The publications referred to in the text regarding specific methodologies (i.e. "Urban Hydrology for Small Watersheds", TR-55, etc.) are necessary to guide the user through the process. Hydrology is discussed at greater length in "Hydrology" (Chapter 2 of the "Highway Drainage Guidelines"), "Hydrology" (Chapter 7 of the "Model Drainage Manual"), and "Hydraulic Design Series" (HDS) No. 2, "Highway Hydrology". 8.3.1 Type of Project vs Extent of Hydrologic Analysis The extent of the hydrologic analysis to be performed should be based on project type as follows (Not every project will require a hydrologic analysis for all locations within the project limits.): 1. Construction on new alignment - A hydrologic analysis is required to determine the need for, and necessary capacity of drainage features (culverts, open channels, storm drainage systems, etc). 2. Reconstruction on existing horizontal and vertical alignment - A hydrologic analysis shall be performed for all drainage features located within the project limits having a history of flooding, and for open and closed drainage systems with a remaining service life less than the design life of the highway improvement. 3. Resurfacing, Restoration and Rehabilitation (3R) - A hydrologic analysis is required for all drainage features having a history of flooding, or in need of replacement or major repair. Extension of a culvert to flatten side slopes usually does not require a hydrologic analysis, but shall require a hydraulic analysis to establish the flow of water in the new drainage pattern. 4. Pavement Preventive Maintenance Projects - No hydrologic analysis is required. 5. Culvert replacement or relining project - A hydrologic analysis is required.

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8.3

8-16

HIGHWAY DRAINAGE

8.3.2 Hydrologic Analysis The overall process which should be used to conduct the hydrologic analysis for a given project is listed below and discussed in Sections 8.3.2.1 through 8.3.2.5. 1. 2. 3. 4. 5. Conduct preliminary research. Take an initial field trip to the project site. Determine if the design discharge should be calculated with or without a hydrograph. Select a methodology and design flood frequency, and calculate the design discharge. Take a final field trip to verify the analysis/design and to recheck flood damage potential.

8.3.2.1 Preliminary Research Preliminary research should take place before conducting the first field trip in order to make the trip more productive: 1. Obtain available topographic information, including USGS quadrangles, county or municipal topographic maps or other recent surveys. Outline the drainage patterns and areas on a contour map. 2. Determine soil characteristics of each drainage area for the project. This information may be obtained from the NRCS County Soil Survey or from the Regional Geotechnical Engineer. 3. The Regional Hydraulics Engineer, or appropriate Regional Design group, should be contacted to determine if there is a Flood Insurance Study with an associated Flood Insurance Rate Map, and Flood Boundary and Floodway Map for the area. 4. Determine if the site is at or near a location listed in the USGS publication "Maximum Known Stages and Discharges of New York Streams 1865 - 1989, with Descriptions of Five Selected Floods, 1913-85". If the site is listed, valuable hydrologic data may be provided which should be used to check the reasonableness of the flow rate computations performed in accordance with Section 8.3.2.4. In addition, the USGS publishes "Water Resources Data New York Water Year" which contains flow rates and other data for streams. Three separate volumes are published to cover the state (eastern excluding Long Island, western and Long Island). 5. Obtain available aerial photographs. These photographs can help determine lateral migration of stream channels, land use, type of terrain, tree cover, etc. Recent aerial ortho photographs are available as a part of the GIS datasets. GIS ortho images are available dating back to approximately 1995 through the GIS group. The Office of Technical Services is also a good source for earlier photos. NYSDEC has aerial ortho images dating back to around 1940. Photogrammetric images are also now being provided with highway projects. 6. Obtain any previous field reconnaissance notes. They may be of significant value in the determination of drainage patterns and areas.

10/22/09

8.3.2

HIGHWAY DRAINAGE

8-17

7. Check with the Resident Engineer's Office to see if they have historical records of high water flow for the subject drainage area. 8. Check Highway Record Plans for the area. proposed structures. They can be used as a guide to size

9. Perform preliminary flow rate calculations for cross drainage locations. 8.3.2.2 Initial Field Trip - Data Collection After the preliminary research has been completed, and preliminary flow rates calculated, the initial field trip should be taken. (Be sure to bring a camera, take lots of pictures, and always try to include a person or other item of known size in the picture to act as a visual scale.) The main items to be investigated are: 1. 2. 3. 4. 5. Drainage patterns and drainage areas. Land use. Soil types. Existing and previous flood conditions. Location of natural and man-made detention features.

A. Drainage Patterns and Drainage Areas Topographic information that covers the drainage areas should be taken into the field to verify the drainage patterns and areas. In addition, aerial photographs, record plans, and field survey or notes may be useful in the field. Cross culverts which carry water into or out of the area being investigated should be noted. In the initial phases of a design, especially for projects on a new alignment, the roadside drainage patterns have normally not been determined. The proposed location of crossdrainage can be determined by laying out the centerline of the proposed improvement on a contour map. Drainage patterns and areas may have to be changed before the project is finalized, however, and these changes may require redesign later. B. Land Use The type of land and land use should be considered. Note whether the land is wooded, fallow (crop land kept free of vegetation during the growing season), plowed and planted with crops, or developed (containing a high percentage of roof areas, paved parking lots, grass lawns, etc.). Land use and cover have a large affect on peak flow rate.

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8.3.2.1

8-18

HIGHWAY DRAINAGE

C. Soil Types Confirm preliminary soils information. Attempt to verify the runoff characteristics of the soils within the drainage area and their capabilities of resisting erosion. Look for locations where soil erosion may become, or is a problem. These locations, which are frequently channel banks, may need stone filling. The Regional Geotechnical Engineer should assist, if deemed necessary, with this determination. D. Existing and Previous Flood Conditions The magnitude of previous flooding conditions at the location being investigated should be determined. Evidence of past flooding may not be easily discernible since time will disguise flood damage. Evidence may be gathered by checking the following sources: 1. Determine High Water Elevations in Channels and at Structures Existing stream channels (when there is a definite channel) show flooding effects in various ways. These effects are visible as different degrees of erosion in the stream bank or the stream bottom. Other indications which may be evident are high water marks shown as mud lines on concrete surfaces or rock faces along stream embankments, and debris which has been deposited along the channel slopes. High water marks are only to be used as indicators. High water elevation determination for an existing structure will enable the designer to more accurately calculate a maximum flow rate at the structure. The information needed is the slope, type and size of the existing structure and the estimated maximum headwater and tailwater depths. 2. Conduct Personal Interviews Personal interview of area residents may be helpful in determining previous flooding conditions; however, the information obtained by this method may be biased. The interviewer should ask if local residents have photographs or a video taken at the time of the flooding. Information obtained from interviews of local residents and local maintenance personnel is usually helpful and can be used as an indication of high water elevations in conjunction with field observations. 3. Deposition and Scour at Existing Structures Signs of flooding conditions at existing structures are deposition of stream bed material and scour holes near structure inlets. Scour holes near structure outlets are not as indicative of flood conditions since normal flows through a structure can cause scour and erosion at the outlet. Deposition of stream bed material, which will consist of sand, gravel and/or debris, can occur within the upper portions of a drainage structure which does not have any significant outlet control. The deposition and scour holes are indications of high headwater at the inlet. This indicates that the culvert may be undersized.

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8.3.2.2

HIGHWAY DRAINAGE

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4. Debris The size and weight of deposited material is also a general indication of the velocity of the stream during maximum flow conditions. As the stream channel grade steepens and the flow rate increases, the velocity will be faster and the heavier debris is more easily moved by the flowing water. By observing these general characteristics of a stream and culvert, a better determination of past velocities and flow rates can be made to confirm the design flow rate. 5. Regional Department of Environmental Conservation Office Some of these offices have flood control staff who may provide information regarding flood prone areas. E. Natural and Man-made Detention Features The existence of any detention features should be verified. Natural detention features can take the form of wetlands, ponding areas, reservoirs, and lakes. Man-made features can include flood control dams, highway embankments, and culvert locations. These all have the effect of increasing the time of concentration, which may reduce the flow rate at the point under consideration downstream. If the feature is near the headwater of the drainage area, the effects will not be as great as the effects if the feature is closer to the point under consideration. If the storage feature is close to the point under consideration, an analysis may need to be performed using HEC-HMS "Hydrologic Modeling System" (Hydraulic Engineering Center), , or another similar method to determine the proper flow rate. In some cases, detention features can reduce the required size of a downstream facility appreciably. 8.3.2.3 Peak Discharge (With or Without a Hydrograph) Discharge is the rate of the volume of flow per unit of time. The peak runoff rate, or peak discharge, should generally be determined without calculating a hydrograph when the effects of water storage are not considered. A hydrograph should be used to establish the peak discharge when an analysis of the effects of water storage on the drainage area under evaluation needs to be considered. Examples are ponds, reservoirs, or other water storage areas within the drainage area, and when stormwater management needs to be considered. A hydrograph is a graphical plot of discharge (flow) versus time for a specific location and recurrence interval (design flood frequency). A unit hydrograph is a special hydrograph that describes the discharge resulting from a one inch rainfall event. The height of a hydrograph is the peak flow rate, and the time to the peak discharge is the time of concentration. The shape of a hydrograph is dependent upon the watershed characteristics. A narrow, high hydrograph describes a watershed that produces runoff quickly after a rainfall event, and a broad, short hydrograph describes a watershed that produces runoff slowly after a rainfall event. The most commonly used hydrograph is the NRCS dimensionless unit hydrograph.

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8.3.2.2

8-20

HIGHWAY DRAINAGE

8.3.2.4 Flow Rate Determination Several methods for determining flow rates are listed in items 1 through 4 below. Methods 1 and 2 are based upon rainfall effects and do not consider snowmelt. In some areas, runoff from snowmelt will regularly exceed peak events due to rainfall. Each flow rate determination method is unique. Users should be familiar with each method, and be able to select the most appropriate method for each location and situation. Additional methods are presented in the publications referenced in Section 8.3. Other agencies, such as the USACE, have studied various larger streams and rivers in New York State. Their flow rate calculations tend to be conservative because their purpose is flood control on those rivers and streams. The FEMA has studied a large percentage of the rivers and streams in the State through the NFIP. Flood study results should be closely reviewed because they were developed by different consultants over several decades, using a variety of methods, and they are of variable quality. Recommended methods, which are briefly explained in sections A through D, include: 1. Rational Method. Computes a peak discharge. 2. Modified Soil Cover Complex Method ("Urban Hydrology for Small Watersheds", NRCS TR-55, is the basis for this method). Computes a peak discharge directly using a formula and by plotting a hydrograph. 3. Regression Equations. Computes a peak discharge. 4. Historical Data. The design flood frequencies provided in Table 8-2 are recommended for use with the Rational Method, the Modified Soil Cover Complex Method, and the regression equations. The design flood frequency is the recurrence interval that is expected to be accommodated without exceeding the design criteria for the open channel, culvert, or storm drainage system.

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8.3.2.4

HIGHWAY DRAINAGE

8-21

Table 8-2 Design Flood Frequencies (in years) For Drainage Structures and Channels1 Highway Functional Class Interstates and Other Freeways Principal Arterials Minor Arterials, Collectors/Local Roads and Streets Culverts2 50 50 Storm Drainage Systems 10 5 10 5 Relocated Natural Channels3 --Ditches4 25 25

50 6

57

--

10

1. The values in this table are typical. The selected value for a project should be based upon an assessment of the likely damage to the highway and adjacent landowners from a given flow and the costs of the drainage facility. Note: 100-year requirements must be checked if the proposed highway is in an established regulatory floodway or floodplain. 2. The check flow, used to assess the performance of the facility, should be the 100 year storm event. 3. Relocated natural channels should have the same flow characteristics (geometrics and slope) as the existing channel and should be provided with a lining having roughness characteristics similar to the existing channel. 4. Including lining material. 5. As per 23CFR650A, and Table 1-1 of HDS 2, a 50-year frequency shall be used for design at the following locations where no overflow relief is available: a. sag vertical curves connecting negative and positive grades. b. other locations such as underpasses, depressed roadways, etc. 6. A design flood frequency of 10 or 25 years is acceptable if documented in the Design Approval Document, and when identified after design approval, in the drainage report. A design flood frequency of 10 or 25 years should be used in the design of driveway culverts and similar structures. 7. Use a 25-year frequency at the following locations where no overflow relief is available: a. sag vertical curves connecting negative and positive grades. b. other locations such as underpasses, depressed roadways, etc.

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8.3.2.4

8-22

HIGHWAY DRAINAGE
A. Rational Method This method is recommended to determine the peak discharge, or runoff rate, from drainage areas up to 200 acres. If a hydrograph is required to consider the effects of storage, use the Modified Soil Cover Complex method, or a similar method. The Rational Method assumes the following: 1. Peak discharge occurs when all of the drainage area is contributing, 2. A storm that has a duration equal to the time of concentration (Tc) produces the highest peak discharge for the selected frequency, 3. Intensity is uniform over a duration of time equal to or greater than the Tc, and 4. The frequency of the peak flow is equal to the frequency of the intensity. The rational method formula is: Q = CiA , where: Q C i A = peak discharge or rate of runoff (cfs) = runoff coefficient = intensity (in/hr) = drainage area (acres)

1. Runoff coefficient. The runoff coefficient selected shall represent the characteristics of the drainage area being analyzed. A weighted runoff coefficient (Cw) should be used in the Rational formula for drainage areas having different runoff characteristics. Cw should be calculated as follows: Cw = 3CiAi / A , where Ci = runoff coefficient for subarea "i" Ai = subarea Refer to Table 8-3 for recommended runoff coefficients.

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8.3.2.4

HIGHWAY DRAINAGE

8-23

Table 8-3 Values of Runoff Coefficient (C) for Use in the Rational Method Type of Surface Rural Areas Concrete, or Hot Mix Asphalt pavement Gravel roadways or shoulders Steep grassed areas (1:2, vert.:horiz.) Turf meadows Forested areas Cultivated fields Urban/Suburban Areas Flat residential, @ 30% of area impervious 0.40 Flat residential, @ 60% of area impervious 0.55 Moderately steep residential, @ 50% of area impervious 0.65 Moderately steep built up area, @ 70% of area impervious 0.80 Flat commercial, @ 90% of area impervious 0.80 0.95 0.4 0.6 0.1 0.1 0.2 - 0.98 - 0.6 - 0.7 - 0.4 - 0.3 - 0.4 Runoff Coefficient (C)1

1. For flat slopes and/or permeable soil, use lower values. and/or impermeable soil, use the higher values.

For steep slopes

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8.3.2.4

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2. Intensity. Determine intensity i.e., the rate of rainfall upon the drainage area, using intensity-duration-frequency (IDF) curves developed for the area being analyzed, a duration equal to the time of concentration (Tc), and a frequency equal to the design flood frequency. IDF relationships are based upon statistical analysis of rainfall data. They describe, for a given flood frequency, the average intensity of rainfall for a storm of a given duration (equal to the time of concentration). The statistical data for New York State is based upon "Technical Paper No. 40"(TP-40) and the "NOAA Technical Memorandum NWS HYDRO-35". The methodology for developing IDF curves is presented in "Drainage of Highway Pavements", Highway Engineering Circular (HEC) No. 12. To construct a set of IDF curves for a given location, HEC-12 uses six data points from HYDRO-35: the 2year 5, 15 and 60 minute rainfalls and the 100-year 5, 15 and 60 minute rainfalls. the 60 minute rainfall for each intermediate return period is calculated from these points, and then the rainfall intensities for other durations are calculated. IDF curves for some locations are available from the Regional Design Group or should be constructed from known rainfall data. To obtain the intensity, the Tc must first be estimated. The Tc is defined as the time required for water to travel from the most remote point in the watershed to the point of interest. The time of concentration path is the longest in time, and is not necessarily the longest in distance. Various methods can be used to determine the Tc of a drainage area. The method used to determine the Tc should be appropriate for the flow path (sheet flow, concentrated flow, or channelized flow). The minimum Tc used shall be 5 minutes. The velocity method can be used to estimate travel times (Tt) for sheet flow, shallow concentrated flow, pipe flow, or channel flow. It is based on the concept that the travel time for a flow segment is a function of the length of flow (L) and the velocity (V): Tt = L/60V , where Tt, L, and V have the unit of minutes, ft, and ft/s. The Tt is computed for the principal flow path. When the principal flow path consists of segments that have different slopes or land covers, the principal flow path should be divided into segments and the travel time associated with each flow segment should be calculated separately and summed to determine the Tc. Velocity is a function of the type of flow, the roughness of the flow path, and the slope of the flow path. A number of methods are available for estimating velocity, and are based on the type of flow. After short distances, sheet flow tends to concentrate in rills and then gullies of increasing proportions, and is usually referred to as shallow concentrated flow.

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8.3.2.4

HIGHWAY DRAINAGE

8-25

The velocity of shallow concentrated flow can be estimated by using the following equation: V = 3.28k S 0.5 where V = velocity in (ft/s) k = Value from Table 8-4 S = slope (percent) The value of k is a function of the land cover as shown in Table 8-4. Table 8-4 k Values for Various Land Covers and Flow Regimes k 0.076 0.152 Land cover/flow regime Forest with heavy ground litter; hay meadow/ overland flow Trash fallow or minimum tillage cultivation; contour or strip cropped; woodland/overland flow Short grass pasture/overland flow Cultivated straight row/overland flow Nearly bare and untilled/overland flow Grassed waterway/shallow concentrated flow Unpaved/shallow concentrated flow Paved area/shallow concentrated flow; smal upland gullies

0.213 0.274 0.305 0.457 0.491 0.619

Manning's equation, provided in Section 8.4.1.1, can be used to determine flow velocities in pipes and open channels. 3. Area. This is the drainage area contributing flow to the drainage feature under evaluation.

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8.3.2.4

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B. Modified Soil Cover Complex Method This method is recommended to determine the peak discharge, and a hydrograph, from drainage areas up to 1 mi2 (640 acres). "Urban Hydrology for Small Watersheds", NRCS TR-55, applies the modified soil cover complex method to determine a peak discharge and a hydrograph. Only a peak discharge may be determined using the Graphical Peak Discharge method. A peak discharge and a hydrograph may be determined using the Tabular Hydrograph method. (NRCS TR-55 methodology is taken from TR-20, "Computer Program for Project Formulation Hydrology"). TR-20 is capable of more complex hydrologic and hydraulic (routing) analyses. Users should be aware of the limitations presented throughout NRCS TR-55. Input requirements for both the Graphical Peak Discharge method and the Tabular Hydrograph method include: 1. Q runoff (in.). Estimating runoff is covered in NRCS TR-55 Chapter 2. Variables used to calculate Q include P rainfall (in.), Ia initial abstraction (in.), and S potential maximum retention after runoff begins (in.). Values of P should be calculated for the project site based on the 24 hour rainfall events as shown in Technical Paper NO. 40. The other variables should be calculated as discussed in Chapter 2. 2. Tc time of concentration (hr.). Follow the procedure outlined in NRCS TR-55 Chapter 3. The minimum Tc for design is 6 min. 3. Am drainage area (mi.2). This is the drainage area under consideration. 4. Appropriate rainfall distribution (Type I, IA, II, and III). This information is necessary to compute the unit peak discharge, qu, for the Graphical method, and the tabular hydrograph unit discharge, qt, for the Tabular method. All New York State counties have a Type II distribution, except the following, which have a Type III distribution: Bronx Nassau Rockland Kings Suffolk Sullivan New York Dutchess Ulster Queens Richmond Orange Putnam Westchester

The Tabular Hydrograph method requires Tt,, travel time (hr.), in addition to 1. through 4. above. Follow the procedure outlined in NRCS TR-55 Chapter 3 to determine Tt.

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8.3.2.4

HIGHWAY DRAINAGE
C. Regression Equations

8-27

This method is recommended for calculating a peak flow rate for use in the design of a natural channel relocation, and for culvert design (when the culvert is installed to pass a natural channel (e.g., a perennial stream). "Magnitude and Frequency of Floods in New York", USGS Scientific Investigations Report 20065112, presents a series of regression equations for use to calculate the peak discharge, for recurrence intervals of 1.25, 1.5, 2, 5, 10, 25, 50, 100, 200 and 500 years, for six hydrologic regions in New York State. For urban streams, this method shall be modified by the method recommended in "Evaluation of Six Methods for Estimating Magnitude and Frequency of Peak Discharges of Urban Streams in New York", USGS Water-Resources Investigations Report 84-4350. Refer to page 41 of Magnitude and Frequency of Floods in New York for details on limitations (Drianage area, etc.) for each hydrologic region. These regression equations are not valid and should not be used for regulated streams, diversions, or other manmade changes, unless supplemented with a routing procedure such as HEC-HMS Hydrologic Modeling System" or TR-20, "Computer Program for Project Formulation Hydrology". D. Historical Data "Maximum Known Stages and Discharges of New York Streams 1865-1989, with Descriptions of Five Selected Floods, 1913 - 1985", USGS Water-Resources Investigations Report 92-4042, lists maximum known stages and discharges for 1280 sites on 863 New York streams. The report lists the sources and categories of data, maximum stage and discharge, and location data for each site. Data from this report should be used, as appropriate, to check/verify peak flow estimates calculated by any of the other methods discussed in Sections A through C above. Other historical data may be found in newspaper or other media accounts as well as a number of other local sources. 8.3.2.5 Final Field Trip to Verify Design Sometimes not all of the design problems are immediately evident during the initial field trip. The designer may have to request a more accurate field survey and/or prepare cross sections to help identify other design parameters. Once the final hydrologic analysis has been completed and the designer has selected some alternate solutions which meet the design criteria, a final field trip should be taken to confirm the hydrologic and hydraulic design for the project. During the final field trip, special consideration should be given to the effects of future potential flooding upstream or downstream. The design high water elevations are now known, so verification of the affects of these elevations can be accomplished more accurately than previously. Changes to existing drainage patterns which may result in potential damage to adjacent landowners should also be given close scrutiny at this time to avoid the potential for legal problems or claims.

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8.3.2.4

8-28

HIGHWAY DRAINAGE

8.4 HYDRAULIC PRINCIPLES Flow in any open or closed conduit (e.g., open channel or pipe) where the water surface is at atmospheric pressure, or free, is termed open channel flow. The principles of flow in open channels are discussed in many of the publications referenced throughout the text. Two such publications are "Design Charts for Open Channel Flow", Hydraulic Design Series No. 3 (HDS 3), and "Introduction to Highway Hydraulics", HDS 4. 8.4.1 Types of Open Channel Flow Open channel flow can be characterized as: 1. Steady or unsteady. Steady flow occurs when the quantity of water passing any section of an open channel or pipe is constant. Unsteady flow is characterized by variations in flow. 2. Uniform or non-uniform. Flow is considered uniform if velocity and depth are constant, and non-uniform or varied if velocity and depth of flow changes from section to section. 3. Subcritical, critical, or supercritical. These types of flow are related to depth of flow. Subcritical flow is considered tranquil and occurs at depths greater than critical depth, dc (velocity less than critical). Critical flow occurs at critical depth. Critical depth is defined as the depth of minimum energy content. Energy of flow is discussed in Section 8.4.2. Supercritical flow is considered rapid or shooting and occurs at depths less than critical depth. The Froude number is used to define these types of flow. Refer to Section 8.4.1.2 for the equation used to calculate the Froude number. The capacity of open channels and storm drains is determined assuming steady uniform flow. Steady uniform flow is discussed further in Section 8.4.1.1. If steady flow is assumed to exist, but a change occurs in either the depth of flow, velocity, or cross section, the conduit should be designed based on the principles and equations for steady nonuniform flow. For nonuniform or varied flow, the energy equation should be used as the basis for the analysis.

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8.4.1.1 Steady Uniform Flow Steady uniform flow occurs when the conduit slope, cross section (size and shape), and roughness are reasonably constant along the conduit. Manning's equation is used to calculate the velocity and/or depth in an open channel or pipe under open channel conditions. Manning's equation is:

1.486 0.67 0.5 V = R S n

V= n= R= A= P= S=

where:

Velocity (ft/s) Manning's roughness coefficient Hydraulic radius = A/P (ft) Cross sectional area of flow (ft2) Wetted perimeter (ft) Slope of the energy grade line, and the flow line, So (ft/ft). For steady uniform flow, S = conduit slope.

Combining the Manning equation with the continuity equation, Q=VA, results in a commonly used form of the Manning equation which is used as the basis to determine the capacity or discharge (Q) of an open channel, or pipe.

1.486 0.67 0.5 Q = A R S n

For a given geometric cross section, slope, roughness, and a specified value of discharge, a unique depth occurs in steady uniform flow called the normal depth (dn). This depth is primarily a function of roughness. When dn is known, calculating the discharge is a matter of inserting the appropriate values into the formula. When dn is not known, and this is generally the case with open channels and pipes, the solution requires a trial and error procedure unless charts, tables, nomographs, or computer software are used.

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8.4.1.2 Subcritical, Critical, and Supercritical Flow The flow regime (subcritical, critical, or supercritical) is determined by solving for the Froude number (FR).

FR =

V gD
, where

V = Mean velocity (ft/s) g = Acceleration due to gravity (32.2 ft/s2) D = Hydraulic depth (ft) = A/T A = Cross sectional area of flow (ft2) T = Top width of flow (ft) and FR < 1 Subcritical Flow FR = 1 Critical Flow FR > 1 Supercritical Flow Open channel flows which result in flow depths within 10% of critical depth, or which result in Froude numbers between 0.9 and 1.1, should be avoided because flow is unstable and may result in either subcritical flow or supercritical flow. As the flow approaches critical depth from either limb of the specific head curve, (as shown in Figure 8-2) a very small change in energy is required for the depth to abruptly change to the alternate depth on the opposite limb of curve. If the unstable flow region cannot be avoided, the least favorable type of flow should be assumed for design. Figure 8-2 Specific Energy Diagram

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8.4.2 Energy of Flow Open channel flow contains energy in two forms, potential and kinetic. The potential energy is due to the position of water above some datum, and is equal the water depth (d), plus the elevation of the channel bottom above the datum plane (z). Kinetic energy is due to the velocity of water and is represented by the velocity head (V2/2g). Specific energy or specific head (E) is equal to the depth of water plus the velocity head (d + V2/2g). Energy can also be expressed in terms of total energy or total head (E + z). Total head may be used in applying the energy equation, which states that the total head (energy) at any section is equal to the total head (energy) at any section downstream plus the energy (head) losses between the two sections. The energy equation is used as the basis for determining minor losses in storm drainage systems, and in evaluating the hydraulic performance of culverts operating under outlet control. The energy (Bernoulli) equation is usually written:

V12 V 22 z1 + d 1 + = z2 + d 2 + + hL 2g 2g
V = Average velocity (ft/s) g = Acceleration due to gravity (32.2 ft/s2) d = Depth of flow (ft) z = Channel elevation (ft) hL = Head losses due to friction, transition, and bends between sections 1 and 2. In the equation, the subscripts 1 and 2 refer to the upstream and downstream channel locations respectively. Figure 8-3 illustrates these concepts. Figure 8-3 Total Energy in Open Channels

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8.5 OPEN CHANNELS Open channels may exist or be proposed within the roadside. Examples of existing channels which may be encountered are natural channels or watercourses (streams, creeks, etc.), and man-made (artificial, roadside) channels constructed as part of the original highway or a subsequent rehabilitation. The need for roadside channels and natural channel relocation or protection are influenced by the proposed location, terrain, and type of project. Open channel design is discussed at greater length in "Hydraulic Analysis and Design of Open Channels" (Chapter 6 of the "Highway Drainage Guidelines"), "Channels" (Chapter 8 of the "Model Drainage Manual"), and "Hydraulic Design Series" (HDS) No. 4. 8.5.1 Types of Open Channels 8.5.1.1 Roadside Channels Roadside channels are a broad category of artificial channels located within the highway right of way which often parallel the roadway. Various types of roadside channels, some of which are referred to as ditches, are discussed in Sections A through F. A. Gutters Gutters are one component of a storm drainage system, and are also used to minimize embankment erosion. Gutters are: 1. Created when curb is placed at the edge of pavement. Refer to Chapter 3, Section 3.2.9, for guidance regarding types of curb, limitations on curb use, warrants for curb use, curb alignment and typical section details, and curb material selection and installation details. 2. Formed without curb as depicted on Standard Sheet 624-01, and illustrated in Figure 3-2 of Chapter 3. Refer to Chapter 3, Section 3.2.10 for guidance regarding gutter placement at driveways. Gutter flow should be intercepted by a grate inlet or a combination inlet, and conveyed through storm drains, or a chute to a point of discharge.

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B. Chutes Open (lined with stone filling, or paved) or closed (pipe) chutes should be provided to convey water collected in gutters down steep embankments when curbing is used to minimize embankment erosion. An appropriate pay item, selected from Section 620 - Bank and Channel Protection of the Standard Specifications, should be provided at the chute outlet to minimize or eliminate erosion. Recommended pay items for flexible lined and rigid lined open chutes are located in Section 620 Band and Channel Protection and Section 624 - Paved Gutters, respectively. Closed chutes and their appurtenant structures should be provided by including the appropriate pay items found in Section 603 - Culverts and Storm Drains, Section 604 Drainage Structures, and Section 655 Frames, Grates and Covers. Chutes should be detailed in the plans. C. Roadway Ditches Roadway ditches should be provided in cut sections to remove surface runoff from the highway cross section. Refer to Chapter 3, Section 3.2.14.1 and Chapter 10 for safety considerations regarding roadway ditches. D. Toe-of-Slope Ditches Toe-of-slope ditches should be provided where it is necessary to convey water collected in a roadway ditch, or from adjacent slopes, to a natural channel or another point of outlet. Refer to Chapter 3, Section 3.2.14.2, for recommendations regarding the ditch location within the roadside. Channels placed behind guide rail (installed for other reasons) should have side slopes of 1:2 (vertical:horizontal). E. Intercepting Ditches An intercepting ditch should be provided where it is necessary to prevent runoff from reaching the road section. These are normally locations with long, steep, backslopes. Use a semi-circular cross section and relatively steep grades to dispose of the water intercepted by these ditches as fast as possible. A trapezoidal or flat bottom shape will tend to hold water for a longer time, resulting in potential saturation of the top of the slope which could result in slope failure. A trapezoidal channel may be required if there is a large volume of water. Side slopes of 1:2 are recommended and acceptable because these ditches are not accessible to errant vehicles. The Regional Geotechnical Engineer should be consulted to verify the necessity of an intercepting channel and to determine if the channel may cause slope failure.

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F. Median Swales (Ditches) These ditches should be provided to drain portions of the roadway, and the median area of divided highways. When median swales do not drain directly to a natural channel, a grate inlet, drainage structure, and pipe, or a transverse ditch and culvert should be provided to intercept the collected water and pass it underneath the embankment for further conveyance or disposal. The grate inlet and drainage structure should be flush with the approach ditch line. Existing drainage structures located in the median should be reviewed for their impact on the roadside environment. Existing drainage structures may have surface pipes connected to them which are intended to increase the hydraulic efficiency of the inlet. If these surface pipes are existing and are not located behind guiderail installed for other reasons, they should be modified with a commercially available safety slope end section or a fabricated safety grate system to reduce the potential hazard to errant vehicles. Refer to Chapter 3, Section 3.2.8, for guidance regarding geometric criteria (median width, etc.). 8.5.1.2 Natural Channels A natural channel is a surface watercourse created by natural agents, which is characterized by the bed and banks that confine the flow of surface water. The flow in a natural channel may be periodic (e.g., ephemeral stream, intermittent stream), or continuous (e.g., a perennial stream). Work in the vicinity of natural channels should be limited, because the best way to protect a stream is to avoid disturbing it. When work in the vicinity of natural channels is unavoidable, the natural channel shall be protected from the consequences of building and maintaining the highway, and the highway shall be protected from the channel flow. It is not desirable for the embankment to encroach upon, or to cause the relocation or alteration of a natural channel. When these situations are unavoidable, temporary provisions to protect the channel from construction operations, and permanent provisions to protect the embankment from the channel, and vice versa, shall be provided. The Department's Regional Environmental unit should be contacted to determine the stream classification (A, B, C, or D), the nature of the aquatic community, and the need for permits. These issues will influence the conditions for working in the channel. Many of the legal aspects of highway drainage discussed in Section 8.2.2 will influence work in the vicinity of channels.

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8.5.2 Channel Design Criteria Adherence to the following criteria is recommended: 1. Roadside channels. a. Roadside channels should be lined to minimize or prevent erosion. Flexible linings are preferred turf, and stone filling, in order of preference. Rigid linings are acceptable when conditions warrant their use (i.e., when increased channel capacity is needed and channel geometry is fixed). The flow in roadside channels should be subcritical whenever possible to avoid the adverse characteristics of supercritical flow (erosion, etc.). An exception to this is chutes. The flow in chutes is commonly supercritical because of the normally steep channel slope. To prevent deposition of sediment, the minimum slope for turf lined roadside channels should be 0.5%. b. The spread of water in a gutter and onto the traveled way should not exceed the spread and puddle depth (if curb is used to create the gutter) criteria stated in Section 8.7.4.4.C c. On long steep embankments where curbing is warranted to minimize embankment erosion, a grate inlet, drainage structure, and closed chute is preferred to intercept and convey gutter flow down the embankment and ensure that the water will be contained within the channel. The minimum size pipe for a closed chute should be 12 inches. d. The design criteria for roadway ditches are presented in Chapter 3, Section 3.2.14.1. This includes the typical trapezoidal ditch cross section recommendations (fore slope, back slope, depth, and width), and safety considerations.

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HIGHWAY DRAINAGE

2. Natural channels. The bed and banks of relocated natural channels shall be protected from erosion by providing a lining material which is consistent with the roughness characteristics of the remaining (not relocated) channel. Permit requirements may necessitate coordinating lining specification with other agencies (Adirondack Park Agency, etc.). The geometrics and alignment of the proposed channel should be consistent with the existing channel. Provisions for fish passage shall be provided if necessary. Where permanent stream relocation is required to meet project goals, channel work should be kept to a minimum and stream conditions should be inspected early in the design process, to determine the location and frequency of existing pools, percentage of overhead cover, amount of in-stream structure (boulders, undercut banks, buried logs, etc.) and the pool:riffle ratio. The new stream channel should be designed to replicate, or improve these characteristics. To facilitate colonization of aquatic macro invertebrates, plants and algae, the original stream bed material should be collected and relocated into the new stream channel. This should not be done until immediately before flooding the new channel. The cross section of the new stream channel should slope towards the center. For a stream up to 50 feet wide, the center line elevation should be 8 inches below the edges of the bed. On curved alignments, the slope should be towards the outside of the curve and the outside bank should be appropriately stabilized to minimize erosion. New channel banks should be sloped 1:3, vert.:horiz., (unless adequate woody vegetation is already established) and stream banks should be planted with native trees and shrubs as close to the stream channel as flow and flood considerations allow. When stabilizing new stream banks, utilize, as appropriate, geotextiles and soil bioengineering measures such as willow wattles, live willow stakes and native woody plantings or other mutually reinforcing vegetative control measures in lieu of, or to supplement, stone fill or riprap. In planning any new section of stream channel over 150 feet long, in-stream fisheries habitat should be enhanced by proper placement of large boulder retards (where no danger of scour or erosion is anticipated) to create pools and increase in-stream habitat diversity. The groups of boulders should be placed at approximately 100 feet intervals or as necessary to establish a pool:riffle ratio of approximately 50:50.

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8-37

8.5.3 Hydraulics - Design and Analysis As discussed in Section 8.4.1.1, the rate of flow or discharge (Q), the depth of flow (d), and the velocity of flow (V) depend on the channel's geometry (shape and size), roughness (n), and slope (S). Roughness and velocity are of particular concern because the velocity in the channel will influence the type of lining necessary, and the type of lining will define the roughness. The design process involves establishing and analyzing a channel section geometry (shape and size), lining material and roughness, and slope which will convey the peak discharge (Q), determined in Section 8.3, at a depth which allows the water to flow within the selected geometry at a velocity which will not cause the lining to be displaced by the flow of water. 8.5.3.1 Geometry (Shape and Size) Following are considerations regarding geometry: 1. Gutters are triangular in cross section. The gutter's cross sectional dimensions will depend on the presence of parking lanes, shoulders, curb type and height, and whether or not a formed gutter (from Standard Sheet 624-01) is used. 2. Chutes should be trapezoidal (open) or circular (closed). 3. Roadway ditches should be trapezoidal or V shaped. The geometrics of the roadway channel should be determined based on the guidance in Chapter 3, Section 3.2.14.1 and Chapter 10. 4. Toe-of-Slope ditches should be trapezoidal. 5. Intercepting ditches should be semi-circular or trapezoidal. 6. Median swales and natural channels should be trapezoidal. The geometrics of a median swale will depend on the width and sideslopes (embankment slope or cut slope) adopted for the median. 8.5.3.2 Linings, Lining Preferences, and Roughness If the underlying channel material is susceptible to erosion, either a flexible or rigid lining should be provided to minimize erosion. Refer to Sections A and B for a list of the most commonly used flexible and rigid linings, and the methodologies recommended for design. Refer to Section C for a guidance regarding lining preferences, and Section D for suggested references regarding roughness.

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A. Flexible Linings Flexible linings include turf, stone filling (fine, medium, and heavy), and dry rip-rap. Specifications covering this work are located in Section 610 and 620, respectively, of the Standard Specifications. Two methods are recommended for flexible lining design and analysis: 1. The permissible velocity approach presented in HDS 3, and GDP-10 "Bank and Channel Protective Lining Design Procedures", and 2. The permissible tractive force (shear stress) approach presented in "Design of Roadside Channels With Flexible Linings" (HEC 15), HDS 4, and Chapter 8 of the Model Drainage Manual "Channels". These methods are not recommended when the discharge under consideration exceeds 50 ft3/s. "Design of Riprap Revetment", HEC-11, is recommended for discharges greater than 50 ft3/s. B. Rigid Linings Rigid linings include grouted rip-rap, gabions, asphalt concrete, and portland cement concrete. Specifications covering this work are located in Section 620 and Section 624, respectively, of the Standard Specifications. Rigid lining design and analysis are presented in HDS 3 and HDS 4. The following provisions should be incorporated into the design when paved (asphalt concrete or portland cement concrete) linings are necessary: 1. 2. 3. 4. Include cutoff walls at the terminal ends to minimize undermining. Specify an apron of stone filling at the end of the paved channel to minimize erosion. Depress the channel so that the lining is below the surrounding ground surface. Specify underdrains where ground water flow is a problem. Underdrains are described in Chapter 9, Section 9.3.8 and the Comprehensive Pavement Design Manual. 5. Detail superelevation or additional outer wall height at bends and junctions. 6. Specify a 1.5 ft wide strip of sod on each side adjacent to the paved lining.

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C. Lining Preferences Flexible linings turf and stone filling, are preferred over paved linings for the following reasons: 1. Maintenance historically, paved channels have presented a maintenance problem. Paved linings: a. Accelerate the velocity and flow rate of water which may cause unacceptable erosion and undermining of the down stream channel section, b. Are susceptible to frost damage as well as slope and bank settlement because of their inherent rigid nature. 2. Cost paved linings are more expensive. 3. Aesthetics turf and stone filling are more aesthetically pleasing because they blend into the roadside environment more readily than paved linings. The following lining recommendations, in order of preference, are made based on the statements above. 1. Chutes. Open chutes should be lined with stone filling, asphalt concrete, or portland cement concrete. Turf is not acceptable because it will erode away. The outlet area of a closed chute should be provided with an apron of stone filling to prevent erosion. 2. Roadway and Toe-of-Slope ditches. These ditches should be lined with turf, stone filling, asphalt concrete, or portland cement concrete. 3. Intercepting ditches. These ditches should be lined with asphalt concrete because it is desirable to remove water from the top of slope without infiltration to minimize the potential for slope failure. Lining selection should be verified by the Regional Geotechnical Engineer. 4. Median Swales. Median swales proposed for divided highways should be lined with turf or stone filling. D. Roughness Each lining has a roughness associated with it which is represented by the Manning roughness coefficient "n". Refer to HDS 4, or "Channels" (Chapter 8 of the "Model Drainage Manual") for recommended values of "n" for natural and roadside channels. "Estimates of Roughness Coefficients for Selected Natural Stream Channels With Vegetated Banks in New York", Appendix 1, USGS Open File Report 93-161 is also available as a source of guidance to estimate Manning's roughness coefficient.

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8.5.3.3 Slope The channel's slope will be dictated by adjacent terrain and right of way constraints. As a result, the slope of roadside and natural channels will normally be as discussed in items 1 through 7. 1. Gutters. Slope will be the same as the vertical alignment of the traveled way. 2. Chutes. Slope should parallel the embankment. 3. Roadway ditches should parallel the traveled way. The slope may be greater than the grade of the traveled way to outlet the roadway ditch to a natural channel or another channel (culvert, etc.). 4. Toe-of-Slope ditches should parallel the toe-of-slope. The slope may increase in the vicinity of the outlet to a natural channel or another channel (culvert, etc.). 5. Intercepting ditches should parallel the top of the cut slope. 6. Median swales should parallel the traveled way. The slope may be greater than the grade of the traveled way to increase channel capacity or to outlet the swale to a natural channel or another channel (culvert, etc.). 7. Relocated natural channels should maintain the existing channel slope. Abrupt changes in slope will result in the deposition of transported material (when the proposed slope is flattened from a steep approach slope) or scouring (when the proposed slope is greater than the approach slope). 8.5.4 Maintenance The following two maintenance activities should be considered during a field trip for inclusion as part of the project. 1. Cleaning and reshaping turf lined channels. (Refer to Section 203 of the Standard Specifications for a pay item covering this work.) 2. Repairing or replacing failed or inadequate linings.

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8-41

8.6 CULVERTS A culvert is usually a closed conduit (e.g., a pipe), but may be an open conduit (e.g., an arch), installed to convey runoff collected in roadside channels, and natural channels such as streams, underneath an embankment. Generally, a culvert is open at both ends and is not connected to a drainage structure. Sometimes, a culvert is connected to a drainage structure located in the median, or in a ditch. Work in natural channels should be performed consistent with water quality standards. Best management practices to control erosion, sedimentation, and water disturbances shall be provided consistent with Section 8.8.2, and recommendations from the Regional Environmental Contact. Any single structure with a span greater than 20 ft. is a bridge. These structures require a different procedure for hydraulic analysis, and should be coordinated through the Regional Structures Group. Culverts are discussed at greater length in "Hydraulic Design of Highway Culverts" (Chapter 4 of the "Highway Drainage Guidelines"), "Culverts" (Chapter 9 of the "Model Drainage Manual"), and "Hydraulic Design Series" (HDS) No. 5, "Hydraulic Design of Highway Culverts". Refer to Chapter 19 of this manual for guidance regarding reinforced concrete box culverts and similar structures. 8.6.1 Hydraulic Design Criteria 8.6.1.1 Allowable Headwater Existing field conditions and channel geometry will determine the allowable headwater defined as the maximum depth of water which can be tolerated at the inlet. The need to control upstream flooding may be a significant factor in establishing the allowable headwater. If the upstream terrain is very flat, a small change in headwater will have an impact for a long distance, or the volume of water required to produce a given headwater may not exist. If the approach channel is deep, a larger headwater depth may be tolerated. Field conditions may dictate a depth of headwater which is too low to allow an economical design for the culvert crossing. When this occurs, consider the use of artificial conditions which will allow a greater depth of headwater to develop. These artificial means are berms or dikes at the inlet ends of culverts or a depressed profile for the culvert (an improved inlet). Artificial means of forcing a headwater depth should not cause any appreciable increase of existing flooding conditions upstream or downstream of the culvert.

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The most controlling of the following criteria should determine the allowable headwater: 1. Water should be kept 2 ft. below the outside edge of the lowest shoulder. 2. Water should be allowed to pass through the culvert without causing damage to upland property or increase the water surface elevation upstream of the culvert above that allowed by floodplain regulations, generally 1.0 ft. 3. The ratio of the headwater to pipe height, or diameter, (Hw/D) should be limited as follows: Diameter or Rise 5 ft $ 5 ft Maximum Hw/D Ratio 1.5 1.0

Pipes smaller than 5 ft with a Hw/D ratio greater than 1.0 should be discussed in the drainage report with regard to flooding conditions, velocities, scouring, economy, future maintenance (e.g., installing a smaller pipe within the original pipe or structure), etc. If damage to the culvert is possible, or if adverse flooding conditions will be caused upstream (from the accumulation of ice and debris at the culvert's inlet), the Hw/D ratio shall be reduced. The Hw/D ratio shall also be reduced to allow an increase in the design flow capacity, and freeboard (if needed) at the entrance of the structure, to eliminate flood damage or to reduce it within acceptable limits. 8.6.1.2 Minimum Pipe Size The minimum size round pipe recommended for all highway functional classifications, including ramps is 24 in. Smaller diameter pipes (18 in. and 15 in.) are acceptable when shallow depths and utility conflicts prohibit using a 24 in. pipe. The minimum size round pipe recommended for driveways and field entrances is 12 in. 8.6.1.3 Multiple Barrels Multiple barrels (more than one pipe) should be considered when the allowable headwater criteria cannot be met with a single barrel installation and an improved inlet design. These locations will normally occur at sites with low fills or wide channels. Multiple barrels are not a desirable alternative to convey perennial streams because of the potential for clogging. Cleaning operations are labor intensive and disrupt the stream's ecosystem.

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8.6.2 Pipe Design Criteria Acceptable culvert materials are steel (see note below), reinforced concrete, aluminum, and polyethylene. The design criteria for these materials consist of design life, anticipated service life, structural criteria, and economics. Note: Steel shall not be specified for culverts installed to act as equalizer channels or at other locations such as canals where the water level is expected to remain relatively constant. The near constant water levels result in localized metal loss rates in excess of those anticipated (refer to Section 8.6.2.2), and these water levels usually are at a location on the sidewalls where the stress levels are higher than at the invert. The material specified shall be the most economical which satisfies all the pipe criteria (design life, anticipated service life, and structural criteria) in addition to meeting the hydraulic criteria (allowable headwater, etc.). Refer to section 8.6.2.4 for further discussion regarding selection of the final culvert material. 8.6.2.1 Design Life Design life is defined as the number of years of in-service performance which the pipe is desired to provide. Design life is assigned by location, taking into consideration the following factors: 1. Initial cost of the pipe material, installation, backfill, etc. 2. Cost to rehabilitate, or replace. 3. Disruption to traffic during rehabilitation or replacement once an installation reaches the end of its design life.

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The design lives, by location, shall be as shown in Table 8-5: Table 8-5 Design Lives LOCATION Driveways Significant Locations1 Other Locations DESIGN LIFE (Years) 20 70 50

1. Significant locations are defined as follows: a. Highways functionally classified as Interstates and Other Freeways. (Refer to Section 2.4.1 of Chapter 2 for these definitions.) b. Natural watercourses, or channels, such as perennial streams. c. Under high fills 15 ft. or greater. d. Locations with high traffic volumes. e. Locations where long off-site detours would be required if the culvert failed consider taking into account user costs. 8.6.2.2 Anticipated Service Life Anticipated service life is defined as the number of years it is anticipated that the culvert pipe material will perform as originally designed or intended. For steel, it is defined as the time when the culvert invert or flow line would be completely removed if the design metal loss (2 or 4 mils/yr) occurred uniformly throughout the length of the culvert. The anticipated service life for concrete and polyethylene is 70 years. Aluminum is anticipated to last for 70 years under normal conditions. When high velocities, potentially abrasive bed loads from adjacent channel sections, or high concentrations of industrial waste are present or suspected, 70 years should not be anticipated for aluminum.

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The anticipated service life for metallic coated (galvanized) steel pipe is based on metal loss rates established through research conducted by the Department. For the purpose of establishing the anticipated service life, the galvanized coating is not considered an additional coating and is termed "without additional coating". (Refer to Metal-Loss Rates Of Uncoated Steel and Aluminum Culverts In New York, Research Report 115 for a complete explanation of the methodology used.) Metal loss rates have been defined for two geographical locations, Zone I and Zone II, as shown in Table 8-6. Table 8-6 Metal Loss Rates for Steel By Geographic Location Zone I (2 mils/yr) Region 1 Region 2 Region 3 Region 4 Region 5 Region 7 except except except except Zone II (4 mils/yr) Albany, Greene, Schenectady Co. Montgomery Co. Cortland, Tompkins Co. Cattaraugus Co. Region 6 Region 8 Region 9 Region 10 Region 11 and

Table 8-7 provides the anticipated service life for various gauge steel in Zone I and Zone II (with and without an additional coating). Additional anticipated service life is assigned to steel pipe by providing a metallic coating other than galvanizing (i.e., by specifying aluminum coated (Type 2) pipe), or by providing a coating in addition to the metallic (galvanized) coating. (This additional life is also based on research performed by the Department.) Not all coating options are available for each type of steel pipe. (Refer to Table 8-8 for a list of additional coatings available for use with the various types of pipe.) When a metallic coating, or an additional coating option is not available, use increased gauge, or select a material other than steel, to achieve the anticipated service life required to satisfy the design life criteria. Additional coating alone shall not be used to extend the anticipated service life of galvanized steel pipe or structural steel plate pipe installed to pass natural watercourses (streams, creeks, rivers, etc.) when the water surface is above the area protected by the additional coating. The appropriate gauge galvanized steel pipe shall be specified in these locations to meet the design life criteria.

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Table 8-7 Anticipated Service Life, in years, for Steel (with and without additional coating)
Gauge Metallic Coated (Galvanized) Metallic Coated Metallic Coated (Aluminum Coated - (Galvanized) w/ 4 Type 2) 3 Polymer Coating & Metallic Coated (Galvanized) w/ Paved Invert or Fully Paved 3 707-02 Zone I Zone II 707-02 Zone I Zone II Metallic Coated (Galvanized) w/ Polymer Coating and Paved Invert5 Metallic Coated (Galvanized) 6 w/Paved Invert (Structural Steel Plate)

1,2

707-02/707-09 Zone I Zone II

707-02 Zone I Zone II

707-09 Zone I Zone II

18 16 14 12 10 8 7 5 3 1

26 32 40 54 69 84 94 109 124 140

13 16 20 27 34 42 47 54 62 70

51 57 65 79 94 109

38 41 45 52 59 67

51 57 65 79

38 41 45 52

66 72 80 94

53 56 60 67

Gauge not manufactured

89 104 119

62 69 77 82 89 97 105

129 Coating option Gauge not manufactured with not specified for this coating 144 these gauges 159 175

1. For culverts whose diameter, or equivalent diameter, is 10 ft or greater: a. in Zone I - specify a paved invert for 12 gauge culverts, or specify a 10 gauge culvert. b. in Zone II - specify a paved invert for all culvert regardless of gauge. 2. Use caution in designing culverts on grades steeper than 6% carrying potentially abrasive bed loads. Do not rely on polymer coating alone to increase the service life in abrasive conditions. Use fully paved pipe or paved invert. In very severe conditions, consider use of concrete or polyethylene. Aluminum is not recommended due to the potentially abrasive bed load. 3. The Aluminum Coated - Type 2 metallic coating is expected to have the same anticipated service life as metallic coated (galvanized) pipe with a paved invert or fully paved. Additional coating (i.e., paved invert or fully paved) adds 25 years to the anticipated service life of metallic coated (galvanized) steel pipe. 4. Additional coating (i.e., polymer coating) adds 25 years to the anticipated service life of galvanized steel pipe. 5. Additional coating adds 40 years to the anticipated service life of galvanized steel pipe. 6. Additional coating adds 35 years to the anticipated service life of galvanized steel pipe.

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Table 8-8 Additional Coating Options Additional Coating Paved Invert (Bituminous) Fully Paved (Bituminous) Polymer Polymer & (Bituminous) Paved Corrugated Steel ( 707-02) Type I and II only Type I and II only Type I and II only Invert Type I and II only Corrugated Structural Steel Plate ( 707-09) Not available Not available Not available Not available Available

Paved Invert Cement Concrete)

(Portland Not available

8.6.2.3 Structural Criteria Factors which affect the structural performance of a pipe include: 1. Maximum and minimum height of cover (Refer to Section 8.6.2.3.A) - all pipe materials. 2. Bedding conditions and installation methods (Refer to Section 8.6.2.3.B) - concrete and metal. 3. The end treatment for the pipe (square, miter, skew) as this will affect the structural strength of the pipe's end - all pipe materials. (Not to be confused with an end section, which attaches to the pipe's end.) (Refer to Section 8.6.2.3.C)

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A. Height of Fill Tables The height of fill tables provided in Appendix A shall be used to obtain the thinnest gauge steel or aluminum, or lowest class concrete pipe which meets the height of fill requirements of the site. Tables for the following pipe materials are provided: Material Corrugated Steel Pipe (707-02 Type I) Corrugated Steel Pipe Arch (707-02 Type II) Corrugated Steel Pipe (707-02 Type IR) Corrugated Steel Pipe (707-02 Type IIR) Corrugated Structural Steel Plate Pipe (707-09) Corrugated Structural Steel Plate Pipe Arch (707-09) Table Table 8-22 Table 8-23 Table 8-24 Table 8-25 Table 8-26 Table 8-27 Page 8A-1 8A-2 8A-3 8A-4 8A-5 8A-7 8A-9 8A-10 8A-11 8A-12 8A-13 8A-14 8A-16 8A-18 8A-19

Corrugated Aluminum Pipe (707-13 Type I) Table 8-28 Corrugated Aluminum Pipe Arch (707-13 Type II) Table 8-29 Corrugated Aluminum Pipe (707-13 Type IR) Table 8-30 Corrugated Aluminum Pipe (707-13 Type IIR) Table 8-31 Corrugated Aluminum Structural Plate Pipe (707-14 ) Table 8-32 Corrugated Aluminum Structural Plate Pipe Arch (707-14)Table 8-33 Reinforced Concrete Pipe (706-02) Reinforced Concrete Elliptical Pipe (706-03) Smooth Interior Corrugated Polyethylene Pipe (706-12) Table 8-34 Table 8-35 Table 8-36

The same type (corrugation, gauge, or class) of material shall be used throughout the length of the culvert for ease of installation and consistency in design. The maximum height of fill over the top of circular and elliptical reinforced concrete pipe is dependent on bedding details and installation methods shown on Standard Sheet 203-04. As a result, designers have to anticipate, or specify on the plans as appropriate, the bedding detail and installation method for each pipe selected.

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8-49

B. Bedding Conditions and Installation Methods Bedding conditions and installations methods except pipe jacking for concrete and metal (steel and aluminum) pipe are detailed on Standard Sheets 203-04 and 203-05. Standard Sheet 203-05 is also applicable for smooth interior corrugated polyethylene pipe. The standard sheet(s) need to be considered to: 1. Specify and estimate pay items not included for payment under the pipe item. 2. Determine the relationship to the height of fill. (This is only necessary for concrete pipe.) 3. Determine the need to provide additional details or notes in the plans which are not covered in the standard sheet. Manufacturers of reinforced concrete pipe suitable for jacking do not produce this type of pipe in a size less than 42 inches in diameter. Steel pipe is available for jacking applications where a diameter less than 42 inches is needed. Contact the Regional Geotechnical Engineer as soon as possible in the design process to request soil boring in the area of the proposed pipe jacking. These borings will be used to determine a suitable method of jacking, pipe wall thickness, and other technical issues. C. End Treatment Ring compression, buoyancy, and scour should be considered when specifying an end treatment. (Not to be confused with an end section, which attaches to the pipe's end.) 1. Ring compression. The embankment transfers live and dead loads which result in ring compression on the pipe. Square ends are strongest and should generally be used to resist these forces. a. Metal pipes and mitered ends - A miter is a flush-entrance culvert where the barrel is mitered to the slope of the embankment. Miter normal to culvert axis only, when this type of treatment is desired. Do not specify combination skew and miter, and do not extend miter below 75% of nominal pipe diameter or rise dimension for pipe-arches. The flattest miter shall be one vertical on three horizontal. Warp flatter embankment slopes to meet miter or use other end treatment. b. All materials - The skew angle between the perpendicular to the highway centerline and the structure axis should generally not exceed 20E. An anchor bolt system embedded in concrete cutoff walls, collars, slope paving, etc. should be provided when the skew exceeds 20E. Skewed culverts should be checked for unbalanced loading from the embankment.

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8-50

HIGHWAY DRAINAGE

2. Buoyancy and scour. The effects of buoyancy at the inlet and outlet should be considered. The hazard is greatest for flexible pipes (steel, aluminum, polyethylene), increasing rapidly with diameter; however, concrete structures are not totally immune. Concrete pipe has been known to lose downstream sections, either from scouring and/or buoyancy effects. Concrete box structures have also moved because of buoyant effects. The hazard of buoyancy is increased when flat slopes for highway embankments exist. To cope with these uplift forces, concrete cutoff walls, full headwalls or headwalls with flared wingwalls, may be required. Flexible pipes should be anchored to these concrete end walls to insure their stability, as well as protect against scour. Refer to Figure 8-4 for typical anchor bolt details. The straight anchor bolt is considered the industry standard, and does not have to be detailed in the plans. When needed, hook bolts shall be detailed on the plans. (Hook bolts were developed for use in masonry walls.) The materials requirements for both types of bolts are covered Section 707-20 of the Standard Specifications. It is recommended that all sites where the proposed culvert is 30 inches in diameter or larger (35 inch span x 24 inch rise pipe arches) and incorporates end sections be evaluated by the Regional Geotechnical Engineer for the need to include a concrete cut-off wall at each end. Cut-off walls can be used on smaller culverts if channel velocities, soil conditions, steep grades or other such conditions warrant. If a cut-off wall is not used, the criterion below for using a toe-plate extension shall be used. Usage of cut-off walls shall not preclude the inclusion of proper channel protection and/or dissipation devices as discussed in Section 8.6.4.3. The designer should indicate in the drainage table (or similar table, e.g. table of culvert installations) where cut-off walls shall be included. The designer shall include in the estimate the appropriate item numbers and quantities of Class A, Concrete for Structures, and Trench and Culvert Excavation required to construct the prescribed cut-off walls. As stated in Standard Specification Section 603-5.01 General, the cost of anchor bolts for cut-off walls is included in the cost bid for End Sections and need not be estimated separately. Refer to Standard Sheets 603-01, 603-03 and 603-05 for end section and cut-off wall details.

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HIGHWAY DRAINAGE

8-51

Toe plate extensions (for the outlet) shall be specified in the drainage structure table when the downstream channel is at a grade of 5% or greater. Regardless of the design, adequate precautions must be observed to ensure the safety of the traveling public by providing for a barrier system or placing the end treatment at an appropriate location within the roadside as discussed in Section 8.6.6.

Figure 8-4 Typical Anchor Bolt Details

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HIGHWAY DRAINAGE

8.6.2.4 Engineering and Economic Analysis Materials shall be specified which satisfy engineering requirements at the lowest overall cost. This cost should include all expenses necessary to install and maintain the pipe throughout the life of the highway. The installation cost includes not only the pipe itself but the pipe excavation, backfill, labor, and any other special features. Generally, the design with the least installation cost is the first choice. Occasionally, however, there may be other quantifiable lifetime factors which negate the initial savings. These can include maintenance costs which occur on a regular predictable basis or specific material features which offer additional resistance to corrosion, silting, sliding or rupture. A discussion on cost analysis and justification of the final design should be included in the Drainage Report. Note: In the absence of firm cost data and without an engineering reason dictating the choice of one pipe material, an optional specification should be used. Special specifications are available to specify alternate culvert materials for side drains (driveways and ditch crossings) and cross drains (culverts under gravel or dirt roads) not installed under high type pavement (603.85xxxx15, 603.86xxxx15, 603.87xxxx15). Under the optional items, the designer selects the size and shape of the pipe and the contractor picks the material based on the specification. Therefore, pipes should be sized based on the hydraulically least efficient material. 8.6.3 Culvert Design - Overview Culvert design should proceed in accordance with the following sequence of steps: 1. An initial pipe material, shape, and size should be selected which are consistent with the criteria stated in Sections 8.6.1 and 8.6.2. 2. The headwater depth should be calculated based on inlet, and outlet control the greater of the two values is the controlling headwater. (Section 8.6.3.1 discusses the factors which influence inlet and outlet control.) The controlling headwater elevation should be compared with the allowable headwater criteria stated in Section 8.6.1.1. If the controlling headwater is greater than the allowable headwater, a larger size pipe or a different culvert configuration shall be designed and analyzed. 3. The outlet velocity should be calculated to determine the need for scour protection, channel protection, or an energy dissipator.

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8-53

8.6.3.1 Inlet Control and Outlet Control Calculating headwater depth based on inlet control and outlet control may be done manually or using computer software. The manual design method is presented in Chapter III of HDS 5. It is based on the use of design charts and nomographs located in Appendix D of HDS 5, should be used for the shape under consideration. The HY-8 computer software is also acceptable for design. Table 8-9 lists the factors which influence a culvert's hydraulic performance under inlet and outlet control. Table 8-9 Factors Influencing Culvert Performance in Inlet and Outlet Control Factor Headwater Elevation Inlet Area Inlet Edge Configuration Inlet Shape Barrel Roughness Barrel Area Barrel Shape Barrel Length Barrel Slope Tailwater Elevation Inlet Control X X X X Outlet Control X X X X X X X X X X

A.

Inlet Control A culvert operates in inlet control when the barrel (pipe) will convey more flow than the inlet will accept. The flow is supercritical (shallow and high velocity), and the flow control is at the upstream end of the culvert. As a result, the headwater and the inlet configuration (inlet area, edge configuration, and shape) influence the culvert's performance. 1. Headwater Elevation. The headwater elevation is the water surface elevation of the headwater. Headwater, or headwater depth, is the depth of the water surface measured from the inlet invert. The headwater depth shall not exceed the allowable headwater criteria stated in Section 8.6.1.1.

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HIGHWAY DRAINAGE
2.Inlet Area. The inlet area is the cross-sectional area of the face of the culvert, and is the same as the barrel (pipe) area, unless a tapered inlet is specified. A tapered inlet is a flared culvert inlet with an enlarged face section and a hydraulically efficient throat section. 3. Inlet Edge Configuration (End Treatment). Improvements to the inlet edge configuration should be considered (headwalls with bevels, end sections, and mitered ends). Improved inlets reduce the energy losses at the inlet, thereby decreasing the headwater depth required to convey the flow and reducing the pipe size. Entrance loss coefficients (ke) vary from 0.2 to 0.9, depending upon the type of structure and the configuration of the entrance; e.g., 0.2 applies to a concrete pipe with the socket end projecting from the fill, and beveled headwalls. 0.5 applies to most end sections, and 0.9 applies to a corrugated metal pipe or pipe arch projecting from the fill with no headwall or end section and pipes mitered to fills. Table 12 of HDS 5 lists ke for the various types of entrances. For culverts in inlet control, a more efficient inlet edge configureation may allow for a more economical pipe to be chosen. The type of inlet has some influence on capacity in outlet control, but generally, the edge geometry can be ignored when the culvert is operating in outlet control. The following recommendations are made regarding the design of entrances: a. Bevels. Bevels are a simple and economical method to improve the efficiency of culvert inlet flows. Beveled edges reduce the contraction of the flow by effectively enlarging the face of the culvert. Beveled edges should be used when concrete headwalls or concrete box culverts are required. Refer to HDS-5 Figure III-3 for bevel edge details. These details shall be included in the contract plans whenever headwalls or concrete box culverts are specified. b. Headwalls. Headwalls may be used to improve the hydraulic efficiency of culverts and should also be used to prevent erosion of the embankment or to protect the end of the pipe from scour, if necessary. c. End sections. End sections should be provided with culverts that do not utilize headwalls. The 1. Concrete end sections may be used when needed to retain the embankment. 2. A galvanized steel or aluminum end section, one standard pipe diameter larger than the pipe, should be specified for polyethylene pipe. 3. The cost of specifying an end section should be considered for metal pipes over 54 in. in diameter, and for concrete pipes over 48 in. in diameter. Generally, a mitered inlet is preferred to improve the hydraulic efficiency of corrugated metal pipes in excess of 54 in.

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d. Mitered. Mitered edges are only recommended for metal pipe over 54 in. in diameter. The structural integrity of the pipe's end should be considered when detailing a mitered edge. Refer to Section 8.6.2.3.C. Tapered inlets (side and slope tapers) are a less common type of culvert improvement, and are discussed in Chapter IV of HDS 5. 4. Inlet Shape. Recommended shapes include circular (all materials), pipe arch (steel and aluminum), elliptical horizontal and vertical (reinforced concrete), and rectangular (reinforced precast and cast-in-place concrete). The preferred shape is circular due to the numerous materials options available to meet the various height of cover requirements. Other shapes should be considered when site conditions limit height of cover or allowable headwater criteria cannot be achieved. Refer to Chapter 19 "Reinforced Concrete Box Culverts and Similar Structures" for guidance regarding the design of these structures. Figure 8-5 illustrates several different examples of inlet control. The type of flow depends on the submergence of the inlet and outlet ends of the culvert. These flow types have been standardized by the USGS, and are included in the HY8 output. (Refer to HDS-5 for an explanation of the various flow types.) Depending on the tailwater, a hydraulic jump may occur downstream of the inlet. Figure 8-5a illustrates a condition where neither the inlet nor the outlet end of the culvert are submerged. The flow passes through critical depth just downstream of the culvert entrance. The barrel flows partly full over its length, and the flow approaches normal depth at the outlet. Figure 8-5b illustrates that submergence of the outlet end of the culvert does not assure outlet control. The flow just downstream of the inlet is supercritical and a hydraulic jump forms in the culvert barrel. Figure 8-5c is a more typical situation. The inlet end is submerged and the outlet end flows freely. Critical depth is located just downstream of the entrance and the flow is approaching normal depth at the downstream end of the culvert. Figure 8-5d is an unusual condition which shows that submergence of the inlet and outlet does not assure full flow. In this case, a hydraulic jump will form in the barrel. The median inlet provides ventilation of the culvert barrel. If the culvert were not ventilated, subatmospheric pressures could develop which might create an unstable condition during which the barrel would alternate between full flow and partly full flow.

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HIGHWAY DRAINAGE

Figure 8-5 Flow profiles for Culverts in Inlet Control Figure 8-5a HY-8 flow type 1-S2n.

Figure 8-5b HY-8 flow type 1-S1f.

Figure 8-5c HY-8 flow type 5-S2n.

Figure 8-5d HY-8 flow type 5-S1f.

Note: HW = headwater depth

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B. Outlet Control Flow in a culvert operating in outlet control is subcritical (relatively deep and of lower velocity) and is controlled by the downstream end of the culvert. The inlet will accept more flow than the barrel will convey. In addition to all of the factors which influence inlet control, outlet control is affected by the hydraulic roughness, area, shape, length, and slope of the barrel and the water surface elevation at the outlet (tailwater). 1. Hydraulic roughness. Pipes have an associated roughness which is represented by the Mannings n value. The Mannings n values provided below should be used. Pipe Material Mannings n Value

Reinforced Concrete Pipe (all shapes) 0.013 Smooth Interior Corrugated Polyethylene Pipe 0.013 Corrugated Steel, and Aluminum Pipe (Type IR, IIR) 0.013 Corrugated Steel, and Aluminum Pipe (Type I, II) 2 2/3 x 1/2 - See Note 0.024 Corrugated Steel, and Aluminum Pipe (Type I, II) 3 x 1 or 5 x 1 0.026 Corrugated Structural Steel, and Aluminum Plate Pipe and Pipe Arch 0.032 Note: The following n values should be used for 2 2/3 x 1/2 corrugated metal culverts operating under outlet control, and in the design of storm drainage systems. 12 in 15 in 18 in 21 in 24 in 0.012 0.014 0.015 0.017 0.018

Additional coatings for steel pipe (paved inverts, and fully paved pipe) shall not be specified to lower the hydraulic roughness. Department research has determined that these coatings do not last for the entire design life of the pipe. When pipes with a paved invert are specified, the design of the protective lining for the downstream channel should be based on the higher initial velocity that will exist while the paving is still intact. Use a Mannings n of 0.019 for all pipe specified with a paved invert regardless of corrugation configuration. For pipe specified as fully paved, design the channel protective lining using an n of 0.013. 2. Area and shape. The charts and nomographs in HDS 5, and the HY-8 software, incorporate area and shape into the hydraulic analysis.

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3. Length. Sometimes a pipe will build up a headwater depth higher than the allowable headwater due to the hydraulic roughness and the length of pipe. To reduce the headwater in this situation, use a pipe with a smoother interior, a larger pipe or multiple pipes. A smoother pipe is preferred, unless outlet velocities are a concern. The use of twin structures (multiple barrels) is discouraged unless site conditions are such that debris is not a problem. 4. Slope. The slope (grade) of a culvert should be made compatible with the grade of the upstream and downstream channel to aid in reducing the amount of deposition at the structure's inlet and scour at the outlet. When a culvert is placed on an extremely flat grade, below a channel with a steep grade, an increased potential for deposition at the culvert's inlet or inside the culvert will occur. The exact location of the deposition of material will depend on the location of the vertical grade break in relation to the culvert's inlet. If a steep approach grade is carried continuously through the structure with a break to a flat grade at the outlet channel, then deposition will occur at the culvert's outlet. If the tailwater depth is deep enough, the deposition will encroach back into the culvert, thereby reducing the culvert's efficiency. If there is a grade break from a flat grade through a culvert, to a steep grade at the outlet, a scour problem will occur. If the grade break is severe, scour will occur to the extent that the end of the culvert will be undermined with a possible loss of the culvert and a portion of the highway embankment. If the culvert's vertical alignment cannot be established to conform to the inlet and outlet channels, then the culvert's end, and the channel, shall be protected from scour and erosion (e.g., by providing a headwall and stone filling). 5. Tailwater. Tailwater is the depth of the downstream water surface measured from the outlet invert. The tailwater depth may affect the headwater depth at the inlet of the structure. Tailwater controls may exist due to drainage structures downstream of a proposed structure. Information should be obtained so an analysis can be performed on the existing downstream structure to determine what effect it has on the proposed culvert. If an effect does exist on the tailwater of the proposed structure, it is sometimes desirable and more economical to replace the existing downstream structure at the same time the proposed structure is built. The maximum and minimum elevations of the tailwater should be recorded during a field review. Site conditions such as tidal effects from oceans, water surface variations in lakes controlled by power or recreation authorities, barge canals, flood stages in large streams and rivers, etc., may give a variable effect on the tailwater, other than that computed from Manning's equation. These restrictions on the tailwater may force the culvert to act in inlet control when the tailwater surface is at a low elevation or to act in outlet control when the tailwater is at its maximum elevation. The culvert should be designed for the condition which yields the largest culvert size. The effect

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of the variable tailwater may be eliminated by placing the outlet of the culvert above the maximum high water elevation of the control feature. Figure 8-6 illustrates several different examples of outlet control. Figure 8-6a represents a full flow condition with both the inlet and outlet submerged. The barrel is in pressure flow throughout its length. This condition is often assumed in calculations, but seldom actually exists. Figure 8-6b depicts the outlet submerged with the inlet unsubmerged. For this case, the headwater is shallow so that the inlet crown is exposed as the flow contracts into the culvert. Figure 8-6c shows the entrance submerged to such a degree that the culvert flows full throughout its entire length while the exit is unsubmerged. This is a rare condition. It requires an extremely high headwater to maintain full barrel flow with no tailwater. Figure 8-6d is more typical. The culvert entrance is submerged by the headwater and the outlet end flows freely with a low tailwater. The barrel flows partly full over at least part of its length (subcritical flow) and the flow passes through critical depth just upstream of the outlet. Figure 8-6e is also typical, with neither the inlet nor the outlet end of the culvert submerged. The barrel flows partly full over its entire length. 8.6.3.2 Outlet Velocity The outlet velocity (Vo) is usually higher than the velocity in the channel leading up to the culvert. Vo shall be calculated to determine the need for additional channel protection in the vicinity of the culvert's outlet or for culvert redesign. Refer to Section 8.6.4.3 for a discussion of the use of energy dissipators. The outlet velocity should be calculated as follows using the formula Vo = Q/A: 1. If the controlling headwater is based on inlet control, determine the normal depth and velocity in the culvert barrel. The velocity at normal depth is assumed to be the outlet velocity. 2. If the controlling headwater is based on outlet control, determine the area of flow at the outlet based on the barrel geometry and one of the following: a. critical depth, if the tailwater is below critical depth, b. the tailwater depth, if the tailwater is between critical depth and the top of the barrel, or c. the height of the barrel if the tailwater is above the top of the barrel

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Figure 8-6 Flow profiles for Culverts in Outlet Control Figure 8-6a HY-8 flow type 4-FFt, 6-FFn.

Figure 8-6b HY-8 flow type 3-M1f.

Figure 8-6c HY-8 flow type 6-FFt, 6-FFc.

Figure 8-6d HY-8 flow type 7-M1t, 7-M2t, 7-M2c.

Figure 8-6e HYDRAIN (HY8) flow type 2-M2c, 3-M1t, 3-M2t.

Note: HW = headwater depth, H = headloss

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8.6.3.2

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8.6.4 Site Considerations

8-61

Conditions may exist which are unique to a site and warrant the consideration of measures designed to address the situation. Such conditions include not only general environmental considerations, but special conditions as fish passage, the need for an energy dissipator, and debris control. 8.6.4.1 General Environmental Considerations The construction of highway drainage facilities can have both short and long term negative impacts on aquatic life. Where fish resources are concerned, the necessity to protect the aquatic ecosystem will influence many decisions regarding whether to install a bridge, open or closed culvert, as well as low flow channel design, velocity control, pool:riffle ratios, shading, stabilization techniques, methods and timing of construction and temporary and permanent fish and wildlife passage. Removal of stream side vegetation can reduce or eliminate shading, causing water temperatures to increase by up to 10E F and thus negatively affecting habitat for coldwater fish species, such as trout. Removal of vegetation can also destabilize stream banks, resulting in erosion, habitat loss, increased aquatic pollution and impaired ecosystem function. The protection of fish and wildlife resources should be considered from the earliest stages of project development, and coordinated with the erosion and sediment control plan. The physical, hydrological and ecological characteristics of the stream or water body should be investigated. Coordinate with the Regional Environmental Unit and appropriate environmental permitting agencies to determine how to avoid or minimize disturbance to the maximum extent practicable and incorporate best management practices to improve habitat, as appropriate. Whenever practicable, locate highway alternatives in areas causing the fewest unavoidable impacts to fish and wildlife resources. Select locations that cross streams at right angles and avoid crossing at bends and through pools. Minimize removal of riparian trees and maintain vegetated filter strips along water bodies to provide natural bank stabilization, erosion control, shading, water quality and wildlife travel corridors. Use temporary and permanent erosion control measures to minimize transport of sediment into water bodies and use turbidity curtains, cofferdams and dewatering basins when work is required in a water body. Establish the construction schedule considering the spawning times of resident and migratory fish and wildlife and seasonal low water flow periods. Where highway projects segment or isolate critical reptile or amphibian habitat or breeding areas, special consideration should be given to allow adequate passage (several of these species are listed as protected, threatened or endangered). Culverts constructed "in the dry" or with an elevated dry shelf, may be used to allow herptiles to pass from one side of the road to the other without crossing the pavement. Low fencing (drift fencing) should be used with the culverts to direct wildlife to the culvert openings. Case-by-case requirements should be discussed with the Regional Environmental Unit and appropriate environmental permitting agencies.

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8.6.4

8-62 8.6.4.2 Fish Passage

HIGHWAY DRAINAGE

Culverts installed to convey natural channels should be aligned to minimize the effect on fishsupporting streams with resident or migratory fish populations. Sufficient water depth and suitable water velocity for fish passage should be provided during periods of low flow. The exact requirements should be discussed with the Regional Environmental Unit. When designing for fish passage, consider the flow regimes at the time of year when peak resident or migratory fish movement usually occurs (usually spring and/or fall). Simulating natural stream bottom conditions in a culvert is the most desirable design option to accommodate fish and wildlife passage. To achieve this goal and accommodate fish passage during low flow periods, various options are available as follows: 1. In locations where adequate foundation support exists, an arch shaped culvert may be used. The natural stream bed will remain in place. 2. A precast or cast in place reinforced concrete box culvert with a broad shaped "V" or dish shaped floor may be used. The center line floor elevation should be 8 in below the outer floor elevation. 3. In locations with poor foundation material, oversized depressed culverts can be installed and the natural stream bed material placed inside. To accommodate fish passage during high flow periods, avoid concentrating flows such that the velocity of water inside the culvert is increased above normal levels upstream and downstream of the culvert. Culverts should not result in water velocities throughout a distance that exceeds the sustained swimming speeds of trout during the fall and spring spawning seasons (Refer to Report No. FHWA-FL-90-006 "Fish Passage Through Culverts, page 12, Figure 9.). As an example, trout require a resting pool every 100 ft with a water velocity of 2 ft/s. Consider the placement of energy dissipating baffles or boulders inside culverts, or using oversized depressed culverts and placing natural stream bed material inside to provide habitat and resting pools for migrating fish species. The culvert's outlet should not be suspended above the stream channel or cascade onto rocks; rather the outlet flow should gently merge with the tailwater pool, thereby facilitating the upstream movement of fish. Culverts should be installed during low flow conditions (August-September) and "in the dry". Temporary dams, water diversions, cofferdams, sediment basins, and water bypass should be considered. The specific type or combination of measures necessary will depend on the depth of water, velocity, discharge, duration of installation, site conditions, and the type of culvert specified. Any restrictions regarding the timing of construction activities or other requirements for work in the channel should be stated in a Special Note. (Refer to Chapter 21, Section 21.4, for the desired format of Special Notes.)

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8.6.4.2

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8.6.4.3 Energy Dissipators

8-63

Energy dissipators are any device designed to protect downstream areas from erosion or scour by reducing the velocity of flow to acceptable limits. There are two types of scour which should be considered local scour and channel degradation. Local scour extends a limited distance from the outlet and may occur in both a roadside channel and a natural channel when the outlet velocity is significantly higher than that which the outlet channel lining or natural bed material can withstand. Channel degradation is typical to a natural channel, is independent of culvert performance, and is a result of natural causes. There are two approaches which may be taken to protect the channel from scour mitigation and monitoring. Both approaches should be coordinated with the Regional Maintenance Engineer because they involve follow up reviews to monitor the site. Mitigation entails providing a minimum level of protection such as stone filling, followed up by periodic monitoring. Monitoring the site entails providing no protection for the channel in the vicinity of the culvert's outlet, other than the channel lining material; however, the structural integrity of the culvert should be protected by providing a headwall, cutoff wall, or end section to prevent undermining of the pipe's end. There are a number of methods by which water's energy may be dissipated. Refer to Hydraulic Engineering Circular (HEC) No. 14 "Hydraulic Design of Energy Dissipators for Culverts and Channels" or "Energy Dissipators", (Chapter 11 of the "Model Drainage Manual") for guidance regarding design considerations and procedures. 8.6.4.4 Debris Control The need to control debris at a culvert's inlet should be considered. When debris accumulates, the culvert will normally cease to convey water effectively. This can endanger the traveling public and result in damage to the culvert, the highway, and adjacent property. A debris control structure should not be specified without consulting with the Regional Maintenance Engineer because planned maintenance, rather than emergency maintenance during flooding periods, is an essential design consideration. A discussion of the field survey data required to determine the need for debris control structures, the types of debris control structures, and the classification of debris is provided in Highway Engineering Circular (HEC) 9, "Debris Control Structures Evaluation and Countermeasures". HEC 9 is recommended as a source of guidance if debris control structures are determined to be necessary based on a field review of the drainage area and its debris problems.

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8.6.4.3

8-64 8.6.5 Maintenance

HIGHWAY DRAINAGE

All existing culverts within the project limits should be examined to determine the culvert's structural condition and hydraulic adequacy. The need to clean, rehabilitate, or replace the installation should be considered. 8.6.5.1 Cleaning The pay items located in Section 203 Excavation and Embankment should be used for culverts in need of cleaning. These culverts should be tabulated in the Contract Documents. Specification provisions contained in Section 619 Maintenance and Protection of Traffic should not be used or relied upon for culverts in need of cleaning prior to construction. Section 619 provisions are for conditions which arise during construction. Culvert cleaning may be included in federal participating shares which contain other items of work where the cleaning work is incidental to the other federallyaided work. 8.6.5.2 Rehabilitation and Replacement An inventory of existing culverts should be organized by material type. The age of each culvert should be determined and compared with the anticipated service life provided in Section 8.6.2.2. This information should form the basis to determine whether or not the culvert is reaching the end of its design and anticipated service life, and therefore is a candidate for rehabilitation or replacement. The Regional Maintenance Group routinely inspects culverts over 5 ft in diameter. Their inspection reports should be reviewed to provide additional information regarding the condition and the need to repair or replace the culvert. Replacement will seldom be a viable alternative in significant locations where long detours or extensive disruption to traffic will occur. When replacement is not considered desirable, existing pipes may be relined as discussed in EI 01-029. Specification provisions for this work are provided in Section 602. Consideration should be given to any impact additional headwater will have on floodplain criteria, and adjacent landowners. Replacement culverts should be designed for future traffic, future maintenance activities, a horizontal offset to the traffic barrier, and where permitted, bicyclists and pedestrians. Therefore, the culvert length should accommodate the minimum roadway width for bridge replacements in Section 2 of the NYSDOT Bridge Manual. Although the roadway widths in the Bridge Manual were developed for bridges, they are appropriate for less costly culvert structures. When exceptions are appropriate, they should be approved as nonstandard features in accordance with the Project Development Manual.

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8.6.5

HIGHWAY DRAINAGE
8.6.6 Safety - Roadside Design Decisions regarding roadside design should be made consistent with Chapter 10. In general:

8-65

1. Any unnecessary drainage structures that would be hazardous to an errant vehicle should be eliminated. Examples might include: headwalls protruding above embankments; nontraversable ditches, particularly those perpendicular to traffic; check dams in ditches; etc. 2. Potentially hazardous drainage structures that are necessary should be relocated farther from the roadway, if practical, and if doing so would result in an adequate clear zone. Relocating drainage structures should not result in a discontinuous embankment. 3. Drainage structures which cannot be eliminated or relocated, should be modified to reduce the hazard, if such modification can be made without adversely affecting hydraulic performance. 4. Designers should refer to EI 06-015 and Chapter 10, Sections10.2.1.2 and 10.3.2.2 for design guidance for culvert-end safety grates. 5. If the above four measures, considered in combination, will not be able to produce an adequate clear zone, than that roadside area should be shielded from traffic with an appropriate barrier system. 8.6.7 Rehabilitation of Culverts and Storm Drains See Page 8-65A

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8.6.6

8-65A 8.6.7 Rehabilitation of Culverts and Storm Drains 8.6.7.1 General Replacement of a buried pipe system will seldom be a viable alternative in locations where long detours or extensive disruption to traffic will occur. When replacement is not viable or economically desirable, existing pipes may be rehabilitated by one of the following options: 8.6.7.1.A Structural paving of the invert with Portland Concrete Cement (PCC). This is an excellent rehabilitation methodology when the culvert has maintained its original shape, even if it exhibits considerable invert deterioration. Structural invert paving should be the predominant choice for rehabilitating large diameter arches and culverts, where using a new pipe lining method is cost prohibitive. Invert and barrel deterioration are the prime considerations when deciding on the extent and boundaries of the structural invert paving operation. These boundaries should be clearly shown on the contract documents. For worker access safety reasons, structural paving of the invert should not be specified in culverts with diameters smaller than 48, except when no other option is feasible. Design details on structural invert paving along with extended guidance can be found in Section 8.6.7.6. Structural invert paving may also be used in conjunction with shotcreting of the entire remaining culvert barrel (i.e. beyond the structural paving limits) further improving the structural capacity of the rehabilitated culvert. This hybrid rehabilitation scheme is recommended when the circumferential integrity of the culvert is questionable. 8.6.7.1.B Lining with Shotcrete. This is a cost effective solution for large size culverts and arches that are experiencing distress in sidewalls, roof, and invert. The culvert should not display any significant structural deficiencies, buckling or other forms of deformation. It can also be used in combination with paving inverts. The plans need to indicate the reinforcement details and its limits along the culvert periphery. Utilizing welding or stainless steel mechanical anchors in reinforcement anchoring are the only options allowed. Lining with shotcrete could encompass the entire barrel of the pipe. A minimum cover of 2 inches over the corrugation crests is recommended. If for other reasons a designer would like to specify a thicker cover this must be clearly indicated on the plans. To accommodate the proper installation and application equipment, the item can only be used in culverts with a minimum diameter of 48 inches. 8.6.7.1.C Lining with Cured in Place Pipe (CIPP). This consists of a CIPP lining inserted into an existing culvert. When lining with CIPP, the designer must provide on the plans all necessary information so that the bidding Approved List installers are able to calculate the design (dead and live) loads on each liner based on the same critical design input parameters. The provided information must at minimum include, but it is not limited to, the culvert maximum depth of cover, estimated modulus of soil reaction E and estimated water table elevation above culvert invert for the site. This information should be clearly
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8.6.7.1.C

8-65B noted on the plans, as: The maximum depth of cover is estimated from the top of the pipe to, or The estimated water table elevation is measured from the culvert invert. By providing this information on the plans, we improve the uniformity of bidding, since all submitted bids will be relying on the same design input parameters. Subcontractors mobilization cost should also be considered when selecting relining methodologies. For example, if CIPP lining has been selected for twelve culverts with bends while HDPE lining has been proposed for three straight run culverts, unless the three straight run culverts were of very large diameter (approaching 42 in diameter), it may be cost prohibitive to mobilize another subcontractor (HDPE lining) when the CIPP one will already be on site. Designers should be selecting the most cost effective repair scheme. 8.6.7.1.D Lining with New Pipe. This rehabilitation technique can restore both structural and hydraulic capacity of a pipe. It is appropriate for culverts ranging in diameters from 12 through 120 inches. The existing (host) pipe should be relatively free of large bulges and in relatively good alignment. If bulges, alignment issues or other obstructions exist, they should be (if possible) eliminated in order to accommodate the unobstructed insertion of the new liner pipe. Lining pipe generally comes in 20 foot lengths and requires adequate end access space to accommodate insertion. When end access is limited, shorter pipe lengths may be utilized but they have to be special ordered. Designers should contact lining pipe manufacturers or suppliers in advance to determine availability of short lengths. All available pipe rehabilitation materials are presented in Section 8.6.7.6. When end access of an existing large pipe (72 inches or larger) is limited, Galvanized Steel Plate, Steel Structural Plate and Galvanized Steel Tunnel Liner Plate may be cost effective pipe lining options. This is true only if structural paving is not an option. These methodologies will also restore a culverts structural integrity. Designers should never specify the grout mix design used to fill the annular space between the existing pipe and the lining pipe. It is the manufacturer's representatives responsibility to recommend a suitable grout compatible with the lining material used. The grout material recommendation must be included in the submitted written proposal to the EIC, in accordance to the specifications. The compressive strength of the grout is completely ignored (it is assumed that it carries no load and it does not contribute to the structural capacity of the composite old pipegrout-liner pipe structure) in the liner thickness design calculations. Completely deteriorated conditions (i.e. it possesses zero remaining structural capacity) are assumed for the existing pipe during these calculations. Consequently, the proposed liner is required to possess adequate structural capacity to carry the entire calculated dead and live load. The maximum depth of cover for the culvert to be relined, estimated modulus of soil reaction E, and the estimated water table elevation should be clearly noted on the plans. Due to the potential for adverse environmental impacts associated with culvert rehabilitation activities (e.g. in-stream habitat, sediment dynamics, water/air quality), it is essential that designers coordinate the project development with the Regional Environmental Unit at an early stage in order to identify potential impacts and opportunities for mitigation. The reader is strongly encouraged to review Section 8.6.7.6 for a detailed presentation of the above 03/25/11 8.6.7.1.D

8-65C mentioned rehabilitation techniques. Additional guidance regarding the rehabilitation of culverts is provided in AASHTO=s Highway Drainage Guidelines, Volume XIV. 8.6.7.2 Evaluating the existing culvert and site conditions During hydraulic calculations to determine the minimum required diameter which satisfies the facilitys hydraulic demand, the proposed lining pipe=s wall thickness and/or the corrugation pattern may dictate the choice of lining materials. It is imperative that the existing (host) culvert is thoroughly inspected in order determine the most appropriate type of rehabilitation. The inspection should determine culverts dimensions, material type, overall condition and structural integrity as well as site and/or existing pipe end accessibility for inserting lining pipe. Inspectors should clearly map the location and extent of distressed areas as well as all existing obstructions/buckles which may impact the size and insertion of the proposed lining pipe. Buckled pipes can be jacked near to their original shape provided that working room and proper access are available. However, excessive buckling of the existing pipe may severely obstruct and consequently preclude the use of any lining pipe. If visual inspection of the existing pipe is not feasible, a robotic or other remote inspection method is warranted. Special order lining pipe lengths may be available for some types of lining pipes. If needed and as it was recommended in the Lining with a new pipe section, Designers should contact t he pipe manufacturer or supplier to determine availability of shorter lining pipe lengths and approximate material costs. If significant pipe perforations and/or backfill subsidence has been observed, consult with the Regional Geotechnical Engineer to determine the extent of any voids that may exist in the backfill material in the area above and immediately adjacent to the culvert. 8.6.7.3 Hydraulics & Service Life All material used in culvert and storm drain rehabilitation should meet structural, hydraulic and service life requirements as identified in Chapter 8 of the Highway Design Manual. For design calculation purposes, the existing culvert and any annular fill material (e.g. grout) used in the lining application are assumed to provide no additional service life nor contribute to the structural capacity of the lining pipe. 8.6.7.4 Geotechnical Issues Consult with the Regional Geotechnical Engineer to determine and map the extent of any voids that may exist in the backfill material adjacent to the culvert. Voids not immediately adjacent to the culvert, which may have developed via infiltration of backfill fines into the culvert, are typically filled from above using a series of drill holes. For the sake of uniform bidding purposes, when voids are present, the Plans should include the following details: general site conditions, access, proposed end treatments, profiles and grade staging, voids mapping, any special situations, relevant restrictions, etc. The Regional Geotechnical Engineer should be contacted for selecting the voids filling material in the backfill.

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8.6.7.4

8-65D Very rarely culvert bearing embankments require grouting immediately prior to culvert rehabilitation. Extensive embankment grouting (filling of voids beyond culvert vicinity) is pursued only when the Designer and/or a Geotechnical Engineer decide(s) that the observed settlement poses a serious and immediate threat to the embankment integrity. Established practice for most cases dictates completing the lining work prior to addressing any settlement related issues. 8.6.7.5 Cost Each rehabilitation methodology has its own pay item which includes all labor and materials cost necessary to complete the installation. The depth of cover (or fill height above the culvert) and ground water table elevation impact the bidding price of a liner. The fill material in the backfill area above the pipe is paid for under a separate item provided by the Geotechnical Engineer. 8.6.7.6 Available lining methodologies and recommended conditions for use: 8.6.7.6.A Adequate Structural Capacity. If the culvert possesses reduced but adequate structural capacity and the culvert has maintained its original shape some structural capacity can be restored by rehabilitating the barrel. Under these conditions, the culvert could be effectively rehabilitated by selecting one of the following two methodologies: 8.6.7.6.A.1 Structural Paving of Inverts with Portland Cement Concrete (PCC) This is a relatively low cost solution for rehabilitating circular culverts and arches experiencing invert distress, primarily caused by abrasion or a combination of abrasion and corrosion. Generally, if the pipe or arch has maintained its original shape and does not experience other major structural deficiencies except the invert loss, the culvert can be rehabilitated by structurally paving the invert, regardless if the invert shows considerable deterioration. Due to the higher cost of lining pipes using other approved rehabilitation methodologies, the effectiveness of invert paving for invert distressed drainage facilities should be explored first. Structural invert paving is appropriate when there are no other major structural deficiencies in the culvert besides the invert deterioration, and the pipe is also of sufficient size (a minimum culvert diameter of 48 is recommended) to accommodate safe execution of this work. The designer should clearly indicate in the plans the concrete cover over the corrugation crests, the type and layout of the concrete reinforcement, and the paving area limits along the periphery of the culvert. Note that the periphery paving limits should always extend beyond the area of significant corrosion loss, allowing reinforcement to be attached onto sound metal locations on both sides of the invert. The 602 standard specification requires that all reinforcement details shall be shown on the plans. Design details for structural invert paving of culverts spanning up to 10 feet and bearing up to 20 feet of fill over the crown are available in .dgn format under Resource Links at: https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-8. Repairs for culverts falling outside these parameters need to be designed on an individual basis and the Office of Structures can be consulted for assistance. Welded wire fabric reinforcement embedded in a 4 deep/thick concrete slab over the corrugation crest is recommended for structural invert paving of 03/25/11 8.6.7.6

8-65E round pipes and arches spanning up to 6 feet. The welded wire fabric reinforcement can be attached directly onto the corrugations by welding or utilizing stainless steel mechanical anchors. These are the only two anchoring options allowed for welded wire fabric reinforcement embedded in 4 thick concrete slab for culverts spanning less than 6 feet. Reinforcement bars are recommended for all arches (regardless of span) and also for all round pipes spanning between 6 and 10 feet. The reinforcement is embedded in a 6 or 8 thick concrete slab, depending on the culverts span, with a minimum of 2 reinforcement cover. Shear transfer is achieved by anchoring (welding) shear studs to sound metal on the corrugation crests (see relevant drawing detail Figure 2). Reinforcement bars shall only be attached to shear studs (never directly to the culvert walls) by wire tying (see relevant drawing detail Figure 1). Reinforcement bar sizes will be selected based on the recommendations established by the Office of Structures (see Figure 3). All reinforcement and shear studs should be covered with concrete and the concrete should be sloped in such a way as to prevent water ponding on the side walls. Small areas of suspected metal loss around culverts circumference do not necessarily preclude the use of this item as an effective rehabilitation technique, since the remaining circumference above the structurally paved invert area could also be lined with shotcrete. Since these treatments modify culverts hydraulics characteristics, designers must consult with the Hydraulics Design section on this topic. Designers are directed to use a Manning=s An@ value of 0.013 for hydraulic calculations in the paved area of the culvert. Structural paving of corrugated pipe inverts with PCC results in reduced roughness, leading to increased flow velocity and sediment transport competence. This may in turn negatively affect aquatic habitat connectivity as the barrel will retain less streambed sediment than it did in its prior unpaved condition. It is recommended that surface roughening techniques (e.g. raking the fresh concrete perpendicular to the flow) be considered for use where appropriate and practicable. Designers are also reminded that a culvert with a previously paved invert could be re-rehabilitated with concrete lining. 8.6.7.6.A.2 Lining with Shotcrete If the entire culvert circumference (or even when an area beyond the extent of structural invert paving but less than 20% of the total corroded area) exhibits signs of minor corrosion, lining with shotcrete is a viable option. Designers may utilize the Design Standard details for structural paving developed by the Office of Structures Design which are available in .dgn format under Resource Links at: https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-8, after simply substituting the concrete with the appropriate shotcrete item. As mentioned in the previous section, shotcrete can be used in conjunction with structural invert paving to address corrosion beyond the extent of paving. Shotcrete can also be used for localized rehabilitation of a distressed culvert section. If properly specified, this method can also restore culvert structural capacity. Designers are directed to use a Manning=s An@ value of 0.013 for hydraulic calculations in the shotcreted area of the culvert. For worker access safety reasons, this lining methodology should not be utilized in culverts with diameters smaller than 48. 8.6.7.6.B Inadequate Structural Capacity. If the structural integrity of the culvert is questionable, the following six lining options may be considered:
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8.6.7.6.B

8-65F 8.6.7.6.B.1 Lining with High Density Polyethylene Pipe (HDPE) High Density Polyethylene Pipe meeting ASTM F894 (Profile Wall) or ASTM F714 (Smooth Wall) may be used in association with the height of cover table provided below. There are two types of HDPE liners: a profile wall often without exterior corrugations, and a smooth solid wall pipe. The exterior and interior diameters of these liners vary among manufacturers. Considerable confusion has been generated when specifying the required size of these two lining pipes. Profile wall pipe is specified by the inside diameter, and as the required load increases, the wall profile thickens. Smooth wall pipe is specified by the outside diameter and the actual inside diameter diminishes with greater loads, as the wall thickens. Smooth wall HDPE lining pipe has a much higher material cost because of the larger resin volume required for its fabrication compared to the profile wall. For good grouting practice purposes Standard Specification 602 requires a minimum annular space of 1 inch between the host pipe and the liner. Therefore the outside diameter of the liner pipe must be a minimum of 2 inches smaller than the diameter of the existing (host) pipe. This is an important size constraint when calculating the hydraulic capacity of the relined installation. As a result of these dimensional constraints, designers are at times forced to specify the more expensive smooth wall liner pipe instead of the less expensive profile wall. This is the case, because for the same load carrying capacity, the smooth wall liner pipe possesses a thinner wall section, allowing for more interstitial space between the proposed liner and the host pipe. To prevent problems during construction between the two wall types, both types have their own specification and the Designers wall selection should be clearly indicated in the plans. The original specification has been retained as an optional item. It can be used when abundant interstitial/annular space exists and the consequences of a potentially arbitrary swap in the field are not a major concern. Currently available diameters for these pipes range from 18 to 60 inches for solid wall pipe, and 18 to 96 inches for profile wall pipe. Various joint types can be specified to hold the liner segments aligned and firmly together through the liner insertion process and until the grout sets in place. The issue of joint type selection for HDPE liners is addressed in the revised 602 specification as: Perform all butt fusion and extrusion welding of HDPE pipe in accordance with the Manufacturers recommendation and Alternate joining methods will be subject to approval by the Director, Materials Bureau. Two mechanical joints are currently approved, a threaded joint and a smooth exterior bell and spigot joint. A mechanical joint wrap process has been evaluated and approved with some dimensional restrictions associated with its use at this time. However, butt fusion and extrusion welding are still the most durable joining methods, effectively creating a continuous liner pipe but they are also more labor intensive and hence more expensive than other joining methods. When alignment breaks or pinch points are encountered in a project, designers should only consider butt fusion and extrusion welding as the joining methods of choice, as they provide the most reliable joints for these challenging site conditions. Designer choices should be clearly stated in the notes and placed in a very prominent spot in the contract documents. The notes should also explicitly state that these joint selection restrictions solely apply to the host pipes possessing these challenging morphological conditions. Again, the maximum depth of cover for the culvert to be relined, estimated modulus of soil reaction E, and the estimated water table elevation should be clearly noted on the plans.

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8.6.7.6.B.1

8-65G

HDPE Liner Diameter (inches) Maximum Allowable Cover (feet)1

1

18 30

21 30

24 33

27 26

30 26

33 26

36 26

42 23

48 23

54 26

60 26

66 26

72 26

84 33

96 36

Maximum vertical distance between the top of the pipe and the top of pavement.

8.6.7.6.B.2 Lining with Cured in Place Pipe (CIPP) Lining with Cured in Place Pipe (CIPP) is an option for round pipes when end access is limited, pipe alignment includes bends, or when other lining methods would seriously reduce culvert hydraulic capacity. CIPP can restore both the structural and the hydraulic capacity of a pipe. Although this item is relatively expensive compared to other relining items, it could be the best rehabilitation alternative if all or some of the above site conditions exist. Designers are responsible for making this selection decision based on site conditions and associated regional installation cost. This item should very rarely be considered as a viable rehabilitation method for arches or rectangular culverts. CIPP is best suited for circular drainage facilities with limited access to and ranging in diameter from 12 to 42 inches. CIPP technology can be applied to lining larger diameter culverts, but in these cases, the installation cost is usually prohibitive and CIPP lining should only be considered for very short lengths. The ability to prepare (wet) the liner off site as opposed to wet it on site (near the culverts access point) greatly impacts operational cost. High depths of cover and elevated water tables demand thicker CIPP liners. These adverse site conditions coupled with large diameter and/or long host culverts, result in very heavy liners, which forces the installer to perform the wetting operation over the culverts access point. This additional cost may render the overall cost of this operation prohibitive. Consult with the Materials Bureau when dealing with large diameter and/or excessively long liners. Lining Concrete Pipe with Cured in Place Pipe (CIPP) is an option created to utilize a partially deteriorated design methodology and can ONLY be used for lining concrete pipes. This item should ONLY be used when the concrete pipe still possesses some measurable structural capacity but inspections have raised some concerns, which can be alleviated by lining. These concerns may include, but are not limited to, damaged or separated joints, infiltration of ground water from faulty joints or incipient cracks (cracks not threatening the structural capacity of the concrete pipe) or as a precautionary measure for abrasion protection. The designer may follow the same guidance as with CIPP (see above), but this concrete pipe pay item should be selected. It is anticipated that invoking the partially deteriorated design methodology, ONLY where warranted, will result in substantial material cost savings and reduced overall bid prices. A Manning=s coefficient An@ value of 0.013 should be used for hydraulic calculations in all CIPP sections. The CIPP relining item is often selected by designers as a result of two very important features. The usually improved Mannings coefficient of the rehabilitated culvert coupled with the smallest cross section reduction possible as a result of selecting CIPP vs. any other relining
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8.6.7.6.B.2

8-65H methodology. Once again, only round culverts should be lined with this method. The anticipated service life of this treatment is 70 years. It is imperative that all obstructions in the culvert are removed prior to initiating the CIPP lining procedure. The bid price for the CIPP item includes the cost of removing any obstructions, along with re-establishing culvert to secondary pipe connections and the removal of any protruding pipes as required. It should be noted that Department policy for storm drainage allows addition of pipe connections onto a pipe only within a structure (e.g. manhole, drop chamber, etc.) and never in between such structures, so finding all pipe to pipe connections should be a straightforward process. A thorough culvert inspection is required to determine the number of existing pipe to pipe connections and the extent, if any, of obstruction removal. If the culvert opening (36 in diameter or less) prohibits a human-led visual inspection, a closed circuit television inspection should be performed by experienced personnel trained in locating breaks, obstacles and service connections during the design phase of the project. This information should be made available to all bidders to assist them in preparing an accurate bid. Designers should be aware that in the field, the liner is inverted and filled with water, which pushes the liner through the culvert. The water also holds the resin-impregnated liner in position and in contact with the host pipe. The water is circulated through a mobile boiler which raises its temperature in excess of 160F. The heat of the circulating water cures the resin and transforms the formerly flexible liner into a solid continuous conduit. The liner curing process typically lasts several hours. Once the liner is completely cured, the curing water is removed, then, all (if any) service connections are restored, using robotic cutting devices, especially for culverts less than 36 in diameter. The completed liner should be inspected, often using a closed circuit television, especially for culverts less than 36 in diameter. Environmental impact concerns and information gathered from the extensive use of CIPP, have led to a series of new product developments as well as amendments to installation procedures. Curing water from CIPP installations utilizing a styrene-based resin contains some styrene residual. NYS Surface Water and Groundwater Quality Standards and Groundwater Effluent Limitations (6 New York State Department of Codes, Rules and Regulations (NYCRR) Part 703) set quantitative and qualitative standards for effluents to NYS water bodies. These standards may vary for different classes of receiving waters or for discharging it to groundwater. NYS Water Quality Standards include specific limit guidelines for discharging certain pollutants (including styrene) to various surface water classes and groundwater. The limit of 0.05 ppm applies to surface water bodies with classifications A, A-S, AA and AA-S while the limit of 0.005 ppm applies to groundwater with GA (fresh groundwater) classification. The general conditions listed in 6 NYCRR Part 701 apply to all water classifications. They dictate that discharges shall not cause impairment of the best usages of the receiving water (as specified by the water classifications) both at the location of discharge or at any other location which may be affected by such discharge. Note that thermal loading considerations (6 NYCRR Part 704) are directly related to the release temperature and discharge rate of the curing water. Provisions for handling and/or disposal alternatives as well as other control procedures are included in the specifications to address the presence of styrene in the curing water and other potential releases to water and air from the byproducts of the CIPP installation. These provisions include:

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8.6.7.6.B.2

8-65I Some procedural changes to enhance control of the CIPP process and leakage of resin, including utilizing a preliner bag and excavating a temporary resin control pit at the outlet. Allowing the use of non-styrene based resins containing less than five percent volatile organic compounds (VOCs) with less than 0.1 percent hazardous air pollutants (HAPs). These resins are now included in the 602 Standard Specifications and can be used by the Contractor in any CIPP site. The cured liner should also contain less than 0.1 percent of water quality pollutants (as listed in 6 NYCRR Parts 700-705)". NYSDOT may determine and dictate that at certain areas of greater environmental concern (i.e. in the vicinity of class A, A-S, AA and AA-S water sources or at other locations presenting other needs) non-styrene based resins MUST be used. If the Department requires the use of only a designated resin type, the resin type requirements shall be clearly noted in the contract documents; otherwise, the Contractor may select the resin type from the resin approved list included in the CIPP Approved Installers Materials Procedure document, which is kept on file at the Main Office, Materials Bureau. In all CIPP installations utilizing a styrene based resin, it is required to collect the curing water for: o Reuse in another curing operation o Treatment or disposal at an off-site facility; or o Release on site after treatment to standards dictated by NYSDEC and with approvals from NYSDEC. Summarizing, the resin type alternatives for CIPP work are to either use a non-styrene based resin or follow additional controls when using a styrene-based resin. Areas of environmental concern may include, but are not limited to, wetlands, fishing streams and ponds, upstream of public water sources, densely populated urban areas where residents are concerned about the short lasting odor of the styrene during curing, etc. Waters classified as Class A are: a source of water supply for drinking, culinary or food processing purposes; primary and secondary contact recreation; and fishing (i.e. waters suitable for fish, shellfish, and wildlife propagation and survival). Although numerical standards are not listed for other classes of streams in 6NYCRR Part 703, the general requirements of Part 701 apply (i.e. discharge must not cause impairment of the best usages of the receiving water). The designer shall determine the location of each installation in respect to environmental resources including the classes of streams/watercourses in the vicinity of the project. The regional environmental unit and/or Environmental Viewer (A GIS application currently available at the Office of the Environment Intradot site and under the manual / applications tab, subsection GIS Application) shall be consulted for stream classification and other relevant environmental information. For installations close to and presenting the potential for curing water releases to class A, A-S, AA and AA-S streams or releases of other concern, the requirement for using a non-styrene based resin should be considered. If designers determine that a non-styrene based resin shall be used in a specific CIPP installation, then the relining projects contract documents have to clearly and unambiguously specify that a resin containing less than five percent volatile organic compounds (VOCs) with less than 0.1 percent hazardous air pollutants (HAPs) must be used. It should also clearly state that the cured liner should contain less than 0.1 percent of water quality pollutants (as listed in 6 NYCRR Parts
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8.6.7.6.B.2

8-65J 700-705)". Use of these resins will result in a significant increase to the rehabilitation cost, approximately double to the materials cost of using regular styrene based resins in 2009 market prices. Therefore the decision to specify non-styrene based resins should not be made lightly and never prior to evaluating whether the use of styrene based resins combined with other alternative provisions to control the release of the curing water provide both enough site environmental protection and project cost savings. These provisions (listed now in the 602 Standard Specification) include, but they should not be limited to: removal (pumping out) of the curing water at the end of the CIPP installation, transporting it to an appropriate disposal facility instead of free draining it at the outlet, providing for a resin catchment pit excavated right at the culverts outlet to create ideal conditions for the collection of the trace amounts of styrene, temperature control of the released curing water, as well as combinations of the above. Again, designers stipulations on environmental protection provisions should be clearly indicated on the plans as they may substantially impact the operational cost. These stipulations should be limited to the class of the neighboring stream or water course class which may be impacted by the release of the curing water, the need for utilizing a styrene or a non-styrene based resin, the maximum allowed release temperature of the curing water and the size of the resin catchment pit. It is recommended that the resin catchment pit dimensions are: 12 to 15 feet long, twice the culvert diameter wide and one foot deep. If a rip-rap layer has been installed at the culvert outlet (potentially even in the stream bed), the proposed depth of the catchment pit will be equal to the thickness of the rip rap layer (it could even be over a foot deep) and as indicated on the record plans. If the natural bedrock is encountered near the culvert invert elevation, the catchment pit bottom elevation must be just (at least) below the culvert invert, so that the CIPP installer is able to create the proposed temporary catchment pit. CIPP installers will decide as to the catchment pit lining, as they are responsible for preventing the liner curing process byproducts and waste from reaching the surrounding ground and percolate / leach into the groundwater. The excavation, temporary storage of the fill and restoration of the downstream channel will be paid for under pay item 206.04 Trench and Culvert Excavation O.G. The majority of the environmental controls in any CIPP project are dictated by the written agreement (Materials Procedure) between the Approved List manufacturer / installer and the Materials Bureau. If designers have any concerns about using the CIPP relining item at a specific location, especially when styrene based resins are employed, they should first consult with the Materials Bureau. Current designs address fill heights up to a maximum of 50 feet. If the fill height over the CIPP installation exceeds 50 feet at any point along the culvert alignment, contact the Materials Bureau to coordinate an evaluation of the proposed CIPP liner design. 8.6.7.6.B.3 Lining with Polyvinyl Chloride Pipe The 602 relining specification also allows the contractor to use PVC pipe meeting ASTM F1803, ASTM F949, and two new standards, ASTM F679 or ASTM D3034 (small diameters 12" or 15") as relining material. PVC pipe is currently available in diameters ranging from 12 inches through 36 inches on the current Approved List. Designers must consult the Approved List for the addition of new manufacturers and/or products as well as for the currently approved sizes for each PVC material. PVC lining pipes are corrosion and abrasive resistant. A Manning's coefficient value of 0.013 should be used for all hydraulic capacity calculations related to PVC pipes. 03/25/11 8.6.7.6.B.3

8-65K Some PVC pipes are more brittle than other flexible relining materials. Therefore, designers should determine prior to specifying it, that the condition and shape of the host culvert will allow for an unobstructed insertion of the PVC lining pipe. Since the 602 relining specification requires a minimum annular space of 1" for effective grouting, the outside diameter of the liner pipe needs to be a minimum of 2" smaller than the inside diameter of the existing (host) pipe when calculating the hydraulic capacity of the new installation. Profile wall pipe (ASTM F949) is specified by the pipe's nominal inside diameter while the respective outside diameters can be found in ASTM F949. ASTM F1803 lists only the nominal inside diameter of these respective materials, therefore designers must consult with the pipe manufacturer to obtain the outside diameter information. Both ASTM F949 and ASTM F1803 pipes possess joints that are flush with the outside diameter. However, ASTM F679 and ASTM D3034 pipes do not have a joint flush with the outside diameter of the pipe but rather a bell and spigot joint protruding from the outer pipe shell. Therefore, for ASTM F679 & ASTM D3034 pipes, it is the outside diameter of the joint and not the outside diameter of the pipe which dictates the maximum allowable liner diameter for a particular application. Because of this confusion, the lack of readily available info for some PVC pipes and in order to properly evaluate selected PVC pipe size compliance with the minimum required annular space for effective grouting, designers are strongly encouraged to consult with the Materials Bureau about the maximum outside dimension of any PVC pipe, if this information is not available to them. The table below provides the allowable fill heights for each size of PVC liner pipe. If the fill height exceeds 50 feet at any point along the pipe alignment, contact the Materials Bureau for approval of the proposed liner design. The anticipated service life of a PVC liner is 70 years. PVC Liner Diameter (inches) Maximum Allowable Cover (feet 1)
1

12 50

15 46

18 33

21 50

24 50

30 50

36 26

Maximum vertical distance between the top of the pipe and the top of pavement. 8.6.7.6.B.4 Lining with Tunnel Liner Plate In some closed drainage systems, space constraints may limit lining options which involve installing full lengths of pipe sections. In these cases, galvanized tunnel liner plate may be a viable option. Tunnel liner plate can be inserted and assembled within the host culvert as the laying length of individual sections is 18 inches. Galvanized Tunnel Liner Plate requires a PCC invert to provide the required service life and hydraulic performance. Structural paving of the invert improves the hydraulic efficiency of the culvert and protects the tunnel liner bolt flanges from abrasion caused by bedload. When site conditions dictate that only tunnel liner plates can accommodate the structural demand of the culvert, but hydraulics analysis dictates that a low Manning material must be used, shotcreting the invert or HDPE lining is a valid

03/25/11

8.6.7.6.B.4

8-65L solution. Consult the Materials Bureau for further guidance when such cases arise. 8.6.7.6.B.5 Lining with Polymer Coated Corrugated Steel Pipe (CSP) If the rehabilitated pipe is anticipated to be subjected to potentially abrasive bed loads or to be exposed to high concentrations of industrial waste, the Polymer Coated CSP item is a suitable relining material for these conditions. The suggested Manning=s coefficient n value will range from 0.013 to 0.026, depending on the corrugation pattern selected. The recommended Manning coefficient An@ values for all drainage materials are provided in Section 8.6.3.1. The height of fill tables provided in Appendix A shall be used to determine if the 12 gauge steel pipe meets the sites height of fill requirements. 8.6.7.6.B.6 Lining with Steel Structural Plate Pipe or Pipe Arches with PCC Paved Invert Steel structural plate can be partially or fully assembled and pushed or pulled into place within the pipe. This lining option should be considered for large diameters where other items are unavailable. If the plate sections are too large to be inserted into the host culvert through the exposed ends, then an excavation and a field cut through the culvert roof would be required. Every effort should be made to ensure that the excavation and field cut are located where it will be the least disruptive to traffic. Designers must clearly indicate in the plans how to pave the invert of the plate pipe or arch. The minimum extent of the invert paving will be the bottom 30 percent of the inside circumference for round pipes, the bottom 35 percent of the inside periphery for arch spans up to 3 m and the bottom 40 percent of the inside periphery for arch spans greater than 3 m. If this paving coverage encompasses (with some margin of safety) at least 150 mm circumferentially beyond the limits of the culverts wetted perimeter for mean flow conditions, then this paving coverage will be sufficient. If it does not, then a greater percentage of coverage should be used. A minimum cover of 50 mm over the crests of the corrugation and the steel fabric reinforcement should also be noted on the plans.

03/25/11

8.6.7.6.B.6

8-66 8.7 STORM DRAINAGE SYSTEMS

HIGHWAY DRAINAGE

Storm drainage systems should be considered to protect the roadway and the traveling public from stormwater when right of way limitations, or the presence of curbs and sidewalks do not allow stormwater to run off of the roadway. Depending on the adjacent terrain, storm drainage systems consist of some or all of the following items: curb, gutter, inlets, drainage structures, storm drains, and an outfall or outlet, which discharges collected stormwater to a point of release in the receiving waters (i.e., a stream, river, lake, storage facility, etc.). Pumping stations and flap gates are other items which are not as common. These other items are not discussed in this section, and should be designed consistent with the guidance provided in the references. There are two principal concerns when designing a storm drainage system: 1. Preventing excessive spread of storm water onto the traveled way, and 2. The protection of adjacent natural resources, and property. The first concern is addressed through the design of curbs, gutters, and inlets. The second concern is addressed through the design of the storm drainage system outlet, and the type of receiving waters. Regardless of the design or size, there will be occurrences when the capacity of a storm drainage system is exceeded. Storm drainage design is an iterative process. Due to the time consuming nature of storm drainage design, the use of drainage software is recommended. A computer assisted design will generally be more cost effective than manual methods because the design iterations are automated. This section presents storm drainage design criteria, and provides an introduction to the components and considerations regarding storm drainage system design. Detailed explanations, formulas, and procedures are provided only to the extent necessary to convey the subject. The following publications should be referred to for a complete discussion of the formulas and design procedures used during design: 1. "Storm Drain Systems" (Chapter 9 of the "Highway Drainage Guidelines") provides an overview of storm drainage design. This reference does not provide a discussion of procedures, e.g., detailed discussion and formulas regarding the calculation of the hydraulic gradeline. 2. "Storm Drainage Systems" (Chapter 13 of the "Model Drainage Manual"), and "Hydraulic Engineering Circular" (HEC) No. 22, "Urban Drainage Design Manual" provides procedures, formulas, and example problems.

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8.7

HIGHWAY DRAINAGE

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8.7.1 Planning and Coordination The preliminary layout and design of storm drainage systems and the planning for stormwater management should begin early in the design process when right of way taking lines are being developed. Potential locations of receiving waters, either existing (natural watercourses, or surface waterbodies) or proposed (recharge basins, leaching basins), should be identified at this time. Additionally, slopes, adjacent terrain and development, environmental resources, and locations of existing drainage facilities and utilities should be identified. All of these factors should be considered in establishing the highway alignment and the right of way lines. When a highway typical section is changed to include sidewalks, curbs, or any element which prohibits stormwater from flowing off the roadway, a storm drainage system will generally need to be added also. Adequate funds must be programmed during the scoping stage to provide for this addition. 8.7.2 Hydrologic Analysis A hydrologic analysis shall be progressed consistent with the guidance in Section 8.3. The Rational Method shall be used to calculate the peak discharge to be conveyed by the gutter, and storm drains. Storm drainage systems which involve detention storage, pumping stations, and large or complex storm drainage systems require the development of a runoff hydrograph to determine the peak discharge. Table 8-2, in Section 8.3, provides the design flood frequencies to be used for storm drainage system design. As previously defined in Section 8.3, the Tc is defined as the time required for water to travel from the most remote point in the watershed to the point of interest. For storm drainage system design, the Tc generally consists of two components, one for inlet spacing (discussed in Section 8.7.4.4.C), and the other for pipe sizing (discussed in Section 8.7.5.3.A). The flow path having the longest Tc to the point of interest in the storm drainage system will usually define the duration used in selecting the intensity value in the Rational Method. Exceptions to the general application of the Rational Equation exist. For example, a small relatively impervious area within a larger drainage area may have an independent discharge higher than that of the total area. This may occur because of the high runoff coefficient and high intensity resulting from a short Tc. If an exception does exist, it can generally be classified as one of two exception scenarios.

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8.7.1

8-68

HIGHWAY DRAINAGE

The first exception occurs when a highly impervious section exists at the most downstream area of a watershed and the total upstream area flows through the lower impervious area. When this situation occurs, two separate calculations should be made as follows:
First, calculate the runoff from the total drainage area with its weighted runoff coefficient and the intensity associated with the longest Tc. Secondly, calculate the runoff using only the smaller, less pervious area. The typical procedure would be followed using the runoff coefficient for the small, less pervious area and the intensity associated with the shorter Tc.

The results of these two calculations should be compared and the largest value of discharge should be used for design. The second exception exists when a smaller, less pervious area is tributary to the larger primary watershed. When this scenario occurs, two sets of calculations should also be made. First, calculate the runoff from the total drainage area with its weighted runoff coefficient and the intensity associated with the longest Tc. Secondly, calculate the runoff to consider how much discharge from the larger primary area is contributing at the same time the peak from the smaller, less pervious tributary area is occurring. When the small area is discharging, some discharge from the larger primary area is also contributing to the total discharge. In this calculation, the intensity associated with the Tc from the small, less pervious area is used. The portion of the larger primary area to be considered is determined by the following equation:

Ac = A
Ac A Tc1 Tc2

Tc1 Tc 2

where :

= the most downstream part of the larger primary area that will contribute to the discharge during the Tc associated with the smaller, less pervious area. = the area of the larger primary area. = the time of concentration of the smaller, less pervious, tributary area. = the time of concentration associated with the larger primary area as is used in the first calculation.

The runoff coefficient (C value) to be used in this computation should be the weighted C value that results from combining C values of the smaller, less pervious tributary area and the area Ac. The area to be used in the Rational Method would be the area of the less pervious area plus Ac. This second calculation should only be considered when the less pervious area is tributary to the area with the longer time of concentration and is at or near the downstream end of the total drainage area. Finally, the results of these calculations should be compared and the largest value of discharge should be used for design.

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8.7.2

HIGHWAY DRAINAGE

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8.7.3 Gutters This section considers gutters as that part of the typical section which conveys stormwater along the edge of the traveled way, shoulder, or parking lane. 8.7.3.1 Types of Gutter Section The gutter section may or may not incorporate curb. When curb is used, the gutter section is termed a conventional curb and gutter section. The cross slope of a conventional curb and gutter section may be continuous or composite. If the spread of water is limited to the shoulder, parking lane, or traveled way, the cross slope is continuous. If the spread is allowed to encroach onto the traveled way from the shoulder or parking lane, a composite section will exist due to the differing cross slopes of these typical section elements. Refer to Chapter 3, Section 3.2.9, for guidance regarding types of curb, limitations on curb use, warrants for curb use, curb alignment and typical section details, and curb material selection and installation details. A gutter section without curb may be considered a shallow swale section, is formed as detailed on Standard Sheet 624-01, and is illustrated in Figure 3-2 of Chapter 3. Refer to Chapter 3, Section 3.2.10 for guidance regarding the placement of shallow swale sections at driveways. Formed gutter shall not be placed to interfere with a crosswalk. 8.7.3.2 Gutter Capacity Gutter flow calculations are necessary to establish the capacity of the gutter within the spread and puddle depth criteria in Section 8.7.4.4.C. Gutter capacity is determined based on a modified form of Manning's equation. This equation is presented below to illustrate the basis of the computation: Q = (0.56/n)Sx1.67S0.5T2.67, where: Q = Flow rate (ft3/s) n = Manning's roughness coefficient T = Width of flow or spread in the gutter (ft) Sx = Cross slope (ft/ft) S = Longitudinal slope (ft/ft) Each variable is discussed below. Q is determined for the drainage area contributing flow to the gutter. Desirably, overland flow should be intercepted before it reaches the roadway. This will allow the gutter to primarily convey water running off of the roadway. n values are provided in the references, and are based on the gutter surface. T is based on Q, n, Sx, and S. Sx is based on the design criteria (i.e., Chapter 2 or 7 of this manual) for the project. S is based on the vertical alignment of the roadway and drainage considerations. (Guidance regarding vertical alignment is provided in Chapter 5, Section 5.7.4, of this manual.)

10/22/09

8.7.3

8-70

HIGHWAY DRAINAGE

Using the modified form of Manning's equation, and the relationship between spread and depth of flow or puddle depth at the curb (d), d = TSx, spread and puddle depth are determined and compared to the criteria in Section 8.7.4.4.C. Nomographs are provided in the references, and computer software will aid in the determination of spread and puddle depth. The formulas, nomographs, and software are specific regarding what type of gutter section exists (e.g., conventional (uniform or composite cross slope) or shallow swale section). Inlets are placed when the spread or puddle depth in the gutter section exceed the criteria, and at other locations as discussed in Section 8.7.4.4. 8.7.4 Inlets Inlets are placed to intercept the concentrated flow of stormwater. Typical locations are in gutter sections, paved medians, and in roadway and median ditches. When curb is used to form the gutter section, the inlet shall be placed in front of the curb. Inlets shall not be recessed back from the curbline due to the potential hazard they present by creating a discontinuous curb line. 8.7.4.1 Types of Inlets This section discusses three major types of inlets. 1. Curb-opening inlet. This inlet provides a vertical opening in the curb. No grate is specified. The curb-opening inlet is not depicted on the standard sheets because it not hydraulically efficient and as a result, rarely used. 2. Gutter inlets. Gutter inlets include grate inlets and slotted inlets. a. Grate inlets provide a horizontal opening in the channel section (gutter or ditch) and are recommended for gutter locations where curb is not proposed, and locations off the roadway. Three grate types rectangular, parallel bar (with and without cross bars), and reticuline are illustrated on Standard Sheets 655-01, 655-02, and 655-04. The frames associated with these grates are also illustrated on the standard sheets. In addition to the grates used by the Department, the references mentioned in Section 8.7 discuss two other types of grates, the curved vane and the tilt-bar. These grates are not included on the standard sheets. b. Slotted inlet (pipe interceptor drain). This inlet consists of a pipe cut along the longitudinal axis with a grate of spacer bars to form slot openings. This type of inlet is acceptable for use, although not depicted on the standard sheets.

10/22/09

8.7.3.2

HIGHWAY DRAINAGE

8-71

3.Combination inlet. This inlet consists of both a curb-opening (depicted as the curb box on Standard Sheet 655-05) and a grate placed in a side-by-side configuration, and is recommended for gutter locations where non-mountable or mountable curb is proposed because of the added capacity offered by the curb opening should the grate become clogged. Three sizes of cast frames (FI, F2, and F3) are available. Each size is available with either a mountable or unmountable cast curb box, both of which are also illustrated on the standard sheet. 8.7.4.2 Inlet Selection The predominant types of inlets used by the Department are the grate inlet and the combination inlet. The curb-opening inlet and the slotted inlet are used less often. 1. Grate Inlets. Parallel bar grate inlets without the cross bars have superior hydraulic capacities and should be used in locations outside the roadway, or on highways with full or partial control of access where bicycles and pedestrians are not allowed (such as interstates, other freeways, and parkways). Bicycles and pedestrians should be accommodated on all highways with uncontrolled access by providing one of the following types of grate: a. Reticuline. This grate is superior for pedestrian and bicycle safety. b. Rectangular. Similar to parallel with cross bars. c. Parallel bar with cross bars. The cross bars shall be specified in the drainage structure table. A maximum grate opening to safely accommodate pedestrians has not been specified by the Department. Where pedestrian traffic is a concern within the roadway, sidewalks should be considered in accordance with Section 18.6 of Chapter 18. 2. Combination inlets are valuable when debris is a problem and at low points where water velocities are low. Whenever inlets are placed along curbs, the combination inlet should be used. When an inlet is placed along a short radius (less than 100 foot) curb return, it is difficult to construct a combination inlet and a grate inlet should be used. The type of grate specified should be consistent with the guidance in item 1.

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8.7.4.1

8-72

HIGHWAY DRAINAGE

8.7.4.3 Interception Capacity of Grate Inlets and Combination Inlets Inlet interception capacity is the flow intercepted by an inlet under a given set of conditions. The capacity of an inlet depends on its geometry as well as the characteristics of the gutter flow. Inlet capacity governs both the rate of water removal from the gutter and the amount of water that can enter the storm drainage system. Gutter flow that is not intercepted by an inlet is termed carryover, bypass, or run-by. Inlet interception capacity of the grates discussed in Section 8.7.4.1 have been investigated by the FHWA. The results of this investigation are reported in Volumes 1 through 4 of the "Bicycle-Safe Grate Inlets Study". The references in Section 8.7 contain formulas and charts, and software is available for use to determine inlet capacity. A. Interception Capacity of Grate Inlets and Combination Inlets on Continuous Grade The interception capacity of grate inlets and combination inlets is considered to be the same when they are placed on a continuous grade operating under roadway depth and spread criteria. The added capacity offered by the curb opening is ignored during design. The interception capacity (Qi) of a grate inlet on grade is based on the efficiency of the grate (E) and the total gutter flow (Q). The efficiency of an inlet is the percent of total flow that the inlet will intercept. The efficiency of an inlet changes with changes in cross slope, longitudinal slope, total gutter flow, and to a lesser extent, pavement roughness. B. Interception Capacity of Grate Inlets and Combination Inlets In Sag Locations A grate inlet operates as a weir up to about a 0.4 ft depth of water over the grate and as an orifice for depths greater than 1.4 ft. The interception capacity of the combination inlets shown on the standard sheets is essentially equal to that of a grate inlet in weir flow. Between 0.4 ft and 1.4 ft, a transition from weir to orifice flow occurs. Inlets located in a roadway sag will operate as a weir (a defined discharge vs depth relationship exists). When inlets are placed in a ditch sag outside the roadway, the inlet may operate as an orifice if sufficient depth is allowed to develop over the inlet. 8.7.4.4 Inlet Locations The location of inlets is determined by geometric controls which require inlets at specific locations, the use and location of flanking inlets in sag vertical curves, and the criterion of spread on the roadway. In addition, providing access for storm drain maintenance may be considered at this time even though the storm drains have not been sized. Generally, an inlet should be provided every 300 ft for pipes less than or equal to 24 inches in diameter, 400 ft for pipes 27 to 36 inches in diameter, and 500 ft for pipes 42 to 54 inches in diameter. Inlets may be spaced farther apart when flow velocity in the storm drain will provide for the transport of suspended solids and thus be self cleaning. As this is primarily a maintenance consideration, a recommendation from the Regional Maintenance Group should be considered.

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8.7.4.3

HIGHWAY DRAINAGE
The following should be obtained or prepared to aid in inlet location design:

8-73

1. A plan to delineate the drainage areas. The contributary areas and the corresponding runoff coefficients for each proposed inlet should be shown on a small scale plan (preferably at 1=200 or 1=500 scale). If the contributing areas are within the roadway section, then large scale plans (1=20 or 1=40) should be sufficient. If the contributing drainage areas extend beyond the plan limits, other maps should be used where available or estimated extensions should be drawn on the plans to show these extended contributing drainage areas. 2. Profile. 3. Typical sections. 4. Superelevation diagrams. A. Geometric Controls There are a number of locations where inlets should be placed without regard to the contributing drainage area. These inlets should be marked on the plans prior to any computations regarding discharge, spread, inlet capacity, or bypass. Examples of such locations are listed as items 1 through 4 below. 1. Roadway Low Points or Sag Vertical Curves. In curbed areas where crosssectional transition zones occur, it may be necessary to prepare curbline profiles in order to determine actual low point locations. See Section B below for information on flanking inlets. Up-grade of intersections, and major driveways to intercept gutter flow before it reaches these areas. The depth of gutter flow shall not overflow a driveway opening when the driveway's grade descends from the gutter. The typical driveway section can usually be designed so as to allow reasonable gutter depth, preventing the necessity of installing an excessive number of inlets to maintain shallow flow past the driveway opening. 3. Up-grade of pedestrian crosswalks, to intercept gutter flow before it reaches them. Zero by-pass need not be attained as it is unlikely that significant pedestrian movement will occur during peak rainfall. To comply with ADA requirements, gutter inlets shall not be placed in crosswalks or curb ramp openings. Up-grade of cross slope reversals. When cross slope transitions occur on very flat profiles or when they occur at crest and sag vertical curves, intermediate low points may exist. These low points are best handled through adjustment in transition length, but occasionally will require inlets. Inlets should be located to intercept the gutter flow before the transition, and the cross slope becomes too flat for efficient pick up. This is done to reduce the water flowing across the roadway to prevent icing in the winter and hydroplaning during warmer temperatures. The curb line profiles of all transitions should be carefully plotted when these conditions are anticipated.

2.

4.

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8.7.4.4

8-74

HIGHWAY DRAINAGE

B. Inlets in Sag Locations When a sag vertical curve in a curbed section connects a negative grade with a positive grade, inlets should be placed with one at the low point and one at each side of this point. The inlets at each side are known as flankers. The purpose of the flanking inlets is to act in relief of the inlet at the low point if it should become clogged or if the design spread is exceeded. Flanking inlets should be located so that they will function before water spread exceeds the spread criteria provided in Section C below for inlets on grade. C. Inlet Spacing on Continuous Grades Spread is the criterion used for locating inlets between those required by geometric or other controls. Spread and puddle depth criteria are established to protect the traveling public. Spread should not encroach beyond one half the width of the right most travel lane for all functional classifications of highways except for Interstates and other freeways with shoulders. Spread should be limited to the shoulder of Interstates and other freeways. Puddle depth should be 0.5 inches less than the curb height regardless of functional classification. The following should be considered regarding the spread criteria. increased or decreased as deemed necessary: Spread should be

1. Gutter flow can utilize the full parking lane or shoulder width because these typical section elements are outside the travel lane. 2. The half lane flooding criteria can be very restrictive when the typical section does not include parking lanes or shoulders. Highways without parking lanes or shoulders have inherent traffic constraints. Consideration should be given to the effects of half lane flooding relative to inlet spacing and drainage system cost. 3. Highways with a design speed greater than 40 mph will have a higher potential for hydroplaning if travel lanes are covered with water. When the spread criteria is exceeded, it should be noted and explained in the Drainage Report. Inlet spacing necessary to meet the spread and puddle depth criteria should not be misused. These are maximum flooding criteria and when used in an average parking lane or wide shoulder could result in considerable by-pass. A design which allows considerable by-pass upstream should not result in the need to place numerous inlets near the low point to intercept the remaining stormwater. The interception capacity of the upstream inlet will define the initial spread. As flow is contributed to the gutter section in the downstream direction, spread increases. The next downstream inlet is located at the point where spread in the gutter reaches the design spread, or a value less than the design spread to control the amount of water flowing to the sag. Therefore, the spacing of inlets on a continuous grade is a function of the amount of upstream bypass flow, the tributary drainage area, and the gutter geometry.

7/30/10

8.7.4.4

HIGHWAY DRAINAGE

8-75

A summary of the steps provided in the references for manually determining inlet spacing is presented below to illustrate the design process for spacing inlets on a continuous grade. Step 1. As discussed in Section 8.7.4.4.A, mark on a plan the location of inlets which are necessary without regard to the contributing drainage area. Step 2. Start at a high point on the roadway grade, at one end of the job if possible, and work towards the low point. Then begin at the next high point and work downgrade toward the same low point. Step 3. Select a trial drainage area approximately 300 ft to 500 ft long below the high point for the location of the first proposed inlet, outline the area on the plan, and describe the inlet's location (e.g., by number and station). Include any area that may drain over the curb and onto the roadway. As previously mentioned, the flow from these areas desirably should be intercepted before it reaches the roadway. Compute the trial drainage area and calculate the flow in the gutter using the rational method and the rational equation. As previously discussed in Section 8.3.2.4.A, values for the following additional variables will have to be established in order to calculate the flow: The runoff coefficient (C), or the weighted runoff coefficient (Cw) for the trial drainage area (A). The Tc for inlet spacing. This is the time required for water to flow from the hydraulically most distant point of the unique drainage area contributing only to that inlet. Typically, this is the sum of the times required for water to travel overland to the pavement gutter and along the length of the gutter between inlets. When the Tc to the inlet is less than 5 min., a minimum Tc of 5 min. shall be used. In the case of a constant roadway grade and relatively uniform contributing drainage area, the Tc for each succeeding inlet may be assumed to be constant. The rainfall intensity. This is determined from an IDF curve using the Tc and the design frequency.

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8.7.4.4

8-76

HIGHWAY DRAINAGE

Step 4. Determine the spread (T), and depth of water at the curb (d), based on the gutter capacity relationship shown in Section 8.7.3.2. As previously discussed, this relationship requires the following input variables: Q, determined in step 3 above. For the first inlet in a series, the flow to the inlet is the same as the total gutter flow since there was no previous bypass flow (Qb). S, the gutter's longitudinal slope at the inlet, determined from the roadway profile. Sx, the gutter's cross slope, determined from the cross section. n, manning's roughness coefficient, determined from tables in the references based on the gutter's material. Compare the calculated T and d with the criteria. If the calculated T and d is less than or close to the criteria, continue with step 5, otherwise, increase or decrease the length to the inlet and repeat steps 3 and 4 until appropriate values for T and d are obtained. Step 5. Select the inlet type (discussed in Section 8.7.4.2) and dimensions (e.g. width (W) and length (L), and calculate the flow intercepted by the grate (Qi). Qi was discussed in Section 8.7.4.3 and Section 8.7.4.3.A. Step 6. Calculate the bypass flow (Qb). Qb is the total gutter flow (step 3), within the constraints established by step 4, minus the flow intercepted by the grate (step 5). Step 7. Proceed to the next inlet down the grade. As in step 3, select a trial drainage area approximately 300 ft to 400 ft below the previous inlet, and calculate the flow. The flow between inlets is termed incremental flow. Step 8. Determine the total gutter flow by adding the incremental flow in the gutter from the area between the two inlets (step 7) to the bypass flow from the previous upstream inlet (step 6). Step 9. Determine T and d, and compare to the criteria (step 4). If T or d violate the criteria, adjust the drainage area selected in step 7 and recompute the incremental flow, and total flow (step 8) until T and d are within the design criteria. Step 10. Select the inlet type and dimensions, and calculate Qi (step 5). Calculate Qb (step 6). Step 11. Repeat steps 7 through 10 for each subsequent inlet down to the low point. The low point should be designed as discussed in Section 8.7.4.4.B.

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8.7.4.4

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8.7.5 Storm Drains Storm drains convey stormwater which is intercepted by the inlets, to an outfall where the stormwater is discharged to the receiving waters. The storm drainage system consists of differing lengths and sizes of storm drain connected by drainage structures. A section of storm drain which connects one drainage structure to another is often termed a segment or run. Sections of storm drain in series are often referred to as the trunk line. 8.7.5.1 Storm Drain Design Criteria A. Hydraulic Criteria Pipe size, the velocity of water, pipe slope, and the hydraulic gradeline are the hydraulic criteria which will influence storm drain design. 1. Size. Pipe shall be sized no larger than necessary to minimize material and trenching costs. The minimum size pipe shall be 12 inches to facilitate self cleaning. 2. Velocity. 3 ft./s is the minimum velocity recommended to prevent sediment deposition. Significant drops in velocity in downstream storm drains should be avoided due to the likelihood of sediment deposition. 3. Slope. Where possible, pipe should be designed using grades which parallel the roadway grade to minimize excavation, sheeting, and backfill. The slope specified should satisfy the velocity criteria and will be controlled by the hydraulic analysis. 4. Hydraulic gradeline (HGL). The HGL is a line coinciding with the level of water under open channel flow conditions. In a storm drain flowing under pressure, the HGL is the level to which water would rise in a vertical tube at any point along the pipe. The HGL should be calculated throughout the system and the water level should be kept a minimum of 8 in. below the top of grate elevation at each drainage structure. B. Pipe Criteria Storm drain pipe is available in a number of materials, shapes, and sizes. The materials recommended for use in a storm drainage system are reinforced concrete, steel, aluminum, and polyethylene. Circular storm drains are preferred. The size and material specified should satisfy the hydraulic criteria in Section 8.7.5.1.A, in addition to the pipe criteria recommended in items 1 through 3. 1. Design Life . The design life shall be 70 years.

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2. Anticipated Service Life. The anticipated service life for concrete, aluminum, and polyethylene is 70 years. The anticipated service life for steel (with and without additional coating) in Zones I & II is as shown in Table 8-10. For the purpose of determining anticipated service life, metallic coated (galvanized) pipe is not considered to have an additional coating. All other options are considered additional coatings. Table 8-10 Anticipated Service Life, in years, for Steel (with and without additional coating) 1
Gauge Metallic Coated (Galvanized) Metallic Coated Metallic Coated (Aluminum Coated (Galvanized) w/ Fully Paved 4 - Type 2) 2 & Metallic Coated (Galvanized) w/ Paved Invert 3 707-02 707-02 Metallic Coated (Galvanized) w/ Polymer Coated 5 Metallic Coated (Galvanized) w/ Polymer Coated and Paved Invert 6 707-02 72 70 79 69 84
1. The anticipated service life for steel pipe used in a storm drainage system is based on the Zone I, 2 mil per year, metal loss rate. This rate applies in Zone II only when all drainage is received from paved surfaces exclusively. When storm drainage systems are located in Zone II and these systems receive open drainage or bed loads other than ordinary road debris, use the anticipated service life values for open systems (culverts) in Zone II - see Section 8.6.2.2, Table 8-7. Anticipated service lives are not shown for options which do not meet the criteria. 2. Aluminum Coated - Type 2 pipe is expected to have the same anticipated service life as metallic coated (galvanized) pipe with a paved invert.

707-02 16 14 12 10 8

707-02

80 74 94

84 99

94

3. Additional coating adds 25 years to the anticipated service life of galvanized steel pipe. 4. Additional coating adds 30 years to the anticipated service life of galvanized steel pipe. 5. Additional coating adds 25 years to the anticipated service life of galvanized steel pipe. 6. Additional coating adds 40 years to the anticipated service life of galvanized steel pipe.

3. Structural Criteria. Refer to Section 8.6.2.3.A for the maximum and minimum height of fill limitations for these materials.

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8.7.5.2 Placement and Utilities Generally, trunk lines should be placed under the parking lanes, shoulders, or just inside the curb line to leave the sidewalk area available for existing, relocated, or future utilities. When a highway is being widened, twin trunk lines may be used to avoid repeated roadway crossings and disruption to traffic, with the resultant increase in maintenance of traffic costs. Generally, the trunk line should be placed below the lowest point on the typical section with branch lines connecting other low points of the typical section. Deep cuts and conflicts with utilities shall be avoided where possible. Some instances (see preceding paragraph) may dictate a trunk line on both sides of the roadway with few or no laterals, while other instances may call for a single trunk line. Such features are usually a function of economy, but may be controlled by traffic disruption, utilities or other physical features. Drainage structures placed in proximity to telephone, signal or other overhead utilities may cause conflicts. Construction sequencing should be considered if a utility pole is to be relocated. If the pole is not going to be relocated, sheeting or some other method to maintain the pole in place during excavation for a drainage structure may be required. 8.7.5.3 Storm Drain Hydraulics This section discusses storm drain capacity design, headlosses, and the hydraulic gradeline (HGL). A. Storm Drain Capacity Design The hydraulic design of storm drains is based on the assumption that flow is steady and uniform, and the average velocity is constant within each run of pipe. Storm drains may be sized to operate under the principles of open channel, or pressure flow. Each flow condition has its advantages and disadvantages. Storm drains should be designed to flow nearly full (i.e., as an open channel). This approach will allow flow in addition to the design flow. A storm drain operating under pressure flow is sensitive to increases in flow, and grate displacement may occur. After the preliminary location of inlets, connecting pipes, and the outlet(s) have been determined, the discharge to be carried by each run, and the pipe size and slope required to convey this discharge should be computed. The references provide a multi-step procedure and design form for storm drain capacity design. This section discusses using the rational equation, and the storm drain capacity design. Prior to performing the hydrologic and storm drain capacity calculations, a working plan layout and profile of the storm drainage system should be prepared which establishes the location of storm drains, direction of flow, location and numbering of drainage structures and manholes, and the location of utilities (e.g., water, gas, or underground cables). After all storm drains are sized, headlosses, and the hydraulic grade line should be calculated as discussed in Sections 8.7.5.3.B and C.

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1. Storm Drain Hydrologic Calculations. Starting with the most upstream storm drain run, determine the discharge from the total contributing drainage area tributary to the inlet located at the upstream end of the storm drain run being sized. Based on this discharge, determine the minimum size storm drain as discussed in item 2 of this section. This process should be continued, run by run, to the inlet upstream of the storm drainage system outlet. The rational equation is expressed as follows for storm drain design. Q = (3CA) i / 360 The product of the runoff coefficient (C), or the weighted runoff coefficient (Cw), and the corresponding drainage area tributary to each inlet (referred to as an incremental area) upstream of the storm drain run under design (referred to as the incremental CA) is summed to get a "total CA". Using an Intensity-Duration (IDF) curve or data, the rainfall intensity (i) is based on the larger of two times of concentration (the inlet Tc, or the system Tc), or the minimum Tc of 5 min. These times of concentration are discussed below. The inlet Tc is the value associated with the inlet spacing computations (i.e., the Tc associated with the drainage area or incremental drainage area contributing flow to the inlet). The system Tc is the time for water to travel from the most remote point in the storm drainage system to the upstream end of the storm drain under consideration. The system Tc will be the same as the inlet Tc for the most upstream storm drain run. For all other runs, the system Tc is computed by adding the system Tc and the section Tc from the previous run together, to get the system Tc at the upstream end of the run under consideration. The section Tc is the travel time for water to flow through the storm drain. 2. Storm Drain Capacity Calculations. Storm drains are sized based on Manning's equation, by varying the slope and size as necessary to convey the discharge within the criteria stated in Section 8.7.5.1. The references contain charts, and software is available to determine pipe size, slope, and flow velocity. For storm drains downstream of the first run, an approximate crown drop for the downstream pipe may be calculated at this time to off-set potential energy losses. This is discussed in Section 8.7.5.3.B, item 3a. The pipe invert at the upper and lower ends of the section of pipe may also be established and recorded at this time, and are computed based on the pipe's length, slope, and minimum depth requirements (e.g., minimum height of fill, or utility conflicts).

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B. Headloss or Energy Loss

8-81

Headloss (a loss of energy) results from frictional and other disturbances which water encounters as it flows throughout the storm drainage system. The flow regime (i.e., supercritical or subcritical) within each storm drain run is used to determine those headlosses which are included in the HGL calculation. Prior to computing the HGL, energy losses in each storm drain run, and the drainage structures must be estimated. (The terms drainage structure, manhole, and access hole should be considered synonymous in this section.) Headloss due to pipe friction (often termed major losses) represents most of the losses in the system and is caused by the interior roughness of the pipe. If flow in the outflow storm drain is supercritical, the friction loss is not included in the headloss calculation. Headloss due to the other disturbances are termed velocity head losses, or minor losses, and are caused by water's turbulence as it enters and leaves the storm drainage system and the various drainage structures. Access hole losses do not apply when the flow in two successive pipes is supercritical (i.e., flow is supercritical in the inflow pipe and the outflow pipe). Other minor losses (bend losses, transition losses, and junction losses) are discussed in the references but are not considered in this chapter. Bend losses are not considered because each storm drain should be a straight run of pipe from one drainage structure to another. Changes in horizontal alignment should be made at a drainage structure. Transition losses occur when the storm drain changes size within a pipe run. No standard pay items exist for transition sections and they should be avoided. A drainage structure should be used when a change in pipe size is necessary. A pipe junction is the connection of a lateral pipe to a larger trunk pipe without the use of a drainage structure. There are no standard pay items for junctions and pipe connections should be made at a drainage structure. Items 1 through 3 discuss exit loss, pipe friction loss, and inlet and access hole losses and their calculation. 1. Exit loss, Ho. The exit loss is a function of the change in velocity at the outlet of the last downstream storm drain. For a sudden expansion, such as an endwall, the exit loss is:

V 2 V 2 H o = 1.0 o d , where : 2g 2g
Vo = average outlet velocity, ft./s Vd = channel velocity downstream of outlet, ft./s g = 32.2 ft./s2 Note that when Vd = 0, as in a reservoir, the exit loss is one velocity head. For part-full flow where the pipe outlets in a channel with moving water, the exit loss may be reduced to virtually zero.

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2. Friction slope (Sf) and pipe friction loss (Hf). The friction slope is the hydraulic gradient for that run or length of pipe (L). The hydraulic gradient is the slope of the hydraulic gradeline. Hf, in meters, is computed as follows: Hf = SfL Hydraulic Design Series No. 3 contains charts which may be used to calculate the friction slope for pipes flowing nearly full. 3. Inlet and Access Hole Losses. HEC 22 discusses inlet and access hole losses. a. Preliminary Estimate. HEC 22 presents an approximate method for computing minor losses at drainage structures (Hah). The method involves multiplying the velocity head of the outflow pipe (Vo2/2g) by a headloss coefficient (Kah). Values of Kah are provided in Table 8-11. Hah = (Kah)(Vo2/2g) Table 8-11 Headloss coefficients Structure Configuration Inlet - straight run Inlet - angled through 90E 60E 45E 22.5E Manhole - straight run Manhole - angled through 90E 60E 45E 22.5E Kah 0.5 1.50 1.25 1.10 0.70 0.15 1.00 0.85 0.75 0.45

This method can be used to estimate the initial pipe crown drop across a drainage structure to offset energy losses at the structure. The crown drop is then used to establish the appropriate pipe invert elevations. This method should only be used for preliminary estimation and not for the actual design process. Similarly, a common practice is to match crowns or place the outflow pipe invert 1 in. lower than the inflow pipe invert.

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8-83

b. Energy Loss Methodology. The head loss encountered in going from one pipe to another through a drainage structure is commonly represented as being proportional to the velocity head at the outlet pipe. Using K to signify this constant of proportionality, the energy loss is approximated as K (Vo2/2g). Experimental studies have determined that when the inflow pipe invert is below the water level in the access hole, the K value can be approximated as: K = Ko CD Cd CQ CP CB, where: K Ko CD Cd CQ Cp CB = adjusted loss coefficient = initial head loss coefficient based on relative manhole size = correction factor for pipe diameter (pressure flow only) = correction factor for flow depth (non-pressure flow only) = correction factor for relative flow = correction factor for plunging flow = correction factor for benching These coefficients are discussed in items 1 through 6 below. For cases where the inflow pipe invert is above the access hole water level, the outflow pipe will function as a culvert, and the access hole loss and the access hole HGL can be computed using procedures found in HDS 5. If the outflow pipe is flowing full or nearly full under outlet control, the access hole loss (due to flow contraction into the outflow pipe) can be computed by setting K, in the equation provided in item 3a on page 8-82, equal to ke, provided in Table 12 of HDS 5. If the outflow pipe is flowing under inlet control, the water depth in the access hole should be computed using the inlet control nomographs in HDS 5. 1. Relative Manhole Size. Ko is estimated as a function of the relative manhole size and the angle of deflection between the inflow and outflow pipes. Ko = 0.1(b/Do)(1-sin) + 1.4 (b/Do)0.15 sin , where: = the angle between the inflow and outflow pipes, degrees b = manhole diameter, ft. Do = outlet pipe diameter, ft.

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2. Pipe Diameter. CD is only significant in pressure flow situations when the ratio of the depth of water in the access hole above the outflow pipe invert (d) to the outflow pipe diameter, d/Do, is greater than 3.2. d is approximated as the level of the hydraulic gradeline at the upstream end of the outflow pipe. CD should be set equal to one for open channel flow design. CD = (Do/Di)3 , where: Do = the outflow pipe diameter, ft. Di = the inflow pipe diameter, ft. 3. Flow Depth. Cd is significant only in cases of free surface flow or low pressures, when d/Do ratio is less than 3.2. In cases where this ratio is greater than 3.2, Cd is set equal to one. Cd = 0.5(d/Do)0.6, where: d =water depth in access hole above the outlet pipe invert, ft Do = the outflow pipe diameter, ft 4. Relative Flow. CQ, is a function of the angle of the incoming flow as well as the percentage of flow coming in through the pipe of interest versus other incoming pipes, and is only applied to situations where there are 3 or more pipes entering the structure at approximately the same elevation. Otherwise, CQ = 1.0.

Qi C Q = (1 2 sin ) 1 Q o

0.75

+1

, where :

= the angle between the inflow and outflow pipes Qi = flow in the inflow pipe, ft.3/s Qo = flow in the outflow pipe, ft.3/s

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5. Plunging Flow. Cp corresponds to the effect of another inflow pipe, plunging into the drainage structure, on the inflow pipe for which the head loss is being calculated. The correction factor is only applied when h>d. Additionally, the correction factor is only applied when a higher elevation flow plunges into an access hole that has both an inflow pipe and an outflow pipe at the bottom of the access hole. Otherwise Cp =1.0.

h h d = 1 + 0 .2 Do Do

, where :

= vertical distance of plunging flow from flow line of the higher elevation inlet pipe to the center of outflow pipe, ft. d =water depth in access hole relative to the outlet pipe invert, ft. Do = the outflow pipe diameter, ft. 6. Benching. CB is obtained from Table 8-12. Benching tends to direct flows through the manhole, resulting in a reduction in headloss. For flow depths between the submerged and unsubmerged conditions, a linear interpolation is performed. Table 8-12 Correction Factors for Bench Types Bench Type Flat or depressed floor Submerged1 1.0 Unsubmerged2 1.0 0.15

Benched one-half of pipe 0.95 diameter

1. 2. pressure flow, d/Do > 3.2 free surface flow, d/Do < 1.0

Note: The Section 604 standard sheets do not refer to benching types as do the drainage publications. A flat floor should be considered similar to a drainage structure without a sump, a depressed floor should be considered similar to a sump, and a benched one-half of pipe diameter condition should be considered similar to a formed invert.

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HIGHWAY DRAINAGE

C. Hydraulic Gradeline The hydraulic gradeline (HGL) is a line coinciding with the level of flowing water at any point along an open channel, and is the last characteristic to be established relating to the hydraulic design of storm drains. When water is flowing through the pipe and there is a space of air between the top of the water and the inside of the pipe (the crown), the flow is considered as open channel flow and the HGL is at the water surface. The HGL should be below the crown of the pipe in order to maintain open channel flow conditions. An exception to this will be when the tailwater submerges the outfall outlet. As previously mentioned in Section 8.7.5.3.A, a concern with storm drains designed to operate under pressure flow conditions is that inlet surcharging and possible manhole lid displacement can occur if the HGL rises above the ground surface. As the HGL calculations are performed, frequent verification of the existence of the desired flow condition should be made. Storm drain systems can often alternate between pressure and open channel flow conditions from one run to another. Most storm drain systems are designed to function in a subcritical flow regime. In subcritical flow, pipe and drainage structure losses are summed to determine the upstream HGL levels. As previously stated in Section 8.7.5.3.B, if supercritical flow occurs, pipe and drainage structure losses are not carried upstream. When a storm drain run is identified as being supercritical, the computations are advanced to the next upstream pipe run to determine its flow regime. This process continues until the storm drain system returns to a subcritical flow regime. The references provide a multi-step procedure and design form(s) to aid in the manual calculation of the hydraulic grade line (HGL). Software will calculate the HGL for the user based on the hydraulic characteristics of the storm drainage system (e.g., tailwater elevation, flow regime in the storm drains, friction loss, access hole losses, etc.). HGL calculations begin at the outfall with the tailwater elevation, and are worked upstream taking each storm drain run and drainage structure into consideration. If the proposed system connects to an existing downstream system, the HGL calculation must begin at the outlet end of the existing system, and proceed upstream through the existing system, then upstream through the proposed system to the upstream inlet. The flowline elevation of the proposed outlet should be equal to or higher than the flowline of the receiving waters. If this is not the case, there may be a need to provide flap gates, pump, or otherwise lift the water.

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8-87

The tailwater elevation will be the greater of the water surface elevation in the receiving waters, or (dc + D)/2 + the outlet invert elevation (where dc is the critical depth, and D is the pipe diameter). These possibilities are discussed further in 1 through 3 below. 1. If the pipe outlet is submerged, the HGL at the pipe outlet is equal to the tailwater elevation. Data regarding the water surface elevation in natural channels (which serve as the receiving waters) may be determined from flood insurance studies performed for the area. 2. If the pipe outlet is not submerged, and the design is performed manually, the HGL at the pipe outlet is computed as follows: a. If the tailwater at the pipe outlet is greater than (dc + D)/2, use the tailwater elevation as the beginning HGL elevation. b. If the tailwater at the pipe outlet is less than (dc + D)/2, use (dc + D)/2 plus the outlet invert elevation as the beginning HGL elevation. 3. If the pipe outlet is not submerged, and the design is performed using software, the tailwater elevation will be calculated based on the depth of flow in the pipe and the outlet invert elevation. Once the tailwater elevation is established, the friction loss in the pipe is calculated (major loss), and added to the minor losses. These major and minor losses are added to the tailwater elevation to arrive at the HGL which is experienced just inside the inflow pipe, and is compared with the depth of flow and the crown of the inflow pipe. If the inflow pipe is submerged by the depth of water in the drainage structure, open channel flow conditions will not exist in the inflow pipe, and this depth will be used to continue calculation of the HGL upstream. If the inflow pipe is not submerged, the depth of flow in the inflow pipe is used to continue calculation of the HGL upstream. Note, at this point, a new "tailwater elevation" has been calculated for the inflow pipe (which is the outflow pipe for the upstream drainage structure). This process is repeated for each pipe in the system.

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8.7.5.4 Outfall The outfall is the point at which stormwater discharges from the storm drainage system. If used, a ditch transfers stormwater from the storm drain outlet, to the point of release, termed the receiving waters. Otherwise, the storm drain outlet discharges directly to the receiving waters. The receiving waters should be either a natural channel or a man-made facility (e.g., a stream or a storage facility). Energy dissipation (e.g., a stone apron or stone lined channel) should be considered to protect the storm drain outlet from scour, to lower the velocity of water before discharge into a natural channel, thereby minimizing the turbidity in the receiving waters, and to minimize erosion of the stream bed and banks. 8.7.6 Drainage Structures Drainage structures provide support for grate inlets, and combination inlets, and serve as a point of connection for the storm drains. Sections 8.7.6.1 and 8.7.6.2 provide general guidance regarding the type and size of drainage structure to be specified. 8.7.6.1 Types of Drainage Structures The pay items in Section 604 of the standard specifications provide a number of alternatives for drainage structures including: 1. Rectangular drainage structure. This is the preferred pay item. Rectangular drainage structures are detailed on the Section 604 Standard Sheets. 2. Rectangular drainage structure with round option. This pay item should only be selected if shape is unimportant in the design and construction of the drainage system. Placement of round structures in lieu of rectangular structures may shift the centerline of the drainage structure as well as the centerline of pipe entries. This may cause construction problems or adversely affect adjacent features. 3. Round precast manhole. This pay item should be used to provide a structure for connecting pipelines on differing alignments where a drainage structure with a grate inlet is not necessary. 4. Special drainage structure. Regions which have established special drainage structure details shall include the details in the contract documents. When a top slab is used, the top slab should be as small as possible and yet provide adequate structural stability. Concrete block and mortar structures are not acceptable due to the damage they incur from salt and highway loads.

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8-89

The following shall be specified in the Drainage Structure Table as necessary: 1. Precast drainage structures. These are preferred to cast in place by the construction industry and are usually more cost effective. Precast structures may not be economical in some Regions due to shipping costs. Contractors have the option of providing precast or cast in place drainage structures unless specified otherwise. Any requirements regarding precast versus cast in place drainage structures should be noted in the drainage structure table. 2. Scoops, formed inverts, and sumps (refer to Standard Sheet 604-02). A scoop, formed invert, or sump may be specified for the drainage structure. Each option has a specific function. A scoop should be specified for the upstream drainage structure beginning a trunk line or branch line. Formed inverts should be specified to reduce head losses and facilitate self cleaning when sumps are not specified. Sumps (termed catch basins in the references) require periodic cleaning to be effective, and may become an odor and mosquito nuisance if not properly maintained. In areas where site constraints dictate that storm drains be placed on relatively flat slopes, and where maintenance is provided, sumps can be specified to collect sediment and debris. The Regional Maintenance Group should be consulted before specifying sumps. 8.7.6.2 Size of Drainage Structures Drainage structures should be large enough to accommodate the inlet frame and grate, maintenance personnel, and connecting pipes. To avoid excessive head losses, structures should be no larger than necessary. Table 8-13 gives the inside dimensions of rectangular drainage structures (types A through U). Rectangular drainage structure types A through P utilize top slabs and accommodate a wide range of pipe sizes. Types Q through U do not utilize top slabs, are more economical, and are limited to the smaller pipe sizes. Tables 8-14 through 8-17 give the minimum internal rectangular drainage structure wall dimensions necessary for the various pipe sizes and pipe entry skew angles (). Tables 8-18 and 8-19 give the maximum size round pipe that can be accommodated by drainage structure types Q through U, also based on pipe size and . Tables 8-14 through 8-19 are based on the following relationships between , wall thickness of drainage structure (a = 8 in used), outside pipe diameter (d), and the knockout clearance (3 in max.). 1. 2. 3. 4. b = a (tan) c = d/cos Knockout opening = b + c + 6 in. knockout opening # internal wall dimension

Figure 8-7 illustrates these terms.

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Figure 8-7 Drainage Structure Pipe Entrance

Table 8-13 Inside Dimensions of Drainage Structures (Types A Through U)

STRUCTURE TYPE INSIDE DIMENSIONS (in.) WIDTH LENGTH STRUCTURE TYPE

1-4

INSIDE DIMENSIONS (in.) WIDTH LENGTH

A B C D E F G H I J K L
1. 2. 3. 4.

36 48 60 80 36 48 60 80 36 48 60 80

36 36 36 36 48 48 48 48 60 60 60 60

M N O P Q R S T U

36 48 60 80 34 (33) 34 (33) 24 (24) 26 (27) 34 (34)

80 80 80 80 36 (36.5) 46 (46.5) 32 (32.5) 42 (42.5) 38 (38)

Dimensions are taken from the Section 604 Standard Sheets. Surface Flow is always parallel to the length of a structure. Structures larger than 60 in. x 60 in. shall be designed on a case by case basis. Two sets of dimensions are shown for structure types Q through U. Dimensions outside the parenthesis are for precast structures, dimensions inside parenthesis are for cast in place structures.

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Table 8-14 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Concrete and Smooth Interior Corrugated Polyethylene 1)
Skew Angle 0 7.5 15 22.5 30 37.5 45 1.

Nominal Inside Pipe Diameter

12 36 36 36 36 36 36 48 15 36 36 36 36 36 48 48 18 36 36 36 36 48 48 60 21 36 36 36 48 48 48 60 24 36 48 48 48 48 60 60 30 48 48 48 60 60 60 80 36 60 60 60 60 80 80 80 42 60 60 80 80 80 80 Special Design 48 80 80 80 80 80 54 80 80 80 80 60 80 80

Dimensions are in inches.

Table 8-15 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Metal) 1
Skew Angle 0 7.5 15 22.5 30 37.5 45 1.

Nominal Inside Pipe Diameter

12 36 36 36 36 36 36 36 15 36 36 36 36 36 36 48 18 36 36 36 36 36 48 48 21 36 36 36 36 48 48 60 24 36 36 36 48 48 48 60 30 48 48 48 48 48 60 80 36 48 48 48 60 60 80 80 42 60 60 60 60 80 80 80 48 60 60 80 80 80 80 Special Design 54 80 80 80 80 80 60 80 80 80 80

Dimensions are in inches.

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Table 8-16Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Horizontal Elliptical Concrete Pipe Dimensions 1
Skew Angle 0 7.5 15 22.5 30 37.5 45 1. Pipe Rise x Span 19x30 48 48 48 60 60 60 80 22x34 48 48 60 60 60 80 80 24x38 60 60 60 60 80 80 27x42 60 60 60 60 80 80 29x45 60 80 80 80 80 32x49 80 80 80 80 80 Special Design 34x53 80 80 80 80

Dimensions are in inches.

Table 8-17 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Metal Pipe Arch Dimensions 1
Skew Angle

Pipe Span x Rise

17x13 36 36 36 36 36 48 48 21x15 36 36 36 36 48 48 60 24x18 36 36 36 48 48 48 60 28x20 36 48 48 48 48 60 60 35x24 48 48 48 60 60 60 80 42x29 60 60 60 60 80 80 80 49x33 60 60 80 80 80 80 Special Design 57x38 80 80 80 80 80 60x46 80 80 80 80

0 7.5 15 22.5 30 37.5 45 1.

Dimensions are in inches.

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8-93

Table 8-18 Maximum Size Round Pipe (Concrete and Smooth Interior Corrugated Polyethylene) and Skew Angle For Type Q Thru U Drainage Structures1,2
Skew Angle Q Width 34 (33) 0 7.5 15 22.5 30 37.5 45 1. 2. 21 18 18 15 12 Length 36 (36) 24 24 21 18 15 12 R Width 34 (33) 21 18 18 15 12 Length 46 (46) 30 30 30 24 24 21 15 S Width 24 (24) 12 12 Length 32 (32) 21 18 18 15 12 T Width 26 (26) 15 12 12 Length 42 (42) 30 24 24 24 21 21 12 U Width 34 (34) 21 21 18 15 15 15 Length 38 (37) 24 24 21 18 15 15

Dimensions are in inches. Dimensions outside the parenthesis are for precast structures, dimensions inside parenthesis are for cast in place structures.

Table 8-19 Maximum Size Round Pipe (Metal) and Skew Angle For Type Q Thru U Drainage Structures1,2 Skew Angle Q
Width 34 (33) 0 7.5 15 22.5 30 37.5 45 24 24 21 18 15 12 Length 36 (36) 24 24 24 21 18 15 12

R
Width 34 (33) 24 24 21 18 15 12 Length 46 (46) 36 36 30 30 24 24 18

S
Width 24 (24) 15 15 12 Length 32 (32) 24 21 21 18 15 12

T
Width 26 (26) 18 15 15 12 Length 42 (42) 30 30 30 24 24 18 15

U
Width 34 (34) 24 24 21 18 15 12 Length 38 (37) 24 24 24 21 18 15 12

1. Dimensions are in inches. 2. Dimensions outside the parenthesis are for precast structures, dimensions inside parenthesis are for cast in place structures.

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8.7.7

Storage Facilities

Stormwater storage facilities are often referred to as either detention or retention facilities. For the purposes of this section, detention facilities are those that are designed to reduce the peak discharge and only detain runoff for a short period of time. These facilities are designed to completely drain after the design storm has passed. Recharge basins are a special type of detention basin designed to drain into the groundwater table. Two types of recharge may be proposed - surface or subsurface. Surface recharge basins should be designed in accordance with "Design Construction and Maintenance of Recharge Basins", Geotechnical Design Procedure GDP-8. Subsurface recharge can be accomplished through the use of leaching basins. "Design of Leaching Basins", Research Report 157, should be used as a source of information regarding leaching basin design. Retention facilities provide for storage of stormwater runoff, and release via evaporation and infiltration only. Retention facilities which provide for slow release of stormwater over an extended period of several days or more are referred to as extended detention facilities. In addition to extended detention facilities, retention facilities include infiltration basins, and swales. The need for and type of storage facility selected should be based on the following: 1. Site conditions. If a natural watercourse or body of water is not within reasonable proximity of the outfall, a recharge basin, leaching basin, or retention type storage facility should be provided to receive the collected stormwater. The specific type of storage facility selected should be based on right of way constraints, soil permeability, and Regional experience.
2. The legal aspects of highway drainage. The collection and diversion of surface waters

may result in discharges which create a flooding problem which did not exist prior to the project. A storage facility should be provided to mitigate the increased discharge resultant from the storm drainage system.
3. Environmental considerations. SPDES/NPDES permitting requirements may warrant a

retention type storage facility for peak flow attenuation, and first flush considerations. The decision to provide a storage facility and the type of retention facility proposed should be consistent with the guidance in Section 8.8.

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HIGHWAY DRAINAGE

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8.7.8 Shared Costs Municipally collected storm water may be carried in the State highway drainage system if the municipality shares in the added cost of the state system resultant from municipal participation. The method used to calculate the Municipality's and State's share of the drainage work is based on funding (State versus Federal). The method outlined in Section 8.7.8.1 shall be used for 100% State funded drainage work. Federally funded work shall be calculated using one of the two methods outlined in Section 8.7.8.2. (Note: The methodologies presented in these sections applies to cost only. Refer to Chapter 21, Section 21.5, for guidance regarding establishment of quantities for entry into TrnsPort Estimator and the establishment of Engineering "shares".) Refer to Chapter 14 of this manual for guidance on, and an example of, the necessary resolution to be obtained by the Region from the municipality. 8.7.8.1 Additional Cost Method - State Funding The municipality's share of the estimated cost of the drainage system shall be based on the additional cost of pipe, excavation, drainage structures, and any other pertinent items which contribute to the added cost of the drainage system to accommodate the municipality. 8.7.8.2 Contributory Flow or Separate Flow - Federal Funding The Municipality's share in the cost of the drainage system should be calculated using either of the two methods presented in Sections A and B. A. Contributory Flow The formulas contained in Table 8-20 shall be used to calculate the municipality's share, and the State's share, of the drainage system when using this method: Table 8-20 Contributory Flow Formulas Municipality's Share 1 State's Share
1

Q1 TotalCost Q1 + Q 2

Q2 TotalCost Q1 + Q 2

1. Q1 = Municipality Flow, Q2 = State Highway Flow

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8-96 B. Separate Flow

HIGHWAY DRAINAGE

The formulas contained Table 8-21 shall be used to calculate the municipality's share, and the State's share, of the drainage system when using this method: Table 8-21 Separate Flow Formulas Municipality's Share 1 State's Share
1

X Z X +Y

Y Z X +Y

1. X = Estimated Cost of Separate Municipal System, Y = Estimated Cost of Separate State System, Z = Total Estimated Cost of Combined System 8.7.9 Maintenance Existing storm drainage systems should be reviewed to determine the need to clean the drainage structures and storm drains. Section 203 of the Standard Specifications contains a pay item for cleaning storm drains, and a separate pay item for cleaning drainage structures and manholes.

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8.7.8

HIGHWAY DRAINAGE
8.8 EROSION AND SEDIMENT CONTROL AND STORMWATER MANAGEMENT

8-97

Various state and federal laws and regulations, including the State Environmental Quality Review Act (SEQRA), the National Environmental Protection Act (NEPA), and the Clean Water Act (CWA) require that erosion and sediment control be addressed as part of project development. The Federal Highway Administration (FHWA) requires that all federally-aided projects involving clearing and grubbing, grading, or excavation have formal erosion and sediment control plans (E&SC) included in the Plans, Specifications, and Estimate (PS&E). Additionally, erosion and sediment control is a concern to regulatory and resource agencies in the protection of threatened and endangered species; wild, scenic and recreational rivers; fish and wildlife resources; the control of non-point source pollution; the protection of coastal and inland waterways resources, and the protection of surface drinking water supply sources. It is a violation of State Water Quality Standards to cause turbidity that will result in a substantial visible contrast to natural conditions. On December 8, 1999, the United States Environmental Protection Agency (EPA) issued a Final Rule dealing with stormwater discharges to surface waters of the United States, including federal jurisdictional wetlands. Coverage under a non-point source State Pollutant Discharge Elimination System (SPDES) General Permit must be sought from the New York State Department of Environmental Conservation (NYSDEC) if any project involves a cumulative disturbance of 1.0 acre or more of non-Tribal Indian land during the life of the contract by clearing and grubbing, grading, or excavation pursuant to a NYSDEC and New York State Department of Transportation (NYSDOT) Memorandum of Understanding (DEC/DOT MOU, 2003). If a project will disturb 1.0 acre or more on Tribal Indian lands, coverage under a National Pollutant Discharge Elimination System (NPDES) Construction General Permit must be sought from EPA. 8.8.1

Determining the Need for an Erosion and Sediment Control Plan and SPDES/NPDES Stormwater Permits

The need for an erosion and sediment control (E&SC) plan, and coverage under SPDES/NPDES general permits, should be determined by following the guidance provided in steps 1 and 2 below. These steps are consistent with EPM Chapter 4.3. Step 1. Determine if the project involves clearing and grubbing, grading, excavation or fill. If the project does not involve clearing and grubbing, grading, excavation or fill, an E&SC plan is not necessary. If the project does involve clearing and grubbing, grading, excavation or fill, an E&SC plan shall be prepared consistent with the guidance in Section 8.8.2. Go to step 2 to determine the need for coverage under SPDES/NPDES general permits.

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8-98

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Step 2. Determine if the project is subject to and requires coverage under the SPDES General Permit for Stormwater Discharges from Construction Activity, Permit No. GP-0-08-001 from the NYSDEC, or a NPDES Construction General Permit from the EPA, or both. a. A project is subject to and requires coverage under a NYSDEC SPDES General Permit if: 1. The project involves a cumulative disturbance of 1.0 acre or more of nonTribal Indian Land during the life of the contract by clearing and grubbing, grading, excavation or fill (excluding the area involved in routine maintenance activities, as per Appendix B, Section 2.3.1), and 2. The project could involve a stormwater discharge (for example, runoff from the 100-year, 24-hour storm event) to surface waters of the United States (see definition on next page), either indirectly through stormwater sewers or directly to waterways, and 3. The stormwater discharge is from sources other than a storm sewer covered by an existing SPDES (point source) permit. If the project requires coverage under the NYSDEC SPDES General Permit, refer to Section 8.8.3 and Appendix B. A project is not eligible for coverage under the NYSDEC SPDES General Permit after June 29, 2009 if there is a disturbance of two or more acres of land with no existing impervious cover and the Soil Slope Phase is identified as an E or F in the USDA County Soil Survey, and if these disturbances are within watersheds of AA or AA-s waterbodies. b. A project is subject to and requires coverage under an EPA NPDES Construction General Permit if the project: 1. Will result in a disturbance of 1.0 acre or more total land area on Tribal Indian lands, and 2. Involves a stormwater discharge to surface waters of the United States, either indirectly through stormwater sewers or directly to waterways. If the project requires coverage under a NPDES Construction General Permit, refer to section 8.8.4.

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8.8.1

HIGHWAY DRAINAGE

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Definition - "Waters of the United States" means: 1. All waters which are currently used, were used in the past, or may be susceptible to use in interstate or foreign commerce, including all waters which are subject to the ebb and flow of the tide; 2. All interstate waters, including interstate "wetlands"; 3. All other waters such as interstate lakes, rivers, streams (including intermittent streams), mudflats, sandflats, wetlands, sloughs, prairie potholes, wet meadows, playa lakes, or natural ponds, the use, degradation, or destruction of which would affect or could affect interstate or foreign commerce including such waters: a. which are or could be used by interstate or foreign travelers for recreational or other purposes; b. from which fish or shellfish are or could be taken and sold in interstate or foreign commerce; or c. which are used or could be used for industrial purposes by industries in interstate commerce; 4. All impoundments of waters otherwise defined as waters of the United States under this definition; 5. Tributaries of waters identified in items 1 through 4 of this definition; 6. The territorial sea; 7. Wetlands adjacent to waters (other than waters that are themselves wetlands) identified in items 1 through 6 of this definition. Waste treatment systems, including treatment ponds or lagoons designed to meet the requirements of the Clean Water Act (CWA) are not waters of the United States. This exclusion applies only to man-made bodies of water which neither were originally created in waters of the United States (such as disposal areas in wetlands) nor resulted from the impoundment of waters of the United States.

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8.8.2 Erosion and Sediment Control Erosion and sediment control is any temporary or permanent measure taken to reduce erosion, control siltation and sedimentation, and ensure that sediment-laden water or wind does not leave the site. Guidelines for providing erosion and sediment control are discussed in Section 8.8.2.1. The E&SC plan resulting from these guidelines is discussed in Section 8.8.2.2. Note: The guidance in Sections 8.8.2.1 and 8.8.2.2 is based on Attachment 4.3.A of EPM Chapter 4.3 8.8.2.1 Erosion and Sediment Control Guidelines There are a number of publications and sources of guidance regarding erosion and sediment control and the preparation of an E&SC plan. This section discusses erosion and sediment control guidelines within the context of the NYS Standards and Specifications for Erosion and Sediment Control. Section 8.8.2.2 discusses the preparation of the E&SC plan. The following is recommended guidance: 1. 2. Preserve the existing vegetative groundcover on the project site as much as possible to protect the soil surface and limit erosion. Sediment control practices/measures, where necessary, should be designed to protect the natural character of rivers, streams, lakes, coastal waters, wetlands, or other waterbodies on-site and minimize erosion and sedimentation off-site from the start of land disturbance activities to establishment of permanent stabilization. a. The off-site impacts of erosion and sedimentation related to land clearing, grading, and construction activities should not be any greater during and following land disturbance activities than under pre-development conditions. b. Pursuant to Part 700 et seq. of Title 6, Chapter X of NYCRR: 1. Toxic and other deleterious substances shall not be discharged in amounts that will adversely affect the taste, color or odor thereof, or impair the waters of the state for their best (classified) usages, 2. Suspended, colloidal, and settleable solids shall not be discharged in amounts that causes substantial visible contrast to natural conditions, or causes deposition or impairs the waters for their best (classified) usages. Stream reaches on-site and downstream of construction areas should not have substantial visible contrast relative to color, taste, odor, turbidity, and sediment deposition from the reaches upstream of the construction area. Impacts such as these which result from construction or developmental activities are a violation of Part 700 Water Quality Standards and may be subject to enforcement actions.

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8.8.2

HIGHWAY DRAINAGE

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Erosion and sediment control measures shall be constructed in accordance with an E&SC plan, established during design phases I through VI, which is included in the contract documents. The plan shall not be left for construction personnel to develop. Refer to Section 8.8.2.2 for specific elements of the E&SC plan. 8.8.2.2 Erosion and Sediment Control Plan The complexity of the E&SC plan and the types, locations, and quantities of various erosion and sediment control measures will be dependent upon the: 1. 2. 3. Type of project (new construction; reconstruction; resurfacing, restoration, and rehabilitation (3R), etc.), Scope of the project (for example, 3R projects with resurfacing and minimal disturbance, versus a 3R project which disturbs a significant amount of soil during the construction of new or lengthened turning lanes), and Natural and man-made resources requiring protection.

The E&SC plan developed by the design team is intended to supplement, not replace, Section 209 of the Standard Specifications. An appropriately developed and detailed plan will help the Contractor understand the Department's expectations concerning the work required under Section 209 and should assist the Engineer-In-Charge (EIC) in assuring that erosion and sediment control is adequately provided. Consistent with Sections 209 and 107-12 of the Standard Specifications, EICs will still need to obtain the Contractor's schedule of operations and plans for temporary and permanent erosion and sediment control measures not otherwise addressed in the Departments E&SC plan. Note: The Contractor has to identify erosion and sediment control measures for their staging areas, borrow areas and work operations that the designer could not have foreseen in design. Contract provisions for these erosion and sediment control measures are included in Section 100 of the Standard Specifications. Payment should not be provided under Section 209.

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The design team should include an E&SC plan in the contract documents which identifies and shows the following, as appropriate: 1. The location of sensitive on-site and adjacent off-site natural and man-made resources requiring protection, including but not limited to, surface waterbodies, wetlands, special wildlife habitat areas, existing trees and other vegetation to remain, adjacent residential and commercial properties and public recreation facilities. When necessary, protection should include delineation with a fencing type barrier and signing to keep construction equipment from entering these zones, and/or measures such as silt fence, to protect the resources from sedimentation. Note: No standard specification exists for fencing type barrier. Item No. 615.0402 08 is an acceptable special specification which covers this work. Provisions for silt fence are contained in Section 209 of the Standard Specifications. The location of temporary and permanent structural and vegetative measures to be used for soil stabilization, runoff control, and sediment control for each stage of the project from land clearing and grubbing to project close-out (on large scale plans, drainage plans, or special plans). Provide dimensional details, size, and length for these measures, as necessary, on the miscellaneous details plan sheets or the special details plan sheets. Engineering and environmental judgement should be used to assure that only those erosion and sediment control practices that are necessary and effective are included in the contract documents. To that end, feedback is necessary and important between designers, EICs, Regional Landscape Architects, Regional Environmental Contacts/Regional Landscape Environmental Managers. Conversion of temporary controls to permanent controls. Identify temporary practices that will be converted to permanent facilities. Construction staging. Provide an implementation schedule for staging temporary erosion and sediment control practices, including the timing of initial placement and the duration that each practice is to remain in place. In addition, provide for the removal of temporary measures, when temporary measures are not to be converted to permanent measures. Disturbed soils without erosion control applied to these soils should not exceed 5 acres at any one time. It is acknowledged, however, that some construction activities require that more than 5 acres be disturbed at any one time. For contract work not covered under Section 209, a maintenance schedule should be provided in the body of specifications, or in a notes section on the E&SC plan sheet, to ensure continuous and effective operation of erosion and sediment control practices throughout construction. Note: Section 209 of the Standard Specifications contains maintenance requirements for the work covered by that section.

2.

3.

4.

5. 6.

7.

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A description of the temporary and permanent structural and vegetative measures incorporated into the contract documents that will be used to control erosion and sedimentation for each stage of the project, from land clearing to project close-out, should be included in the Drainage Report, or the Design Approval Document. 8.8.2.3 Erosion and Sediment Control Products

In addition to traditional erosion and sediment control practices, the Department has standard specifications for other practices that prevent or reduce erosion by adhering to the ground surface by stapling or spraying. They are not intended, however, for controlling slope instability. '713-07 Rolled Erosion Control Products and Soil Stabilizers identifies the slopes for which different Classes and Types may be used, and what shear stresses they will withstand. A. Rolled Erosion Control Products Rolled Erosion Control Products (RECPs) are commonly referred to as erosion control mats or blankets. An RECP is a temporary or long-term non-degradable material manufactured or fabricated into rolls. They are designed to reduce soil erosion on critical areas such as steep slopes, channels or shorelines by assisting in the growth, establishment and protection of vegetation. They are available in three Classes: short-term, intermediate, and permanent. The advantages of RECPs are that they effectively control erosion by dissipating the energy of raindrops, they can withstand concentrated flows, they aid in the establishment of vegetation, and no heavy equipment is required. The disadvantage is that the slope preparation can be very labor intensive, as the slope should be at or near final grade to ensure that the RECP has intimate contact with the soil. If the contact is not adequate, water can flow under the RECP, and rutting can occur. Permanent RECPs are Turf Reinforcement Mats (TRMs). TRMs are rolled erosion control products composed of nondegradable synthetic fibers, filaments, nettings, and/or wire mesh, processed into a permanent, three-dimensional matrix which may be supplemented with natural or fiber components (composite). In the past, RECPs and TRMs were combined in the same category. The industry has defined a clear difference and AASHTO National Transportation Product Evaluation Program is considering different testing for TRMs.

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8-104

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TRMs are designed to enhance vegetation reinforcement during and after maturation. TRMs are typically used in critical hydraulic applications, such as high-flow channels, steep slopes, stream banks, and shorelines, where erosive forces exceed the limits of natural, unreinforced vegetation. TRMs need to be protected from concentrated flows of water until establishment of vegetation. To establish vegetation, the prepared seedbed and TRM should be protected using practices to divert the runoff away from the TRM, such as a top of slope berm, a temporary pipe (in the case of swales) or a pipe slope drain. Class III Type A and B TRMs are meant to be filled with topsoil immediately after installation and to be used in conjunction with a Class IV soil stabilizer, Class I or II RECP, or mulch. Class III Type C and D TRMs, which contain a composite, do not need to be filled with topsoil unless recommended by the manufacturer. Seeding is recommended on the topsoil for most TRMs. TRMs with a composite will require seed placement in contact with the soil. Payment for soil stabilizers, Class I or II RECPs, or mulch, are to be paid for separately when used with a TRM. B. Soil Stabilizers Soil Stabilizers (Class IV products) are short-term duration, hydraulically applied products that bind soil particles together to prevent erosion, and should be applied in accordance with the manufacturer=s recommendations. They form a protective covering that conforms to the ground surface and dry to form a breathable, high strength blanket. They are for use on slopes 1:2 or flatter, and are not to be used in channels. There are three types of Soil Stabilizers in '713-07 Rolled Erosion Control Products and Soil Stabilizers. 1. Type A is a soil binding system consisting of either a Bonded Fiber Matrix (BFM). or a Polymer Stabilized Fiber Matrix (PSFM). A. A Bonded Fiber Matrix is a continuous layer of elongated fiber strands held together by a water resistant bonding agent. It eliminates direct rain drop impact on soil, it allows no gaps between the product and the soil and it has a high water-holding capacity. It will not form an impermeable crust that can inhibit growth, and will biodegrade completely. BFMs last up to six months and require a cure time up to 48 hours without rain to develop intimate soil contact. Seed would be spread prior to BFM application. B. A Polymer Stabilized Fiber Matrix is a wood cellulose fiber mulch and stabilized polyacrylamide emulsion that works as a flocculent to control erosion. PSFMs last up to six months and require a cure time up to 24 hours.

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HIGHWAY DRAINAGE

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2. Type B is a polyacrylamide (PAM) and calcium solution intended to reduce the erodibility of bare soils during construction activities or to enhance the performance of mulching on permanent slopes. Polyacrylamides hold soils in place by ionically bonding them together to increase the particle size. This results in greater infiltration through the soil pores and increased resistance to erosive forces. 3. Type C has been added under Class IV. It is a soil binder made up of wood fibers, cotton fibers, interlocking fibers, polymer gels, and hydro-colloid tackifiers, a Flexible Growth Medium (FGM) or Cotton Fiber Reinforcement Matrix (C-FRM). It works similar to a Bonded Fiber Matrix. BFMs require up to 48 hrs. without rain to cure, whereas FGMs require no curing time to develop intimate soil contact. There is a slight cost difference with FGMs and C-FRMs being a little more expensive. BFMs provide protection up to six months. FGMs and C-FRMs are rated for up to a year, and require no cure time to develop intimate soil contact, so they provide protection as soon as applied. FGMs are the highest-performing, hydraulically applied technology and, according to Utah Water Research Laboratory tests, provide greater than 99 percent erosion control effectiveness when subjected to a 5-inches-per-hour rain event for durations of 60 minutes; to a 6-inches-per-hour rain event at TRI (Texas Research International) Environmental for 30 minutes; and to three consecutive, 50-year storm events at San Diego State University. Type A, B, and C soil stabilizers may be used alone and are approved for use with Class III, Types A and B TRMs where those products are used on slope applications.

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8.8.3

SPDES General Permit for Stormwater Discharges from Construction Activity, Permit No. GP-02-01

The SPDES General Permit provides for stormwater qualitative and quantitative control through requirements contained in the body of the general permit. Designs shall be progressed consistent with the permit wherever practicable. However, strict conformance may not always be possible because of the unique limitations placed on the Department by lineal, narrow rights of way, soil type, and existing adjacent development. See Appendix B, Section 2.1.4, for a discussion of additional constraints that may make conformance to the SPDES General Permit impractical. Where conformance with the General Permit cannot be achieved, the Regional design staff shall provide an explanation in the SWPPP, the project files (Drainage Report, or Design Approval Document, as appropriate) and shall also inform the NYSDEC Regional Permit Administrator or NYSDEC Regional Water Engineer at their regularly scheduled coordination meetings or at project level meetings prior to project lettings. Note: The Department, and NYSDEC, has entered into a Memorandum of Understanding (MOU) regarding implementation of the SPDES General Permit (GP-0-08-001) to help clarify permit applicability as it pertains to NYSDOT construction projects. Where the permit and the MOU differ, the MOU takes precedence. The SPDES General Permit can be found at: https://www.nysdot.gov/main/business-center/contractors/construction-division/forms-manualscomputer-applications-general-information/environmental The MOU can be found at: https://www.nysdot.gov/divisions/engineering/environmentalanalysis/repository/spdes_mou_2003.pdf 8.8.3.1 Contents of SPDES General Permit The SPDES General Permit is divided into five parts as follows: Part I Part II Part III Part IV Part V Coverage under This Permit Termination of Coverage Stormwater Pollution Prevention Plans Monitoring, Reporting and Retention of Records Standard Permit Conditions

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HIGHWAY DRAINAGE

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The entire SPDES permit and the MOU should be read to establish familiarity with these documents and recognize the necessary coordination between the Construction, Maintenance, and Design groups to implement the permit requirements. 8.8.3.2 Stormwater Management Plans, Details, and Certifications Each SWPPP shall consist of erosion and sediment control plans and stormwater management plans. Refer to Appendix B, Section 2.4, for information that should be included in a SWPPP. In addition to plans, details, and notes that describe the proposed work, there are other components of a SWPPP to be addressed during the design phase: SPDES Design Phase Certifications Form (CONR 6). The SPDES Design Phase Certifications Pursuant to the SPDES Stormwater General Permit for Stormwater Discharges from Construction Activity must be signed by the Regional Director or designee. This form should not go into the Proposal, but must be in the SWPPP. This form is located in EPM Chapter 4.3, Attachment 4.3.B.4. Special Note. The Special Note for Stormwater Pollution Prevention Plans Made Pursuant to the SPDES Stormwater General Permit for Stormwater Discharges from Construction Activity is to be included in the Proposal by the designer. It is intended to indicate to the Contractor what portions of the contract documents are in the SWPPP, and to convey the Contractors obligations under the SPDES General Permit. This note is in EPM Chapter 4.3, Attachment 4.3.B.3. Contractor/Subcontractor SPDES Permit Certification Form (CONR 5). This form is to be included in the Proposal by the designer. All Contractors and Subcontractors will be expected to sign a copy of this form, agreeing to comply with the terms and conditions of the SWPPP. The Regional Design Group shall transmit to the Regional Construction Group, at or about the time of PS&E submittal to DQAB, the components of the SWPPP the Design Group produces.

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8-108

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8.8.4 NPDES Construction General Permit Stormwater discharges from construction sites on Tribal Indian lands in New York State are permitted under the NPDES Construction General Permit issued by The United States Environmental Protection Agency (EPA). The NPDES Construction General Permit is in EPM Chapter 4.3, Attachment 4.3.C.1. The NYSDEC does not have jurisdiction over Tribal Indian lands in New York State under the SPDES Program, and the DEC/DOT MOU does not apply to Department projects on Indian lands. 8.8.4.1 Eligibility Coverage under the NPDES permit is required for all projects that will result in a disturbance of 1.0 acre or more total land area on Indian lands in New York and involve a stormwater discharge to surface waters of the United States, either indirectly through stormwater sewers or directly to waterways. If the project involves a disturbance of less than 1.0 acre on Indian lands and a 0.4 ha (legally 1.0 acre) or greater disturbance on non-Indian lands then coverage under the SPDES General Permit is required. If a 1.0 acre disturbance occurs on both Indian and non-Indian lands, then coverage must be sought under both the NPDES Construction General Permit and the SPDES General Permit. 8.8.4.2 Authorization The NOI should be sent either electronically or via mail to the appropriate address in the NPDES Construction General Permit at the time the final PS&E package is submitted to DQAB. Permit number NYR10000I should be included on the NOI. Construction is authorized to commence seven calendar days after acknowledgement of receipt of the NOI is posted on the EPA NPDES website (http://cfpub2.epa.gov/npdes/stormwater/enoi.cfm) The NOI shall be signed by the Regional Director or official designee. 8.8.4.3 Storm Water Pollution Prevention Plans (SWPPP) A SWPPP shall be prepared, prior to submission of an NOI, for each construction project requiring coverage under the NPDES Construction General Permit. Contents of the stormwater pollution prevention plan are described in the NPDES Construction General Permit.

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8.8.5

HIGHWAY DRAINAGE

8-109

8.8.5 MS4 Stormwater Outfall Inventory Mapping The NYSDEC SPDES General Permit for Stormwater Discharges from Municipal Separate Storm Sewer Systems (MS4) states that, An MS4 must, at a minimum must develop and maintain a map showing the location of all outfalls and the names and location of all Waters of the United States that receive the discharges from those outfalls. An outfall is any point where a separate storm sewer system discharges to either the Waters of the United States or to another MS4. Outfalls include discharges from pipes, ditches, swales, and other points of concentrated flow. This will not include pipe or box culverts which carry streams under a highway, cross culverts that convey drainage from ditch to ditch or culverts that discharge to groundwater. This outfall mapping is required only in designated urbanized areas and the Department has developed a methodology for identifying and documenting outfalls. Designers are required to complete the Stormwater Outfall Inventory (HC-107) form for any project which is located within the designated urbanized areas. Refer to EI 07-033 and Chapter 4.3 of the Environmental Procedures Manual for guidance on completing and implementing this form.

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8.8.5

8-110

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8.9 DRAINAGE REPORT A Drainage Report should be provided when earthwork, modification of existing drainage features, or new drainage features are included in the project. The report should document the analysis performed to produce the final drainage design, and build upon the information included in Chapter 3, Section 3.3.3.4. and 3.3.3.7. of the Design Approval Document, when provided. Refer to Appendix 7 of the Project Development Manual for the complete format and content of design approval documents. The Drainage Report should be available for review when design approval is sought or when advance detail plans are complete, depending on the extent of the drainage work. Include a table of contents, an introduction, and sections which discuss the hydrologic analysis and hydraulic design for each type of drainage feature (open channels, culverts, storm drainage systems) included in the project. Other sections should be provided as needed to document the drainage design. 8.9.1 Introduction The introduction should provide an overview of existing drainage conditions, including known drainage problems, and proposed drainage conditions. 8.9.2 Hydrology Discuss the information used to perform the hydrologic analysis. State: 1. The methodology, design flood frequency, and basis therefore, used to calculate the discharge to be conveyed by each drainage feature. 2. Any adjustments to the runoff coefficient (C) made to account for future changes in land use or watershed urbanization. 3. The reference, method, and source of values used to compute the peak discharge, time of concentration, and rainfall intensity. 4. All assumptions, site observations, and other hydrologic information used in the analysis. 5. The drainage area and location map for each drainage feature. 6. Output from computer programs, or manual calculations used to compute the peak discharge.

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8.9

HIGHWAY DRAINAGE

8-111

8.9.3 Open Channels Provide the design criteria and output from computer programs, or manual calculations, used to design the channel (cross section, dimensions, linings) and determine the capacity. Also include the velocity and depth of flow. All open channel systems meeting the requirements of the NYSDEC SPDES permits shall be noted as such in the contract documents should be provided to the Regional Maintenance Group. 8.9.4 Culverts Provide the design criteria and: 1. The output from computer programs, or manual calculations used to determine the size and shape. The output should include all of the factors which influence culvert performance as discussed in Section 8.6.3. 2. A table which compares the hydraulic and pipe design criteria with the culvert design. (i.e., for each culvert - state the allowable headwater and the design headwater, state the design life of the pipe material and the anticipated service life of pipe material specified.) 3. The selection of pipe material based on the economics of the various materials available shall be included as discussed in Section 8.6.2.4. The factors which have been considered in the pipe material selection decision as discussed in Section 8.6.2 shall also be included in the report. 4. A Culvert Inventory Coding Sheet for all new culverts. A copy should be provided to the Regional Maintenance Group to update the NYSDOTs statewide Culvert Inventory and Inspection System (CIIS) database. 5. All culverts design in accordance with the USACE Nationwide Permits for habitat connectivity shall be noted as such in the contract documents and should be provided to the Regional Maintenance Culvert Management Group. 8.9.5 Storm Drainage Systems Provide the design criteria and the output from computer programs, or manual calculations used to design and analyze gutter capacity, inlet capacity, storm drain capacity, the hydraulic gradeline, the outfall, and the receiving waters.

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The selection of pipe material based on the economics of the various materials available shall be included as discussed in Section 8.6.2.4. The factors which have been considered in the pipe material selection decision as discussed in Section 8.6.2 shall also be included in the report All storm drainage systems meeting the requirements of the NYSDEC SPDES permits shall be noted as such in the contract documents should be provided to the Regional Maintenance Group. 8.9.6 Erosion and Sediment Control and Stormwater Management Describe the erosion and sediment control and stormwater management practices that are part of the project. All Permanent erosion and sediment control measures which meet the requirements of the NYSDEC SPDES permits shall be noted as such in the contract documents should be provided to the Regional Maintenance Group. 8.9.7 Special Considerations Discuss any special considerations such as wetlands, stream temperature considerations, permits, etc., which influenced the drainage design. 8.9.8 References Include a list of all references which were used to design the proposed drainage features, and the erosion and sediment control and stormwater management measures. (Example, Highway Design Series Number 4, "Introduction to Highway Hydraulics" was used to design all roadside channels.)

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8-113

8.10 PLANS AND SPECIFICATIONS This section supplements the guidance presented in Chapter 21 of this manual. 8.10.1 Plans In general, plans should be prepared consistent with the guidance provided in Chapter 21, Section 21.2.2 A through Z The intent of this section is twofold: to illustrate that drainage information is presented to the Contractor in different sections of the plans, and to reiterate and build upon guidance contained in Chapter 21 regarding drainage. 8.10.1.1 Typical Sections Typical sections are discussed in Chapter 3 of this manual and the Comprehensive Pavement Design Manual. Roadside channels are the only drainage feature shown on the typical sections. The following information regarding roadside channels should be provided on the typical section: 1. Gutters (when used within the roadway section). Indicate gutter pay item number, and reference drainage details if applicable. When curbs are proposed, indicate pay item number. 2. Roadway ditches. Indicate lining material pay item number, cross section (width, depth, fore and back slopes), and distance from shoulder (i.e., "varies"). Refer to the drainage details, and ditch profile if applicable. 3. Toe-of-slope ditches. Indicate lining material pay item number, cross section (width, depth, fore and back slopes), and distance from shoulder (i.e., "varies"). 4. Intercepting ditches. Indicate lining material pay item number, cross section (width, depth, fore and back slopes), and distance from roadway ditch (i.e., "varies"). Refer to the drainage details if applicable. 5. Median swales (divided highways). Indicate lining material pay item number, and cross section (width, depth, fore and back slopes).

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HIGHWAY DRAINAGE

8.10.1.2 Miscellaneous Tables 1. - Drainage Structures. Provide a Table of Drainage Structures. The table should include a summary of the work to be performed and should include relevant information which is not included elsewhere within the contract plans. The quantity breakout for each item should not be included in the table. This information should be made available to the contractors as supplemental information to bidders. 2. - Gutters. Provide a table for each type of gutter proposed, by pay item number. Include the station limits, offset (i.e. left or right, in the direction of increased stationing), and quantity. 3. - Curb. Provide a table for each type of curb proposed, by pay item number. Include the station limits, offset (i.e. left or right, in the direction of increased stationing), and quantity. 4. - Stone Filling. Provide a table for each type of stone filling proposed, by pay item number. Provide a separate entry for each location with the corresponding quantity. This table should refer to or be placed with the drainage detail(s) for this work which shows the pay limits. 8.10.1.3 Miscellaneous Details Provide any details which differ from the Standard Sheets (e.g., drainage structures) and designs not covered by the typical sections. Examples include: 1. Ditch designs which differ from the typical section, 2. Gutter sections which differ from the standard sheets, 3. Stone lined aprons, energy dissipators, or closed chutes (downspouts) which are necessary to provide permanent soil erosion and sediment control, and 4. Details of work before abandoning existing drainage structures. 5. Temporary soil erosion and sediment control details which differ from the standard sheets

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8-115

8.10.1.4 Special Plans The following items should be provided in this section of the plans as necessary: 1. Storm Water Management Plan. Provide a legend designating the type of temporary soil erosion and sediment controls to be used and note the location of these controls on the plan. Wetland mitigation areas may also be shown on this plan or on a separate plan as noted in item 2 below. 2. Wetland Mitigation Plan. This plan should include a tabulation of the species to be planted. Include item numbers, quantities, symbology, and other pertinent information deemed necessary by the Regional Landscape/Environmental Group. 3. Wetland Mitigation Details.

8.10.1.5 Plan - 1=40 Scale or Larger 1.- Existing topographic features. Show culverts (size, material or type, and direction of flow), natural watercourses (streams), lakes, swamps, wetlands. 2. - Drainage. Show proposed drainage features - culverts, drainage structures, storm drains. Show control elevations for each drainage feature - culvert inlet and outlet invert elevation, invert elevations for storm drains connecting to drainage structures, top of grate (TG) or top of frame (TF) elevation. (Consider providing a note which states that the Contractor shall verify the TG or TF elevations.) Indicate locations to receive a stone apron. Reference drainage structure table or culvert table as appropriate. Depending on the type and scope of project, Regional preference, and adjacent development, the drainage information may be shown on Utility and Drainage Plans, a separate Drainage Plan, and/or on a 1=20 scale Intersection Plan. For every culvert conveying a live stream (a stream that shows as a blue line on a USGS map), the following information is to be shown in a box near the location of the culvert on the plan: 1. 100 year flood discharge, and high water elevation. 2. Design flood frequency, peak discharge, and high water elevation. (If the flood of record exceeds the 100 year flood, the plans should also indicate the peak discharge, high water elevation, and date of occurrence of the record flood.)

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HIGHWAY DRAINAGE

There should be a design high water elevation shown for highway embankments encroaching into flood plains and rivers. 8.10.1.6 Profile 1. - Special ditches. Show the grade, starting elevation and station, ending elevation and station, and which side of the horizontal control line the ditch is to be located. 2. - Culverts and storm drainage systems. Show drainage structures and which side of the horizontal control line (HCL) the structure is located, and storm drains - indicate pipe diameter, material type, and which side of the HCL the pipe is to be located (if applicable). Show control elevations as discussed in Section 8.10.1.5, and reference the drainage structure table. 8.10.2 Specifications The following sections of the Standard Specifications are used to specify drainage work: 201 203 206 209 602 603 604 620 624 655 Clearing and Grubbing Excavation and Embankment Trench, Culvert and Structure Excavation Soil Erosion and Sediment Control Rehabilitation of Culvert and Storm Drain Pipe Culverts and Storm Drains Drainage Structures Bank and Channel Protection Paved Gutters Frames, Grates and Covers.

8.10.3 Special Notes Special notes should be provided to convey special directions, provisions, or requirements peculiar to the project. Refer to Chapter 21, Section 21.4 for additional guidance regarding the use and format of special notes. For all projects subject to the SPDES Stormwater General Permit, designers shall include the special note, contained in EPM Chapter 4, Section 4.3.B.3, in the PS&E package submitted to DQAB.

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8-117

8.11 DRAINAGE SOFTWARE This section provides guidance regarding drainage software to be used for highway drainage design and analysis. The following drainage software should be used for highway drainage design and analysis. Drainage Design and Analysis Highway Drainage Software Application 1 Hydrologic Analysis Culvert Design & Analysis Storm Drainage Systems Ditch Design & Analysis Stormwater Management Design & Analysis (Ponds, etc.)
1. 2. 3. 4.

Hydraulic Analysis HY-8 4

Design

&

WMS 2, TR-55 3 Storm & Sanitary, TR-55 Storm & Sanitary WMS, HydroCAD

Storm & Sanitary Storm & Sanitary HydroCAD

The listed software applications are available to Department personnel. WMS Watershed Modeling System (WMS) TR 55 Technical Release No. 55 developed by the National Resources Conservation Service (NRCS). Federal Highway Administration Culvert Analysis

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HIGHWAY DRAINAGE

8.12 REFERENCES This section contains two lists of references. Section 8.12.1 lists all current references for Chapter 8. Section 8.12.2 lists all volumes and chapters in the "Highway Drainage Guidelines" and the "Model Drainage Manual" as a source for additional information. 8.12.1 References for Chapter 8 1. "Bank and Channel Protective Lining Design Procedures", Geotechnical Design Procedure-10, 2007, Geotechnical Engineering Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. Bicycle-Safe Grate Inlets Study Volume 1, "Hydraulic and Safety Characteristics of Selected Grate Inlets on Continuous Grades", June 1977, P. Burgi and D. Gober, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 2, "Hydraulic Characteristics of Three Selected Grate Inlets on Continuous Grades", May 1978, P. Burgi, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 3, "Hydraulic Characteristics of Three Selected Grate Inlets in a Sump Condition", September 1978, P. Burgi, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 4, "Hydraulic Characteristics of Slotted Drain Inlets", February 1980, C. Pugh, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 5, "Hydraulic Design of General Slotted Drain Inlets", October 1980, C. Pugh, National Technical Information Service, Springfield, VA., 22161. "Comprehensive Pavement Design Manual", 2008 , Office of Technical Services, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. Computer Program for Project Formulation Hydrology, Technical Release 20, January 2005, United States Department of Agriculture, Natural Resources Conservation Service, Washington, D.C. "Design, Construction and Maintenance of Recharge Basins", Geotechnical Design Procedure-8, April 2007, Geotechnical Engineering Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232 "Design of Leaching Basins", Research Report 157, November 1992, Office of Technical Services, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232

2.

3.

4.

5.

6.

7. 8.

9.

10.

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HIGHWAY DRAINAGE
11. 12. 13. 14.

8-119

"Drainage of Surface Waters", July 1995, Office of Legal Affairs, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Project Development Manual", Plan Sales Unit, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Environmental Procedures Manual", Office of Environment, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Estimates of Roughness Coefficients for Selected Natural Stream Channels With Vegetated Banks in New York", U.S. Geological Survey Open-File Report 93-161, William Coon, U. S. Geological Survey, Earth Science Information Center, Open-File Reports Section, Box 25286, MS 517, Denver Federal Center, Denver, CO., 80225. "Evaluation of Six Methods for Estimating Magnitude and Frequency of Peak Discharges of Urban Streams in New York", USGS Water-Resources Investigations Report 84-4350, David A. Stedfast, U. S. Geological Survey, Open-File Reports Section, Box 25425, Denver Federal Center, Denver, CO., 80225. "Fish Passage Through Culverts." FHWA-FL-90-006, 1990, C. Baker, and F. Votapka, Forest Service Technology and Development Center, San Dimas, California HEC-HMS "Hydrologic Modeling System", Hydrologic Engineering Center, U. S. Army Corps of Engineers, 609 Second Street, Davis, CA., 95616. "Highway Drainage Guidelines", 2007, American Association of State Highway and Transportation Officials, 444 North Capitol St., N.W., Suite 249, Washington, D.C., 20001. Federal Highway Administration Hydraulic Design Series and Hydraulics Engineering Circular are available electronically at:

15.

16. 17. 18. 19.

http://www.fhwa.dot.gov/engineering/hydraulics/library_listing.cfm x x x x x x x x x x Hydraulic Design Series No. 2, "Highway Hydrology". Hydraulic Design Series No. 3, "Design Charts for Open-Channel Flow". Hydraulic Design Series No. 4, "Introduction to Highway Hydraulics". Hydraulic Design Series No. 5, "Hydraulic Design of Highway Culverts". Hydraulic Engineering Circular No. 9, "Debris Control Structures Evaluation and Countermeasures" Hydraulic Engineering Circular No. 11, "Design of Riprap Revetment". Hydraulic Engineering Circular No. 12, "Drainage of Highway Pavements". Hydraulic Engineering Circular No. 14, "Hydraulic Design of Energy Dissipators for Culverts and Channels". Hydraulic Engineering Circular No. 15, "Design of Roadside Channels with Flexible Linings". Hydraulic Engineering Circular No. 22, Urban Drainage Design Manual.

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HIGHWAY DRAINAGE

20. 21.

"Manual of Administrative Procedures", Audit and Civil Rights Division, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Metal-Loss Rates Of Uncoated Steel and Aluminum Culverts In New York", Research Report 115, Office of Technical Services, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Maximum Known Stages and Discharges of New York Streams, 1865-1989, with Descriptions of Five Selected Floods, 1913-85", 1993, R. Lumia, and P. M. Murray, U. S. Geological Survey, Open-File Reports-ESIC, Box 25425, Denver, CO., 80225. "Model Drainage Manual", 2005, American Association of State Highway and Transportation Officials, 444 North Capitol St., N.W., Suite 249, Washington, D.C., 20001. "New York State Standards and Specifications for Erosion and Sediment Control", August 2005, Division of Water, New York State Department of Environmental Conservation, 625 Broadway, Albany, N.Y., 12233. "NYSDOT Guidelines for the Adirondack Park", August 2008, Office of Environment, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "NOAA Technical Memorandum NWS HYDRO-35", June 1977, R. Frederick, V. Myers, E. Auciello, National Technical Information Service, Springfield, VA., 22161. "Policy and Standards for Entrances to State Highways", Plan Sales Unit, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Magnitude and Frequency of Floods in New York", USGS Scientific Investigations Report 2006-5112, 2006, R. Lumia, U. S. Geological Survey, Books and Open-File Reports Section, Box 25425, Denver, CO., 80225. "Technical Paper No. 40", May 1961, U.S. Department of Commerce, Weather Bureau, Washington, D.C. "Urban Hydrology for Small Watersheds", Technical Release 55, June 1986, United States Department of Agriculture, Soil Conservation Service, Washington, D.C.

22.

23. 24.

25. 26. 27. 28.

29. 30.

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HIGHWAY DRAINAGE
31.

8-121

"Water Resources Data, New York, Water Year 2004, Volume 1, Eastern New York Excluding Long Island", 2006, United States Geological Survey Water Data Report NY-05-1, National Technical Information Service, Springfield, VA 22161 "Water Resources Data, New York, Water Year 2004, Volume 2, Long Island", 2005, United States Geological Survey Water Data Report NY-04-2, National Technical Information Service, Springfield, VA 22161 "Water Resources Data, New York, Water Year 2005, Volume 3, Western New York", 2005, United States Geological Survey Water Data Report NY-05-3, National Technical Information Service, Springfield, VA 22161

32.

33.

8.12.2 Topics Presented in the "Highway Drainage Guidelines" and the "Model Drainage Manual" 8.12.2.1 Highway Drainage Guidelines The "Highway Drainage Guidelines" consists of fifteen chapters as follows and includes a glossary of terms. Chapter 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Title Hydraulic Considerations in Highway Planning and Location Hydrology Erosion and Sediment Control in Highway Construction Hydraulic Design of Culverts The Legal Aspects of Highway Drainage Hydraulic Analysis and Design of Open Channels Hydraulic Analysis for the Location and Design of Bridges Hydraulic Aspects in Restoration and Upgrading of Highways Storm Drain Systems Evaluating Highway Effects on Surface Water Environments Highways Along Coastal Zones and Lakeshores Stormwater Management Training and Career Development of Hydraulic Engineers Culvert Inspection, Material Selection, and Rehabilitation Guidelines for Selecting and Utilizing Hydraulics Engineering Consultants

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8.12.2.2 Model Drainage Manual The "Model Drainage Manual" consists of twenty chapters as follows and includes a glossary of terms. Chapter 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Title Introduction Legal Aspects Policy Documentation Planning and Location Data Collection Hydrology Channels Culverts Bridges Energy Dissipators Storage Facilities Storm Drainage Systems Pump Stations Surface Water Environment Erosion and Sediment Control Bank Protection Coastal Zone Construction Maintenance of Drainage Facilities

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8.12.2.2

APPENDIX A - HIGHWAY DRAINAGE U.S. CUSTOMARY HEIGHT OF FILL TABLES Table 8-22 Structural Criteria for Corrugated Steel Pipe1-3
Diameter (in.) Min. Fill Height to Subgrade Surface (ft.) 18 12 15 18 21 24 30 36 42 48 54 60 66 72 78 84 90 96 102 size specific to 3 x 1 or 5 x 1 108 114 120 1. 2. 3. 4. 5. 2 32 not rec.5 31 29 38 36 34 not recommended5 1 82 66 55 47 41 Maximum Allowable Height of Cover4 - (ft.) Gauge for 2 2/3 x1/2 Corrugation 16 91 73 61 52 46 36 31 34 30 14 99 80 66 57 50 40 33 47 41 36 85 73 64 51 43 74 64 57 52 67 55 45 77 67 60 54 49 45 57 47 81 71 63 56 51 47 34 31 28 26 23 21 19 43 39 35 32 30 28 26 24 23 65 58 53 49 45 42 39 36 34 78 70 63 58 54 50 46 43 41 not recommended
5

8A-1

Gauge for 3 x 1 or 5 x 1 Corrugation 8

5

12

10

16

14

12

10

not recommended

size specific to 2 2/3 x 1/2

87 78 71 65 60 55 51 48 45 43 41 39

Gauge, diameter, and corrugation combinations not included in this table shall not be specified. HS-25 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

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8A-2

APPENDIX A - HIGHWAY DRAINAGE

Table 8-23 Structural Criteria for Corrugated Steel Pipe-Arch1-3

Span Rise Min. Fill Height to Subgrade Surface (ft.) 2 2/3 x 1/2 Corrugation Max. Height 4 of Cover (ft.) 17 14 12 10 8 8 8 8
6

3 x 1 or 5 x 1 Corrugation Max. Height of Cover4 (ft.) Min. 5 Gauge

Min. 5 Gauge

Equivalent Diameter (in.)

17 21 24 28 35 42 49 57 64(60)
6

13 15 18 20 24 29 33 38 43(46) 1

16 16 16 16 16 16 14 12 12 10 12 12 16 12 12 12 not recommended7 size specific to 2 2/3 x 1/2

15 18 21 24 30 36 42 48 54 60 66 66 72 17 16 16 15 12 12 12 12 12 12 10 10 10 72 78 84 90 96 102 108 114 120

9 9

71(66)6 73 77 83 6-9 7-3 7-11 8-7 9-4 9-9 10-8 11-5 11-10 1. 2. 3. 4. 5. 6.

47(51)6 55 52 57 4-11 5-3 5-7 5-11 6-3 6-7 6-11 7-3 7-7 2

3 x 1 or 5 x 1 only 10 10 8 8

2 2/3 x 1/2 only

size specific to 3 x 1 or 5x1

16 15 14 13 12

Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. HS-25 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Increased material thickness (i.e.14 gauge versus 16 gauge) does not increase maximum height of cover. Number outside of parentheses is for 2 2/3 x1/2 corrugation. Number inside of parentheses is for 3 x 1 or 5 x 1 corrugation. 7. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured.

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APPENDIX A - HIGHWAY DRAINAGE

Table 8-24 Structural Criteria for Corrugated Steel Pipe Type IR1-3 Diameter (in.) Min. Fill Height to Subgrade Surface (ft.) Maximum Allowable Height of Cover4 (ft.) Gauge 14 21 24 30 36 42 48 54 60 66 72 78 84 90 96 102 2.5 2 1.5 1 82 72 58 48 41 36 32 29 26 24 22 not recommended5 12 138 121 97 81 69 61 54 49 44 40 37 35 32 30 29

8A-3

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Final gauge specified shall also satisfy design and service life criteria. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

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8A-4 APPENDIX A - HIGHWAY DRAINAGE Table 8-25 Structural Criteria for Corrugated Steel Pipe Type IIR1-3 Span (in.) Rise (in.) Min. Fill Height to Subgrade Surface (ft.) Maximum Allowable Height of Cover4 (ft.) Gauge 14 15 15 15 1 13 12 15 15 15 13 13
not 5 recommended

Equivalent Diameter (in.)

23 27 33 40 46 53 60 66

19 21 26 31 36 41 46 51 1.25

21 24 30 36 42 48 54 60

13 13 13

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Final gauge specified shall also satisfy design and service life criteria. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured.

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APPENDIX A - HIGHWAY DRAINAGE

Table 8-26 Structural Criteria for Corrugated Structural Steel Plate Pipe (6 x 2 Corrugations) Sheet 1 of 2
Diameter (in.) Min. Fill Height to Subgrade Surface (ft.) Gauge 12 10 8 7 5 3
5

8A-5
1-3

Maximum Allowable Height of Cover4 - (ft.)

1 6 Bolts per foot 6

4 Bolts per foot of Longitudinal Seam 60 66 72 78 84 90 96 102 108 114 120 126 132 138 144 150 156 162 168 174 180 186 192 1. 2. 3. 4. 5. 6. 7. 2 1 46 42 38 35 33 30 28 26 25 24 23 21 20 20 19 18 17 16 16 15 15 14 not 7 rec. 68 62 57 52 48 45 42 40 37 35 34 32 31 29 27 26 25 24 23 22 22 21 20 89 82 75 69 64 59 55 52 49 46 44 42 40 38 37 35 34 32 31 30 29 28 27 103 94 86 79 73 68 64 60 57 54 51 48 46 44 42 41 39 37 36 35 34 33 32 110 110 103 95 88 82 77 73 69 65 62 58 55 53 51 48 46 45 43 42 41 40 38

110 110 110 110 105 97 91 86 81 76 72 69 66 63 61 58 55 53 52 50 48 46 45

110 110 110 110 110 107 99 93 87 83 79 75 72 68 65 63 61 58 56 54 52 51 49

110 110 110 110 110 110 110 110 109 109 99 94 90 85 81 79 76 72 70 68 65 63 61

Gauge, diameter, and corrugation combinations not included in this table shall not be specified. HS-25 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Two bolts per corrugation. Three bolts per corrugation. Gauge and diameter combinations do not meet structural criteria, or are not manufactured.

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8A-6

APPENDIX A - HIGHWAY DRAINAGE

Table 8-26 Structural Criteria for Corrugated Structural Steel Plate Pipe1-3 (6 x 2 Corrugations) Sheet 2 of 2 Diameter (in.) Min. Fill Height to Subgrade Surface (ft.) Maximum Allowable Height of Cover4 - (ft.) Gauge 12 10 8 7 5 3 1 1 6 Bolts per foot 6 48 46 45 44 43 42 41 40 38 37 60 58 56 55 54 52 51 50 48 46 4 Bolts per foot of Longitudinal Seam5 20 19 19 19 3 26 26 25 24 23 23 22 22 not recommended7 31 30 29 28 27 27 26 25 25 24 37 36 35 34 33 32 32 31 30 29 44 42 41 40 39 38 37 36 35 35

198 204 210 216 222 228 234 240 246 252

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Final gauge specified shall also satisfy design and service life criteria. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Two bolts per corrugation. 6. Three bolts per corrugation. 7. Gauge and diameter combinations do not meet structural criteria, or are not manufactured.

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APPENDIX A - HIGHWAY DRAINAGE

Table 8-27 Structural Criteria for Corrugated Structural Steel Plate Pipe-Arch1-3 (6 x 2 inch Corrugations) Sheet 1 of 2
Span Rise Min. Fill Height to Subgrade Surface (ft.) Max. Height of Cover4 (ft.) 24 22 1 20 18 17 16 15 14 13 12 12 11 17 2 10 16 10 16 9 15 9 14 9 Minimum Gauge5

8A-7

Equivalent Diameter (in.) 66 72 78 84 90 96 102 108 114 120 126 132 138 138 144 144 150 150 156 156 162 162

73 6-9 7-3 7-11 8-7 9-4 9-9 10-8 11-5 11-10 12-6 12-10 13-3 13-11 14-0 14-3 14-5 15-4 15-4 15-8 15-10 16-5
1. 2. 3. 4. 5.

55 4-11 5-3 5-7 5-11 6-3 6-7 6-11 7-3 7-7 7-11 8-4 9-4 8-7 9-8 8-11 10-0 9-3 10-4 9-7 10-8 9-11

12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12

Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. HS-25 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Increased material thickness (i.e.14 gauge versus 16 gauge) does not increase maximum height of cover.

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8A-8

APPENDIX A - HIGHWAY DRAINAGE

Table 8-27 Structural Criteria for Corrugated Structural Steel Plate Pipe-Arch1-3 (6 x 2 inch Corrugations) Sheet 2 of 2 Span Rise Min. Fill Height to Subgrade Surface (ft.) Max. Height of Cover4 (ft.) Minimum Gauge5 Equivalent Diameter (in.)

16-6 17-2 17-11 18-7 19-3 19-8 20-5

11-0 11-4 11-8 12-0 12-4 12-8 13-0 3

14 13 13 12 12 13 12

12 12 12 12 12 10 10

168 174 180 186 192 198 204

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Final gauge specified shall also satisfy design and service life criteria. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Increased material thickness (i.e.14 gauge versus 16 gauge) does not increase maximum height of cover.

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APPENDIX A - HIGHWAY DRAINAGE

8A-9

Table 8-28 Structural Criteria for Corrugated Aluminum Pipe1,2 Diameter (in.) Min. Fill Height to Subgrade Surface (ft.) Maximum Allowable Height of Cover3 (ft.) Gauge for 2 2/3 x1/2 Corrugation 16 12 15 18 21 24 27 30 36 42 48 54 60 66 72 78 84 90 96 2 size specific to 3 x 1 not rec.4 1.5 not recommended4 1 50 40 33 28 25 22 14 50 40 33 28 25 22 20 12 86 69 57 49 43 38 34 40 36 30 26 22 not recommended4 37 32 28 25 22 20 51 44 38 34 31 28 25 23 22 20 19 77 66 58 51 46 42 38 35 33 31 29 75 67 60 55 50 46 43 40 37 not. rec.4 size specific to 2 2/3 x 1/2 10 Gauge for 3 x 1 Corrugation 16 14 12 10 8

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-10

APPENDIX A - HIGHWAY DRAINAGE

Table 8-29 Structural Criteria for Corrugated Aluminum Pipe-Arch1,2 Span (in.) Rise (in.) Min. Fill 2 2/3 x 1/2 Corrugation Height to Max. Min. Subgrade 4 Height Gauge Surface 3 of Cover (ft.) (ft.) 15 14 1 12 10 8 8 8 1.5 8 16 16 16 14 14 12 12 10 not recommended5 13 not recommended5 13 16 17 2 size specific to 3 x 1 16 17 14 14 14 12 12 12 size specific to 2 2/3 x 1/2 3 x 1 Corrugation Max. Height of Cover3 (ft.) Min. Gauge4 Equivalent Diameter (in.)

17 21 24 28 35 42 49 57 60 66 73 81 87 95

13 15 18 20 24 29 33 38 46 51 55 59 63 67

15 18 21 24 30 36 42 48 54 60 66 72 78 84

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Increased material thickness (i.e. 14 gauge versus 16 gauge) does not increase maximum height of cover. 5. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured.

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APPENDIX A - HIGHWAY DRAINAGE

Table 8-30 Structural Criteria for Corrugated Aluminum Pipe Type IR1,2 Diameter (in.) 16 18 21 24 30 36 42 48 54 60 66 72 not recommended4 1 / 52 1 / 44 1 / 38 1.25 / 30 1.5 / 25 1.75 / 21 Minimum / Maximum Allowable Height of Cover3 - (ft.) Gauge 14 1 / 73 1 / 62 1 / 54 1 / 43 1.25 / 35 1.5 / 30 2 / 26 2 / 23 1 / 101 1 /91 1 / 72 1 / 59 1.25/50 1.5 / 43 1.75 / 38 2 / 33 1 / 75 1 / 64 12 10

8A-11

not recommended4

1.25 / 55 1.25 / 48 1.5 / 42 1.75 / 38 2 / 34

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Minimum height of cover is measured to subgrade surface. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-12

APPENDIX A - HIGHWAY DRAINAGE

Table 8-31 Structural Criteria for Corrugated Aluminum Pipe Type IIR1,2 Span (in.) Rise (in.) Minimum / Maximum Allowable Height of Cover3(ft.) Gauge 16 20 23 27 33 40 46 53 60 66 16 19 21 26 31 36 41 46 51 not recommended
4

Equivalent Diameter (in.) 18

14 1 / 15 1 / 15 1 / 15 1.25 / 15 1.5 / 13

12

10

1 / 15 1 / 15 1.25 / 15 1.5 / 15 1.75 / 13

1 / 15 1 / 15 1 / 15 1.25 / 13 1.5 / 13 1.75 /13 2 / 13 2 / 13

not rec 4

21 24 30

1 /13 1.25 / 13 1.25 / 13 1.5 /13 1.75 / 13

36 42 48 54 60

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Minimum height of cover is measured to subgrade surface. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

APPENDIX A - HIGHWAY DRAINAGE

8A-13

Table 8-32 Structural Criteria for Round Corrugated Aluminum Structural Plate Pipe1,2 Diameter (in.) Min. Fill Height to Subgrade Surface (ft.) .100 60 66 72 78 84 90 96 102 108 114 120 126 132 138 144 150 156 162 168 174 180 3 not rec.4 2.5 2 1.5 29 26 24 22 20 19 18 17 16 15 14 13 13 12 12 Maximum Allowable Height of Cover3 (ft.) Pipe Wall Thickness (in.) .125 38 35 32 29 27 25 24 22 21 20 19 18 17 16 16 15 14 14 13 13 12 .150 49 44 41 37 35 32 30 29 27 25 24 23 22 21 20 19 18 18 17 17 16 .175 58 53 48 45 41 39 36 34 32 30 29 27 26 25 24 23 22 21 20 20 19 .200 81 74 67 62 58 54 50 47 45 42 40 38 37 35 33 32 31 30 29 28 27 .225 92 84 77 71 66 61 57 54 51 48 46 44 42 40 38 36 35 34 33 31 30 .250 100 94 86 79 73 68 64 60 57 54 51 49 46 44 42 40 38 37 35 34 33

1. Pipe wall thickness, and diameter combinations not included in this table shall not be specified. 2. HS-25 Live Loading. 3. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Pipe wall thickness and diameter combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-14

APPENDIX A - HIGHWAY DRAINAGE

Table 8-33 Structural Criteria for Corrugated Aluminum Structural Plate Pipe-Arch1,2
Span Rise Min. Fill Height to Subgrade Surface (ft.) Maximum Allowable Height of Cover 3 (ft.) Pipe Wall Thickness (in.) 0.100 22 22 2 20 19 18 18 17 16 15 2.5 15 14 13 13 12 11 11 10 0.125 29 29 27 26 24 23 22 21 20 20 19 18 17 16 15 14 14 13 13 12 0.150 37 37 35 33 30 29 28 25 24 24 23 23 20 20 17 17 17 17 17 16 15 3 not recommended
4

0.175 37 37 37 33 30 29 28 25 24 24 23 23 20 20 17 17 17 17 17 16 16 15 15 14 13 13 13

6-2 6-7 6-11 7-3 7-9 8-1 8-5 8-10 9-3 9-7 9-11 10-3 10-9 11-5 12-3 12-11 13-1 14-0 14-3 14-11 15-7 16-4 17-0 17-9 18-5 19-2 19-5

5-10 5-8 5-9 5-11 6-0 6-1 6-3 6-4 6-5 6-6 6-8 6-9 6-10 7-1 7-3 7-6 8-4 8-7 9-7 9-10 10-2 10-6 10-10 11-2 11-6 11-9 11-11

15 14

1. Pipe wall thickness, and span and rise combinations not included in this table shall not be specified.

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APPENDIX A - HIGHWAY DRAINAGE

8A-15

2. HS-25 Live Loading. 3. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Pipe wall thickness, and span and rise combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-16

APPENDIX A - HIGHWAY DRAINAGE

Table 8-34 Structural Criteria for Reinforced Concrete Pipe (Sheet 1 of 2)

Diameter (in.) Maximum Allowable Height of Cover2 - (ft.) Installation Method C3,4 Installation Methods A, B-1, & B-23 5 6 Ordinary Bedding Concrete Cradle Bedding Ordinary Bedding5 Concrete Cradle Bedding6 Class Class Class Class Class Class Class Class Class Class Class Class Class Class II III IV V II III IV V III IV V III IV V 9 13 19 28 18 24 35 54 34 51 77 60 88 110 9 13 19 28 18 24 35 54 34 51 76 60 88 110 9 13 19 28 18 24 35 54 34 51 76 60 88 110 9 13 19 28 18 24 35 54 34 51 76 59 88 113 9 13 19 28 18 24 35 54 34 50 76 59 88 113 10 13 19 28 18 24 35 54 34 50 76 59 88 113 10 13 19 28 18 24 35 54 34 50 76 59 87 113 10 13 19 28 18 24 35 54 34 50 76 59 87 113 10 13 19 28 18 24 35 54 34 50 75 59 87 113 10 13 19 28 18 24 35 54 34 50 75 58 87 113 50 58 113 10 13 19 28 18 24 35 54 33 75 87 50 58 86 113 10 13 19 28 18 24 35 54 33 74 50 58 86 113 10 13 19 28 18 24 35 54 33 74 113 11 13 19 28 18 24 35 54 33 50 74 58 86

12 15 18 21 24 27 30 33 36 42 48 54 60 66

1. HS-25 Live Loading. The minimum distance between the top of the pavement and the top of the pipe shall be 2 ft. (To provide protection for live loading.) 2. Maximum vertical distance between the top of the pipe and finished or surcharged grade. 3. Refer to Standard Sheet "Installation Details for Circular and Elliptical Reinforced Concrete and Other Rigid Pipes." 4. Do not use Installation Method C unless the height of cover to final pavement surface is at least five times the pipe diameter. 5. Ordinary bedding includes the Stable Soil Condition, Unstable Soil Condition, and Rock Condition as shown on the Standard Sheet. 6. Consider the use of Installation Method C with Ordinary Bedding (rather than installation Methods A,B-1, or B-2 with Concrete Cradle Bedding) since it is generally more economical. (See Note 4.)

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APPENDIX A - HIGHWAY DRAINAGE

8A-17

Table 8-34 Structural Criteria for Reinforced Concrete Pipe (Sheet 2 of 2)1
Diameter (in.) Maximum Allowable Height of Cover2 - (ft.) Installation Methods A, B-1, & B-23 Ordinary Bedding5 Concrete Cradle Bedding6 Class Class Class Class Class Class Class Class II III IV V II III IV V 11 14 19 28 18 24 35 54 11 14 19 28 18 24 35 54 11 14 19 28 18 24 35 54 11 15 19 28 18 24 35 54 11 15 19 28 17 24 35 54 11 15 20 28 17 24 35 54 11 15 20 28 17 24 35 54 15 21 28 24 35 54 15 21 28 24 35 54 not 15 21 28 not 24 35 54 rec.7 16 21 28 rec.7 24 35 54 16 21 28 24 35 54 16 22 29 24 35 54 Installation Method C3,4 Ordinary Bedding5 Concrete Cradle Bedding6 Class Class Class Class Class Class III IV V III IV V 32 50 74 58 86 113 32 48 74 57 86 113 32 48 74 57 86 113 32 48 74 57 86 113 31 48 74 57 85 113 30 48 74 57 85 113 30 48 74 57 85 113 29 48 73 57 85 113 28 48 73 57 85 113 26 48 73 57 85 113 26 48 72 56 84 113 26 48 72 55 84 113 26 47 72 55 84 113

72 78 84 90 96 102 108 114 120 126 132 138 144

1. HS-25 Live Loading. The minimum distance between the top of the pavement and the top of the pipe shall be 2 ft. (To provide protection for live loading.) 2. Maximum vertical distance between the top of the pipe and finished or surcharged grade. 3. Refer to Standard Sheet "Installation Details for Circular and Elliptical Reinforced Concrete and Other Rigid Pipes." 4. Do not use Installation Method C unless the height of cover to final pavement surface is at least five times the pipe diameter. 5. Ordinary bedding includes the Stable Soil Condition, Unstable Soil Condition, and Rock Condition as shown on the Standard Sheet. 6. Consider the use of Installation Method C with Ordinary Bedding (rather than installation Methods A,B-1, or B-2 with Concrete Cradle Bedding) since it is generally more economical. (See Note 4.) 7. Class and diameter combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-18

APPENDIX A - HIGHWAY DRAINAGE

Table 8-35 Structural Criteria for Reinforced Concrete Elliptical Pipe1

Vertical Elliptical Pipe Span x Rise (in.) Maximum Allowable Height of Cover (ft.) Concrete Cradle Ordinary Bedding3,4 Bedding3 Class Class Class Class Class Class VE-IV VE-V VE-VI VE-IV VE-V VE-VI Size not covered in materials specification 29x45 32x49 34x53 38x60 43x68 48x76 53x83 58x91 63x98 68x106 72x113 77x121 82x128 87x136 15 15 15 16 16 16 16 16 16 16 17 17 17 17 23 23 23 23 23 23 23 23 24 24 24 24 24 24 30 30 30 30 30 31 31 31 31 32 32 32 32 32 32 32 32 32 33 33 33 33 33 33 33 33 33 33 48 48 48 48 49 49 49 49 49 49 50 50 50 51 60 60 60 60 65 65 65 66 66 66 66 66 67 67
2

HorizontalElliptical Pipe Span x Rise (in.) 30x19 34x22 38x24 42x27 45x29 49x32 53x34 60x38 68x43 76x48 83x53 91x58 98x63 106x68 113x72 121x77 128x82 136x87 Maximum Allowable Height of Cover (ft.) Concrete Cradle Ordinary Bedding3,4 Bedding3 Class Class Class Class Class Class HE-II HE-III HE-IV HE-II HE-III HE-IV 9 12 17 18 24 36 9 12 17 18 25 37 9 12 18 19 25 37 9 12 18 19 25 37 9 12 18 19 25 37 9 12 18 19 25 37 9 12 18 19 25 37 10 12 18 19 25 37 10 13 18 19 25 38 10 13 18 19 26 38 11 13 18 19 26 38 11 13 18 19 26 38 11 14 19 20 26 38 11 14 19 20 26 38 11 14 20 20 26 39 11 14 20 20 26 39 11 14 20 20 27 39 11 14 20 20 27 39
2

Equiv. Round Pipe Dia. (in.) 24 27 30 33 36 39 42 48 54 60 66 72 78 84 90 96 102 108

1. HS-25 Live Loading. The minimum distance between the top of the pavement and the top of the pipe shall be 2 ft. (To provide protection for live loading.) 2. Maximum vertical distance between the top of the pipe and finished or surcharged grade for Installation Methods A,B-1, & B-2. 3. Refer to Standard Sheet "Installation Details for Circular and Elliptical Reinforced Concrete and Other Rigid Pipes." 4. Ordinary bedding includes the Stable Soil Condition, Unstable Soil Condition, and Rock Condition as shown on the Standard Sheet.

10/22/09

APPENDIX A - HIGHWAY DRAINAGE

Table 8-36 Structural Criteria for Smooth Interior Corrugated Polyethylene Pipe1 Diameter (in.) 12 15 18 24 30 36 42 48 60 1 15 Min. Fill Height to Subgrade Surface (ft.)

8A-19

Maximum Allowable Height Of Cover2 (ft.)

1. HS-25 Live Loading 2. Maximum vertical distance between the top of the pipe and the finished or surcharge grade.

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This page is intentionally left blank.

APPENDIX A - HIGHWAY DRAINAGE Table 8-22 Structural Criteria for Corrugated Steel Pipe1-3
Diameter (mm) Min. Fill Height to Subgrade Surface (m) 18 300 375 450 525 600 750 900 1050 1200 1350 1500 1650 1800 1950 2100 2250 2400 2550 size specific to 75 x 25 or 125 x 25 2700 2700 3000 1. 2. 3. 4. 5. . 0.6 32 not 5 rec. 31 29 38 36 34 not recommended5 0.3 82 66 55 47 41 16 91 73 61 52 46 36 31 34 30
4 Maximum Allowable Height of Cover - (m)

8A-1

Gauge for 68 x13 Corrugation 14 99 80 66 57 50 40 33 47 41 36 85 73 64 51 43 74 64 57 52 67 55 45 77 67 60 54 49 45 57 47 81 71 63 56 51 47 12 10 8

Gauge for 75 x 125 or 125 x 25 Corrugation 16 14 12 10 8

not recommended5

size specific to 68 x 13

not recommended5 34 31 28 26 23 21 19 43 39 35 32 30 28 26 24 23 65 58 53 49 45 42 39 36 34 78 70 63 58 54 50 46 43 41 87 78 71 65 60 55 51 48 45 43 41 39

Gauge, diameter, and corrugation combinations not included in this table shall not be specified. MS-23 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-2

APPENDIX A - HIGHWAY DRAINAGE

Table 8-23 Structural Criteria for Corrugated Steel Pipe-Arch1-3

Span (mm) Rise (mm) Min. Fill Height to Subgrade Surface (m) 68x13 Corrugation Max. Height 4 of Cover (m) 5 4 4 3 2 2 2 2
6

75x25 or 125x25 Corrugation Max. Height of Cover4 (m) Min. 5 Gauge

Min. 5 Gauge

Equivalent Diameter (mm)

430 530 610 710 885 1060 1240 1440 1620(1520)

6

330 380 460 510 610 740 840 970 1100(1170) 0.3

16 16 16 16 16 16 14 12 12 10 4 4 5 68x13 only 12 12 12 not recommended7 size specific to 68x13

375 450 525 600 750 900 1050 1200 1350 1500 1650 1650 1800 5 5 5 4 12 12 12 12 12 12 10 10 10 1800 1950 2100 2250 2400 2550 2700 2850 3000

3 3

1800(1670)6 1850 1950 2100 2050 2200 2400 2600 2840 2970 3240 3470 3600 1. 2. 3. 4. 5. 6.

1200(1300)6 1400 1320 1450 1500 1620 1720 1820 1920 2020 2120 2220 2320 0.6

75x25 or 125x25 only 3 3 8 8

Size specific to 75x25 or 125x25

4 4 4 4 4

Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. MS-23 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Increased material thickness (i.e.14 gauge versus 16 gauge) does not increase maximum height of cover. Number outside of parentheses is for 68x13 corrugation. Number inside of parentheses is for 75x25 or 125x25 corrugation. 7. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured

10/22/09

APPENDIX A - HIGHWAY DRAINAGE

Table 8-24 Structural Criteria for Corrugated Steel Pipe Type IR
Diameter (mm) Min. Fill Height to Subgrade Surface (m)
1-3

8A-3

Maximum Allowable Height of Cover4 (m) Gauge 14 12 41 36 29 24 20 18 16 14 13 12 11 10 10 9

525 600 750 900 1050 1200 1350 1500 1650 1800 1950 2100 0.6 2250 2400 2550 0.75 0.45 0.3

24 21 17 14 12 11 10 9 8 7 6 not recommended5

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Final gauge specified shall also satisfy design and service life criteria. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-4

APPENDIX A - HIGHWAY DRAINAGE

Table 8-25 Structural Criteria for Corrugated Steel Pipe Type IIR1-3
Span (mm) Rise (mm) Min. Fill Height to Subgrade Surface (m) Maximum Allowable Height of 4 Cover (m) Gauge 14 4 4 4 0.3 4 12 4 4 4 4 4 not 5 recommended 4 4 4 525 600 750 900 1050 1200 1350 1500 Equivalent Diameter (mm)

580 680 830 1010 1160 1340 1520 1670

490 540 670 790 920 1050 1170 1300

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Final gauge specified shall also satisfy design and service life criteria. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

APPENDIX A - HIGHWAY DRAINAGE

Table 8-26 Structural Criteria for Corrugated Structural Steel Plate Pipe (6 x 2 Corrugations) Sheet 1 of 2
Diameter (mm) Min. Fill Height to Subgrade Surface (m) Gauge 12 10 8 7 5 3
5

8A-5
1-3

Maximum Allowable Height of Cover4 - (m)

1 6 Bolts per 300 mm 6

4 Bolts per 300 mm of Longitudinal Seam 1525 1675 1830 1980 2135 2285 2440 2590 2745 2895 3050 3200 3355 3505 3660 3810 3960 4115 4265 4420 4570 4725 4875 1. 2. 3. 4. 5. 6. 7. 0.6 0.3 14 13 12 11 10 9 9 8 8 7 7 6 6 6 6 5 5 5 5 5 5 4 not 7 rec. 21 19 17 16 15 14 13 12 11 11 10 10 9 9 8 8 8 7 7 7 7 6 6 27 25 23 21 20 18 17 16 15 14 13 13 12 12 11 11 10 10 9 9 9 9 8 31 29 26 24 22 21 20 18 17 16 16 15 14 13 13 12 12 11 11 11 10 10 10 34 34 31 29 27 25 23 22 21 20 19 18 17 16 16 15 14 14 13 13 12 12 12 34 34 34 34 32 30 28 26 25 23 22 21 20 19 19 18 17 16 16 15 15 14 14

34 34 34 34 34 33 30 28 27 25 24 23 22 21 20 19 19 18 17 16 16 16 15

34 34 34 34 34 34 34 34 33 33 30 29 27 26 25 24 23 22 21 21 20 19 19

Gauge, diameter, and corrugation combinations not included in this table shall not be specified. MS-23 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Two bolts per corrugation. Three bolts per corrugation. Gauge and diameter combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-6

APPENDIX A - HIGHWAY DRAINAGE

Table 8-26 Structural Criteria for Corrugated Structural Steel Plate Pipe1-3 (6 x 2 Corrugations) Sheet 2 of 2
Diameter (mm) Min. Fill Height to Subgrade Surface (m) Maximum Allowable Height of Cover - (m) Gauge 12 10 8 7 5 3 1 1 6 Bolts per 300 mm 6 15 14 14 13 13 13 12 12 12 11 18 18 17 17 16 16 16 15 15 14
4

4 Bolts per 300 mm of Longitudinal Seam5 5030 5180 5335 5485 5640 5790 5945 6095 6250 6400 0.9 6 6 6 6 8 8 8 7 7 7 7 7 not recommended
7

9 9 9 9 8 8 8 8 8 7

11 11 11 10 10 10 10 9 9 9

13 13 12 12 12 12 11 11 11 11

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. Final gauge specified shall also satisfy design and service life criteria. 3. MS-23 Live Loading. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Two bolts per corrugation. 6. Three bolts per corrugation. 7. Gauge and diameter combinations do not meet structural criteria, or are not manufactured.

10/22/09

APPENDIX A - HIGHWAY DRAINAGE

Table 8-27 Structural Criteria for Corrugated Structural Steel Plate Pipe-Arch1-3 (6 x 2 inch Corrugations) Sheet 1 of 2
Span (mm) Rise (mm) Min. Fill Height to Subgrade Surface (m) Max. Height of 4 Cover (m) 7 7 0.45 6 5 5 5 4 4 4 4 4 3 5 0.6 3 4 3 5 3 4 3 4 3 Minimum Gauge
5

8A-7

Equivalent Diameter (mm) 1675 1830 1980 2135 2285 2440 2590 2745 2895 3050 3200 3355 3505 3505 3660 3660 3810 3810 3960 3960 4115 4115

1850 2060 2210 2410 2620 2840 2970 3250 3480 3610 3810 3910 4040 4240 4270 4340 4390 4670 4670 4780 4830 5000 1. 2. 3. 4. 5.

1400 1500 1600 1700 1800 1910 2010 2110 2210 2310 2410 2540 2840 2620 2950 2720 3050 2820 3150 2920 3250 3020

12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12 12

Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. MS-23 Live Loading. Final gauge specified shall also satisfy design and service life criteria. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Increased material thickness (i.e.14 gauge versus 16 gauge) does not increase maximum height of cover.

10/22/09

8-8

APPENDIX A - HIGHWAY DRAINAGE

Table 8-27 Structural Criteria for Corrugated Structural Steel Plate Pipe-Arch1-3 (6 x 2 inch Corrugations) Sheet 2 of 2
Span (mm) Rise (mm) Min. Fill Height to Subgrade Surface (m) 0.6 Max. Height of 4 Cover (m) 4 4 4 4 0.9 4 4 4 Minimum Gauge5 Equivalent Diameter (mm) 4265 4420 4570 4725 4875 5030 5180

5030 5230 5460 5660 5870 5990 6220

3350 3450 3560 3660 3760 3860 3960

12 12 12 12 12 10 10

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Final gauge specified shall also satisfy design and service life criteria. 4. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 5. Increased material thickness (i.e.14 gauge versus 16 gauge) does not increase maximum height of cover.

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APPENDIX A - HIGHWAY DRAINAGE

8A-9

Table 8-28 Structural Criteria for Corrugated Aluminum Pipe1,2

Diameter (mm) Min. Fill Height to Subgrade Surface (m)
3 Maximum Allowable Height of Cover (m)

Gauge for 68x13 Corrugation 16 14 15 12 10 8 7 6 6 12 26 20 17 15 13 11 10 12 11 9 7 not recommended4 6 10 not. rec.4 16

Gauge for 75x25 Corrugation 14 12 10 8

300 375 450 525 600 675 750 900 1050 1200 1350 1500 1650 1800 1950 2100 2250 2400 0.45 0.3

15 12 10 8 7 6

size specific to 68 x 13

not recommended4 11 9 8 7 6 6 15 13 11 10 9 8 8 7 not rec.

4

23 20 17 15 13 12 11 10 10 9 8 22 20 18 16 15 14 13 12 11

0.6

size specific to 75 x 25

6 6 5

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-10

APPENDIX A - HIGHWAY DRAINAGE

Table 8-29 Structural Criteria for Corrugated Aluminum Pipe-Arch1,2

Span (mm) Rise (mm) Min. Fill Height to Subgrade Surface (m) 68 x 13 Corrugation Max. Height 3 of Cover (m) 5 4 0.3 3 3 2 2 2 0.45 2 Min. 4 Gauge 75 x 25 Corrugation Max. Height of Cover3 (m) Min. 4 Gauge Equivalent Diameter (mm)

430 530 610 710 885 1060 1240 1440 1520 1670 1850 2050 2200 2400

330 380 460 510 610 740 840 970 1170 1300 1400 1500 1620 1720 0.6

16 16 16 14 14 12 12 10 not recommended5 4 14 14 14 12 12 12 size specific to 68 x 13

375 450 525 600 750 900 1050 1200 1350 1500 1650 1800 1950 2100

not recommended5

4 5 5 5

size specific to 75 x 25 5

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Increased material thickness (i.e. 14 gauge versus 16 gauge) does not increase maximum height of cover. 5. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

APPENDIX A - HIGHWAY DRAINAGE

Table 8-30 Structural Criteria for Corrugated Aluminum Pipe Type IR1,2
Diameter (mm) 16 450 525 600 750 900 1050 1200 1350 1500 1650 1800 not recommended
4

8A-11

Minimum / Maximum Allowable Height of Cover3 - (m) Gauge 14 0.3 / 22 0.3 / 18 0.3 / 16 0.3 / 13 0.45 / 10 0.45 / 9 0.6 / 8 0.6 / 7 0.3 / 30 0.3 / 27 0.3 / 21 0.3 / 17 0.3 / 15 0.45 / 13 0.45 / 11 0.6 / 10 0.3 / 22 0.3 / 19 0.3 / 16 0.45 / 14 0.45 / 12 0.6 / 11 0.6 / 10 not recommended4 12 10

0.3 / 15 0.3 / 13 0.3 / 10 0.3 / 9 0.45 / 7 0.45 / 6

1. Gauge, diameter, and corrugation combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Minimum height of cover is measured to subgrade surface. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Gauge, diameter, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-12

APPENDIX A - HIGHWAY DRAINAGE

Table 8-31 Structural Criteria for Corrugated Aluminum Pipe Type IIR1,2
Span (mm) Rise (mm) Minimum / Maximum Allowable Height of Cover3(m) Gauge 16 500 580 680 830 1010 1160 1340 1520 1670 410 490 540 670 790 920 1050 1170 1300 not recommended4 0.3 / 4 0.3 / 4 0.45 / 4 0.45 / 4 0.6 / 4 14 0.3 / 4 0.3 / 4 0.3 / 4 0.45 / 4 0.45 / 4 0.3 / 4 0.3 / 4 0.3 / 4 0.45 / 4 0.45 / 4 0.45 / 4 0.6 / 4 0.6 / 4 0.3 / 4 0.45 / 4 0.45 / 4 0.45 / 4 0.45 / 4 not rec.
4

Equivalent Diameter (mm)

12

10 450 525 600 750 900 1050 1200 1350 1500

1. Gauge, span and rise, and corrugation combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Minimum height of cover is measured to subgrade surface. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Gauge, span and rise, and corrugation combinations do not meet structural criteria, or are not manufactured.

10/22/09

APPENDIX A - HIGHWAY DRAINAGE

8A-13

Table 8-32 Structural Criteria for Round Corrugated Aluminum Structural Plate Pipe1,2
Diameter (mm) Min. Fill Height to Subgrade Surface (m) 2.54 1525 1675 1830 1980 2135 2285 2440 2590 2745 2895 3050 3200 3355 3505 3660 3810 3960 4115 4265 4420 4570 not rec. 0.9
4

Maximum Allowable Height of Cover3 (m) Pipe Wall Thickness (mm) 3.18 12 11 10 9 8 8 7 7 6 6 6 5 5 5 5 5 4 4 4 4 4 3.81 15 13 12 11 11 10 9 9 8 8 7 7 7 6 6 6 5 5 5 5 5 4.44 18 16 15 14 12 12 11 10 10 9 9 8 8 8 7 7 7 6 6 6 6 5.08 25 23 20 19 18 16 15 14 14 13 12 12 11 11 10 10 9 9 9 9 8 5.72 28 26 23 22 20 19 17 16 16 15 14 13 13 12 12 11 11 10 10 9 9 6.35 30 29 26 24 22 21 20 18 17 16 16 15 14 13 13 12 12 11 11 10 10

9 0.45 8 7 7 6 0.6 6 5 5 5 5 4 0.75 4 4 4 4

1. Pipe wall thickness, and diameter combinations not included in this table shall not be specified. 2. MS-23 Live Loading. 3. Maximum vertical distance between the top of the pipe and finished or surcharge grade. 4. Pipe wall thickness and diameter combinations do not meet structural criteria, or are not manufactured.

10/22/09

8A-14

APPENDIX A - HIGHWAY DRAINAGE

Table 8-33 Structural Criteria for Corrugated Aluminum Structural Plate Pipe-Arch1,2
Span (mm) Rise (mm) Min. Fill Height to Subgrade Surface (m) Maximum Allowable Height of Cover 3 (m) Pipe Wall Thickness (mm) 2.54 6 6 0.6 6 5 5 5 5 4 4 0.75 4 4 4 3 3 3 3 0.9 not rec.
4

3.18 9 8 8 7 7 6 6 6 6 6 5 5 5 4 4 4 4 4 3

3.81 11 10 10 9 9 8 7 7 7 7 7 6 6 5 5 5 5 5 5 4 4

4.44 11 11 10 9 9 8 7 7 7 7 7 6 6 5 5 5 5 5 5 5 4

2010 2110 2210 2360 2460 2570 2690 2820 2920 3020 3120 3280 3480 3730 3940 3990 4270 4340 4550 4750 4980 1. 2. 3. 4.

1730 1750 1800 1830 1850 1910 1930 1960 1980 2030 2060 2080 2160 2210 2290 2540 2620 2920 3000 3100 3200

Pipe wall thickness, and span and rise combinations not included in this table shall not be specified. MS-23 Live Loading. Maximum vertical distance between the top of the pipe and finished or surcharge grade. Pipe wall thickness, and span and rise combinations do not meet structural criteria, or are not

manufactured.

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APPENDIX A - HIGHWAY DRAINAGE

Table 8-34 Structural Criteria for Reinforced Concrete Pipe 1 (Page 1 of 2)

8A-15

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8A-16

APPENDIX A - HIGHWAY DRAINAGE

Table 8-34 Structural Criteria for Reinforced Concrete Pipe1 (Page 2 of 2)

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APPENDIX A - HIGHWAY DRAINAGE

8A-17

Table 8-35 Structural Criteria for Reinforced Concrete Elliptical Pipe1

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8A-18

APPENDIX A - HIGHWAY DRAINAGE

Table 8-36 Structural Criteria for Smooth Interior Corrugated Polyethylene Pipe1
Diameter (mm) 100 300 375 450 600 750 900 1050 1200 1500 0.3 4.5 Min. Fill Height to Subgrade Surface (m) Maximum Allowable Height Of Cover2 (m)

1. MS-23 Live Loading 2. Maximum vertical distance between the top of the pipe and the finished or surcharge grade.

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HIGHWAY DESIGN MANUAL

Chapter 8 HIGHWAY DRAINAGE

Revision 61- Metric (Limited Revision)

March 25, 2011

Section 8.6.7

Changes Section updated by EB 11-008.

03/25/11

CHAPTER 8 HIGHWAY DRAINAGE

Contents

Page

8.1 INTRODUCTION ................................................................................................................ 8-1 8.2 LEGAL ASPECTS OF HIGHWAY DRAINAGE ................................................................. 8-2 8.2.1 8.2.2 8.2.3 State Drainage Law ................................................................................................ 8-2 State and Federal Environmental Laws and Regulations ....................................... 8-4 Connections to State Drainage Facilities .............................................................. 8-12

8.3 HYDROLOGY ................................................................................................................... 8-15 8.3.1 8.3.2 Type of Project vs Extent of Hydrologic Analysis.................................................. 8-15 Hydrologic Analysis .............................................................................................. 8-16

8.4 HYDRAULIC PRINCIPLES .............................................................................................. 8-28 8.4.1 8.4.2 Types of Open Channel Flow ............................................................................... 8-28 Energy of Flow ...................................................................................................... 8-31

8.5 OPEN CHANNELS ........................................................................................................... 8-32 8.5.1 8.5.2 8.5.3 8.5.4 Types of Open Channels ...................................................................................... 8-32 Channel Design Criteria ........................................................................................ 8-35 Hydraulics - Design and Analysis ......................................................................... 8-37 Maintenance ......................................................................................................... 8-40

8.6 CULVERTS ....................................................................................................................... 8-41 8.6.1 8.6.2 8.6.3 8.6.4 8.6.5 8.6.6 8.6.7 Hydraulic Design Criteria ...................................................................................... 8-41 Pipe Design Criteria ............................................................................................. 8-43 Culvert Design - Overview .................................................................................... 8-52 Site Considerations ............................................................................................... 8-61 Maintenance ......................................................................................................... 8-64 Safety - Roadside Design ..................................................................................... 8-65 Rehabilitation of Culverts and Storm Drains.. 8-65

8.7 STORM DRAINAGE SYSTEMS ....................................................................................... 8-66 8.7.1 8.7.2 8.7.3 8.7.4 8.7.5 8.7.6 8.7.7 8.7.8 8.7.9 Planning and Coordination ................................................................................... 8-67 Hydrologic Analysis .............................................................................................. 8-67 Gutters .................................................................................................................. 8-69 Inlets .................................................................................................................... 8-70 Storm Drains ......................................................................................................... 8-77 Drainage Structures .............................................................................................. 8-88 Storage Facilities .................................................................................................. 8-94 Shared Costs ........................................................................................................ 8-95 Maintenance ......................................................................................................... 8-96

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CHAPTER 8 HIGHWAY DRAINAGE 8.8 EROSION AND SEDIMENT CONTROL AND STORMWATER MANAGEMENT ........... 8-97 8.8.1 8.8.2 8.8.3 8.8.4 8.8.5 Determining The Need For An Erosion and Sediment Control Plan and SPDES/NPDES Stormwater Permits .................................................................... 8-97 Erosion and Sediment Control ............................................................................ 8-100 SPDES Stormwater General Permit ................................................................... 8-106 NPDES Stormwater General Permit ................................................................... 8-108 MS4 Stormwater Outfall Mapping ....................................................................... 8-109

8.9 DRAINAGE REPORT ..................................................................................................... 8-110 8.9.1 8.9.2 8.9.3 8.9.4 8.9.5 8.9.6 8.9.7 8.9.8 Introduction ......................................................................................................... 8-110 Hydrology ............................................................................................................ 8-110 Open Channels ................................................................................................... 8-111 Culverts ............................................................................................................... 8-111 Storm Drainage Systems .................................................................................... 8-111 Erosion and Sediment Control and Stormwater Management............................ 8-112 Special Considerations ....................................................................................... 8-112 References ......................................................................................................... 8-112

8.10 PLANS AND SPECIFICATIONS .................................................................................. 8-113 8.10.1 Plans ................................................................................................................... 8-113 8.10.2 Specifications ...................................................................................................... 8-116 8.10.3 Special Notes ...................................................................................................... 8-116 8.11 DRAINAGE SOFTWARE ............................................................................................. 8-117 8.12 REFERENCES ............................................................................................................. 8-118 8.12.1 References for Chapter 8.................................................................................... 8-118 8.12.2 Topics Presented in the "Highway Drainage Guidelines" and the "Model Drainage Manual" .................................................................................. 8-121 Appendix A Structural Materials for Various Pipe Materials and Shapes Appendix B NYSDOT Design Requirements and Guidance for State Pollutant Discharge Elimination System (SPDES) General Permit GP-02-01

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CHAPTER 8 HIGHWAY DRAINAGE LIST OF FIGURES Figure Number 8-1 8-2 8-3 8-4 8-5 8-6 8-7 Title Flood Hazard Area Specific Energy Diagram Total Energy in Open Channels Typical Anchor Bolt Details Flow Profiles for Culverts in Inlet Control Flow Profiles for Culverts in Outlet Control Drainage Structure Pipe Entrance Page 8-9 8-30 8-31 8-51 8-56 8-60 8-90

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CHAPTER 8 HIGHWAY DRAINAGE LIST OF TABLES Table Number 8-1 8-2 8-3 8-4 8-5 8-6 8-7 8-8 8-9 8-10 8-11 8-12 8-13 8-14 8-15 8-16 8-17 8-18 8-19 8-20 8-21 8-22 through 8-36 Title Page

Areas of Environmental Concern 8-4 Design Flood Frequencies (in years) For Drainage Structures and Channels 8-21 Values of Runoff Coefficient (C) for Use in the Rational Method 8-23 k Values for Various Land Covers and Flow Regimes 8-25 Design Lives 8-44 Metal Loss Rates for Steel By Geographic Location 8-45 Anticipated Service Life, in years, for Steel (with and without additional coating) 8-46 Additional Coating Options 8-47 Factors Influencing Culvert Performance in Inlet and Outlet Control 8-53 Anticipated Service Life, in years, for Steel (with and without additional coating) 8-78 Headloss coefficients 8-82 Correction Factors for Bench Types 8-85 Inside Dimensions of Drainage Structures (Types A Through U) 8-90 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Concrete and Smooth Interior Corrugated Polyethylene) 8-91 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Metal) 8-91 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Horizontal Elliptical Concrete Pipe Dimensions 8-92 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Metal Pipe Arch Dimensions 8-92 Maximum Size Round Pipe (Concrete and Smooth Interior Corrugated Polyethylene) and Skew Angle For Type Q Thru U Drainage Structures 8-93 Maximum Size Round Pipe (Metal) and Skew Angle For Type Q Thru U Drainage Structures 8-93 Contributory Flow Formulas 8-95 Separate Flow Formulas 8-96 Structural Criteria for Various Pipe Materials and Shapes Appendix A 8A-1 through 8A-19

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HIGHWAY DRAINAGE 8.1 INTRODUCTION

8-1

Highway drainage is an important consideration in the design of many projects. The term drainage is defined in several different ways, including the process of removing surplus groundwater or surface waters by artificial means, the manner in which the waters of an area are removed, and the area from which waters are drained. A project may alter the existing drainage. When this occurs, drainage features should be provided which protect the highway, adjacent landowners, and the traveling public from water, while maintaining water quality and protecting other environmental resources. The American Association of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), the U.S. Army Corps of Engineers (USACE), the National Resource Conservation Service (NRCS), and the U.S. Geological Survey (USGS) are the predominant source of guides, manuals and other documents to aid in the design of highway drainage features. In addition, "NYSDOT Guidelines for the Adirondack Park" provides information for consideration when designing projects within the Adirondack Park. (Refer to Chapter 2, Section 2.3.4 of the Highway Design Manual for further information regarding the use of this guideline.) AASHTO's "Highway Drainage Guidelines" presents an overview of highway drainage design. Procedures, formulas, and methodologies are not presented in detail. AASHTO's "Model Drainage Manual" provides procedures, formulas, methodologies, and example problems. FHWA's "Hydraulic Design Series" and "Hydraulic Engineering Circulars" provide guidance, formulas, and example problems on various subjects. The USACE, NRCS, and the USGS provide guidance regarding specific hydrologic, and hydraulic methodologies. Rather than repeat all of the detailed information in the publications mentioned above, this chapter provides an overview of highway drainage which is consistent with these publications and refers to them as necessary throughout the text. Departmental drainage design criteria, Regional experience, and other guidance is given where it may differ from the information presented in the referenced publications. Refer to Chapter 5, Section 5.1.2 for guidance regarding deviation from other design elements (drainage design criteria).

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8.1

8-2

HIGHWAY DRAINAGE

8.2 LEGAL ASPECTS OF HIGHWAY DRAINAGE The Department is obligated by State and Federal laws and regulations to protect: 1. The highway from rainfall and runoff. 2. Adjacent land beyond the highway from the discharge of artificially collected and concentrated flow from highway channels. 3. Floodplains. 4. Water quality and natural resources. Questions regarding our legal obligation to protect adjacent landowners from the Department's alteration of existing drainage should be addressed to the Office of Legal Affairs for opinion. Questions regarding water quality and protecting natural resources should be directed to the Regional Environmental Contact. The legal aspects of highway drainage are discussed at greater length in "The Legal Aspects of Highway Drainage" (Chapter 5 of the "Highway Drainage Guidelines") and "Legal Aspects" (Chapter 2 of the "Model Drainage Manual"). 8.2.1 State Drainage Law State drainage law is derived from common law based on two historical lines of thought: the old English common law rule ("common-enemy rule") and the "civil law rule". These rules developed into the "reasonable use rule". The law in New York seems to be based on the common law rule, modified by the law of reasonable use. Common law is that body of principles which developed from immemorial usage and custom and which receives judicial recognition and sanction through repeated application. These principles were developed without legislative action and are embodied in the decisions of the court. State drainage law is not located in "McKinney's Consolidated Laws of New York Annotated". State drainage law defines surface waters (runoff) and natural watercourses (natural channels), and establishes the legal consequences of their alteration. "Drainage of Surface Waters", prepared and issued by the Office of Legal Affairs, summarizes the law, cases relating to drainage, and drainage problems specific to New York. Each situation is unique and the circumstances involved play a prominent role in determining legal liability, as well as rights and duties. When in doubt, legal opinion should be sought from the Office of Legal Affairs. "Drainage of Surface Waters" was issued to further the legal understanding of the basics of drainage of surface water.

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8.2

HIGHWAY DRAINAGE

8-3

Projects which alter existing drainage patterns should be progressed in accordance with the following guidance which is based on "Drainage of Surface Waters": 1. Every effort shall be made to perpetuate the natural drainage pattern that existed prior to the construction of the highway. Collection and diversion of flows should be avoided whenever possible to limit the Department's liability from these actions. 2. When existing drainage patterns are disturbed by collection, diversion, elimination of ponding areas, or increasing stream velocities, provisions shall be included in the contract documents to return the drainage pattern downstream of the project to approximately the conditions existing before the project, as quickly as is feasible. 3. Whenever possible, the natural drainage pattern shall be re-established within the highway right of way. 4. Downstream drainage easements (usually permanent easements as described in Chapter 5, Section 5.5.4) shall be taken for all drainage from the highway boundary (right of way) to a point downstream where the pre-project drainage pattern has been reestablished. This point will usually be the location at which all collected waters would have entered the stream had the project not been built. However, the point may be that place at which the velocity returns to its natural state. At times, this may involve a considerable length which should require special studies and investigations. Economics may dictate taking an easement to a major water course without determining the point of re-established conditions. (Note: It may be argued that in rough terrain there would be little chance of downstream improvements being made and, therefore, there is no need to take downstream easements. If land in these areas is inexpensive, it would cost little to protect the Department from some future court action. There is no guarantee that a piece of property will never have capital improvements.) 5. Upstream drainage easements (permanent easements) shall be taken where necessary to provide adequate storage for headwater resultant from a drainage facility. These easements should be large enough to accommodate access to adequately maintain the drainage facility. Contact the Regional Maintenance Group to verify the size and location of the easement before the appropriation map is scheduled to be produced. 6. Consider improving existing downstream structures, to protect downstream landowners from increased flooding potential, when the flow reaching the structure is increased significantly because of the proposed highway improvement. An equally acceptable solution would be the creation of upstream storage areas. 7. Existing structures which become inadequate by the loss of their upstream storage areas due to highway construction shall be improved.

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8.2.1

8-4

HIGHWAY DRAINAGE

8.2.2 State and Federal Environmental Laws and Regulations The "Environmental Procedures Manual" (EPM) contains guidelines prepared consistent with the various state and federal laws and regulations which should be followed during project development. This guidance generally reflects State and Federal interagency concurrence on the most expeditious methods for the progress of Department activities. Copies of the laws and regulations are maintained by the Regional Environmental Contact. Refer to the Project Development Manual (PDM), Appendix 1, for a list of federal and state laws, rules, and regulations related to the environment, and guidelines for their implementation. Table 8-1 lists areas of environmental concern associated with highway drainage and the corresponding reference in the EPM. Table 8-1 Areas of Environmental Concern Area of Environmental Concern Wetlands Wild, scenic and recreational rivers Coastal zone Floodplains Water quality Endangered species Fish and wildlife Location of Guidance in EPM Chapter 4 4.A 4.6 4.2 See note 1 4.3, 4.4, 4.5 4.1 4.1

Note 1. IPDG 24 Flood Plain Management Criteria For State Projects is still in force, although it is not in the EPM. A copy of IPDG 24 may be obtained from the Regional Hydraulics Engineer or the Office of Structures.

Sections 8.2.2.1 to 8.2.2.7 discuss these areas of environmental concern in greater detail. 8.2.2.1 Wetlands In addition to the discussion presented in Sections A through C, wetlands are also regulated under water quality. Refer to Section 8.2.2.5.C.

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8.2.2

HIGHWAY DRAINAGE
A. Executive Order (EO) 11990 Protection of Wetlands (May 24, 1977)

8-5

EO 11990 was enacted to minimize the destruction, loss or degradation of wetlands and to preserve and enhance the natural and beneficial values of wetlands through proper planning. A programmatic wetland finding has been developed (dated 4/9/97) to streamline the wetland findings process for simple/minor projects. A programmatic EO evaluation and finding is acceptable for transportation projects which are classified as a Categorical Exclusion and require only a Corps of Engineers' Section 404 Nationwide Permit for work which will affect waters of the United States. The New York State Department of Transportation is also required to have a Design Approval Document containing a description and a plan depicting the location of the impacted wetlands, and a discussion on the type and size of permanent and/or temporary direct and indirect impacts to the wetlands. The project document needs a statement that there are no practicable alternatives to avoid construction in the federally regulated wetlands and that all practicable measures to minimize wetland harm have been incorporated. Finally, the project must be developed in accordance with the procedure for a public involvement/public hearing. Any projects not meeting the above requirements shall require an individual wetland finding. An individual wetland finding has the same requirements for the Design Approval Document listed above. Mitigation for unavoidable impacts should be provided where practicable. A Notice of Construction in Wetlands must be published for a 30 day comment period in advance of an individual finding by FHWA. B. Article 24 of the Environmental Conservation Law (Title 6 of the State of New York Official Compilation of Codes, Rules and Regulations, 6NYCRR, Part 663-665) This article establishes regulations to preserve, protect and conserve freshwater wetlands. A New York State Department of Environment Conservation (NYSDEC) Freshwater Wetlands Permit is required for any project activities, including excavation, erecting structures, grading, grubbing, filling, draining, clear-cutting, or work on drainage structures or channels within the established boundary of a state regulated wetland or within its adjacent 30m(legally 100 ft.)wide buffer area. NYSDEC jurisdictional wetlands are generally 5.0 ha(legally 12.4 acres) or larger and are mapped by NYSDEC. The Adirondack Park Agency regulates activities in and adjacent to freshwater wetlands on all lands within the Adirondack Park pursuant to Article 24 and Adirondack Park Agency Rules and Regulations (9 NYCRR 578). Within the Adirondack Park, all wetlands 0.4 ha ( legally 1.0 acre) or larger are regulated 30m (legally 100 ft.) adjacent area) and all wetlands smaller than 0.4 ha (legally 1.0 acre) are regulated if there is a free exchange with open water (e.g., streams, ponds, lakes). Regulated activities include any form of excavation, filling, draining, polluting, clearcutting, and erecting structures.

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8.2.2.1

8-6

HIGHWAY DRAINAGE
C. Article 25 of the Environmental Conservation Law (6 NYCRR Part 661) This article establishes regulations to preserve, protect and enhance tidal wetlands. A NYSDEC Tidal Wetlands Permit is required for all regulated project activities, including dredging, grading, excavating or constructing bridges or drainage structures within tidal wetlands areas and adjacent areas that extend up to 90m (legally 300 ft.) inland from the wetland boundary (up to 45m,( legally 150 ft.) within New York City).

8.2.2.2 Wild, Scenic, and Recreational Rivers A. Wild and Scenic Rivers Act (16 USC 1271, 36 CFR 251, 297, and 43 CFR 8350) This Act requires consultation with the National Park Service for any proposed federal activity affecting a "Listed, Study or Inventory River". Department activities shall not affect the free-flowing character or scenic value of designated rivers or affect the future designation of inventory or study rivers. Regulated activities include expanding or establishing new river crossings or adjacent roads, clearing, and filling. B. Article 15 of the Environmental Conservation Law (6 NYCRR Part 666) The Wild, Scenic and Recreational Rivers Act was developed to protect and preserve, in a free-flowing condition, those rivers of the state that possess outstanding natural, scenic, historical, ecological and recreational values. Project activities within a designated river or its immediate environs (generally 0.8 km ( legally 0.5 mi.) each side, outside the Adirondack Park and 0.4 km (legally 0.25 mi.) each side, within the Adirondack Park) must be designed to prevent significant erosion or direct runoff into the river. NYSDEC has jurisdiction over rivers on public lands within the Adirondack Park and on lands outside the Park. The Adirondack Park Agency has jurisdiction over rivers on private lands within the Adirondack Park. 8.2.2.3 Coastal Zone A. Article 34 of the Environmental Conservation Law (6 NYCRR Part 505), the Coastal Erosion Hazard Act This article requires a permit from NYSDEC for any project proposed within a coastal erosion hazard area.

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8.2.2.1

HIGHWAY DRAINAGE

8-7

B. Article 42 of the Executive Law (19 NYCRR 600 and 601), The Waterfront Revitalization and Coastal Resources Act This article requires project activities in coastal areas to be consistent with NYS Department of State's (NYSDOS) 44 coastal policies and, to the maximum extent practicable, with approved municipal Local Waterfront Revitalization Plans (LWRP's). NYSDOS coastal policies and LWRP's include provisions to protect wetlands and surface water resources from erosion and sedimentation and other non-point source pollution. 8.2.2.4 Floodplains A floodplain or flood prone area is any land or area susceptible to being inundated by water from any source. A flood or flooding means a general and temporary condition of partial or complete inundation of normally dry land areas from the overflow of inland or tidal waters, or the unusual and rapid accumulation or runoff of surface waters from any source. A. National Flood Insurance Program (NFIP) NFIP regulations are contained in 44 CFR Parts 59-77. The following acts describe the program: 1. The National Flood Insurance Act of 1968 (PL 90-448), as amended, was enacted to provide previously unavailable flood insurance protection to property owners in flood-prone areas. 2. The Housing and Urban Development Act of 1969 (PL 91-152) added mudslide protection to the program. 3. The Flood Disaster Protection Act of 1973 (PL 93-234) added flood-related erosion to the program and requires the purchase of flood insurance as a condition of receiving any form of federal or federally-related financial assistance for acquisition or construction purposes with respect to insurable buildings and mobile homes within an identified special flood, mudslide, or flood-related erosion hazard area that is located within any community participating in the program. (A community includes any State or area or political subdivision thereof which has authority to adopt and enforce flood plain management regulations for the areas within its jurisdiction.) In addition, the act requires that on and after 7/1/75, or one year after a community has been notified by the Federal Insurance Administrator (FIA) of its identification as a community containing one or more special flood, mudslide, or flood-related erosion hazard areas, no federal financial assistance shall be provided within such an area unless the community participates in the program. To qualify for the sale of federally-subsidized flood insurance, a community must adopt and submit to the FIA as part of its application, flood plain management regulations. New York's regulations are contained in 6 NYCRR Part 502.

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8.2.2.3

8-8

HIGHWAY DRAINAGE

It is possible to comply with the federal requirements regarding the encroachment of a highway on a floodplain and still be faced with future legal liabilities because of the impact of the highway on the floodplain and the stream. The Regional Hydraulics Engineer should review these potential liabilities and ensure that their evaluation is considered when the final highway location is selected. B. Executive Order (EO) 11988 Floodplain Management (May 24, 1977) EO 11988 requires each Federal agency to take the following actions: 1. To reduce the risk of flood loss, to minimize the impact of floods on human safety, health and welfare, and to restore and preserve the natural and beneficial values served by floodplains, and 2. To evaluate the potential effect of any actions it may take in a floodplain, to ensure its planning programs reflect consideration of flood hazards and floodplain management. These requirements are contained in the Federal Aid Policy Guide (FAPG) under 23 CFR 650 Subpart A, Location and Hydraulic Design of Encroachments on Flood Plains. C. Article 36 of the Environmental Conservation Law (ECL) - Participation in Flood Insurance Programs, and Part 502 (6 NYCRR) - Flood Plain Management Criteria For State Projects This article establishes regulations (6 NYCRR 502) for Departmental and other State agency implementation to insure that the use of State lands and the siting, construction, administration and disposition of State-owned and State financed facilities are conducted in ways that will minimize flood hazards and losses. As previously discussed, the regulations are required for the State to continue its qualification as a participating community in the NFIP administered by the Federal Insurance Administration of the Department of Housing and Urban Development. Projects which involve flood hazard areas shall be progressed in accordance with the criteria in Section 502.4. A flood hazard area consists of the land in a floodplain within a city, town or village subject to a one-percent or greater chance of flooding in any given year. A Flood Hazard Boundary Map (FHBM), or Flood Insurance Rate Map (FIRM) is available from the municipality, NYSDEC, or the Regional Hydraulics Engineer, for those flood hazard areas which have been delineated by the FIA. Figure 8-1 illustrates the flood hazard area and the 100 year flood plain.

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8.2.2.4

HIGHWAY DRAINAGE

8-9

Figure 8-1 Flood Hazard Area

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8.2.2.4

8-10

HIGHWAY DRAINAGE

8.2.2.5 Water Quality A. Section 401 of the Federal Water Pollution Control Act This section (33 USC 1341) authorizes state environmental agencies to certify that proposed dredge and fill disposal projects will not violate state water quality standards before a federal permit is granted. NYSDEC administers Section 401 through its 401 Water Quality Certification (WQC) Program. The issuance of any federal permit (e.g., U.S. Coast Guard Section 9, U.S. Army Corps of Engineers (USACE) Section 10 and Section 404) is contingent on receipt of a NYSDEC 401 WQC. B. Section 402(p) of the Federal Water Pollution Control Act This section (added in 1987; 33 USC 1342(p)) requires the Environmental Protection Agency (EPA) to establish final regulations governing stormwater discharge permit application requirements under the National Pollutant Discharge Elimination System (NPDES) program. NYSDEC implements the federal program through its State Pollutant Discharge Elimination System (SPDES) program. Under NYSDEC SPDES Stormwater General Permit No. GP-02-01, a Notice of Intent must be filed and a Stormwater Pollution Prevention Plan (SWPPP) must be prepared as discussed in Appendix B, Section 2.4 of this chapter, and Chapter 4.3 of the Environmental Procedures Manual. Refer to Section 8.8, Erosion and Sediment Control and Stormwater Management, and Appendix B, NYSDOT Design Requirements and Guidance for SPDES General Permit GP-02-01, for additional guidance regarding the need for coverage under the SPDES General Permit. NYSDEC does not have jurisdiction on federal land within New York State. For projects on Indian Lands, refer to the NPDES Construction General Permit in EPM Chapter 4.3, Attachment 4.3.C.1 C. Section 404 of the Federal Water Pollution Control Act This section (33 USC 1344) prohibits the unauthorized discharge of dredged or fill material, including incidental discharge from excavation activities, into waters of the United States, including federal-jurisdictional wetlands. USACE Individual or Nationwide Section 404 Permits are required for the placement of fill materials into waters of the United States associated with the construction, repair or replacement of highways, bridges and drainage structures and facilities.

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8.2.2.5

HIGHWAY DRAINAGE
D. Section 10 of the Rivers and Harbors Act of 1879

8-11

This section (33 USC 403 and 33 CFR 320-325) prohibits the unauthorized obstruction or alteration, including the excavation or deposition of materials in and the construction of any structure in or over designated navigable waters of the United States without a Corps of Engineers Individual or Nationwide Permit. Requirements are usually met with section 404 and 401 compliance. E. Section 1424 (e) of the Safe Drinking Water Act - Sole Source Aquifers This section, EO 12372, and a 1974 FHWA/EPA MOU requires certain Federally funded projects over designated sole source aquifers to be coordinated with EPA and modified, if necessary, to protect the water quality and quantity of the aquifer. Projects over state primary water supply and principal aquifer areas should also consider potential contamination of aquifers and include best management practices as appropriate. Although no permitting program exists, other regulations such as SPDES, Protection of Waters, Wetlands Act, etc. can also be used to require project modification. F. Article 15 of the NYS Environmental Conservation Law This section (ECL Article 15-0501 and 15-0505, and 6 NYCRR Part 608) regulates the disturbance of the bed and banks of any protected stream (class CT or higher) and the excavation and fill in any navigable water. The Department is exempt from permit requirements. However, the Department is obligated through a 1996 MOU to coordinate with DEC and modify projects if necessary. G. Water Quality Classifications and Standards (6 NYCRR Part 700-705) These regulations classify surface and groundwaters according to their potential best usage (Part 701) and establish water quality standards to protect water quality (Part 703). Department projects, whether or not a permit is required, can not result in a violation of established water quality standards (e.g., no increase in water turbidity that causes a substantial visible contrast to natural conditions).

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8.2.2.5

8-12

HIGHWAY DRAINAGE

8.2.2.6 Endangered Species The Federal Endangered Species Act of 1973, as amended, Section 7 (16 USC 1536) prohibits federal agencies (e.g., FHWA, USACE, Coast Guard) from taking actions (e.g., approving funding or issuing permits) that would be likely to jeopardize the continued existence of endangered or threatened species. Projects with activities involving drainage, wetlands and surface waterbodies must be evaluated for potential impacts affecting federally listed or proposed endangered or threatened species. 8.2.2.7 Fish and Wildlife The Fish and Wildlife Act of 1956 (16 USC 742a et seq.), the Migratory Game-Fish Act (16 USC 760c-760g) and the Fish and Wildlife Coordination Act (16 USC 661-666c) express the concern of Congress with the quality of the aquatic environment. The United States Fish and Wildlife Service is authorized to review and comment on the effects of a proposal on fish and wildlife resources under federal permit processes. It is the function of the regulatory agency (e.g., USACE, Coast Guard) to consider and balance all factors, including anticipated benefits and costs in accordance with the National Environmental Procedures Act, in deciding whether to issue the permit (40 FR 55810, December 1, 1975). 8.2.3 Connections To State Drainage Facilities Sections 8.2.3.1 and 8.2.3.2 discuss the different types of connections to state drainage facilities which shall be considered. 8.2.3.1 Sanitary Sewer Connections Private or municipal sanitary sewer connections may exist within our right of way. A. Private Sanitary Sewer Connections The discharge of private sanitary sewer systems into a state highway drainage facility is illegal. Department representatives who suspect a private sanitary sewer connection to a storm sewer, culvert, or open channel within the right of way should contact the local representative of the Department of Health for their recommendation in removing the subject trespass. If the sanitary sewer pipe terminates outside the right of way and the effluent flows into a highway drainage facility, the Department's representative should contact the Department of Health and request the necessary corrective action be taken. (This arrangement has been agreed to by Memorandum of Understanding between the Department of Transportation and the Department of Health dated 4/11/66.) The cost of corrective action shall be paid for by the private owner.

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8.2.2.6

HIGHWAY DRAINAGE

8-13

B. Municipal Sanitary Sewer Connections Existing sanitary sewer systems may be separate, or combined with our existing storm drainage system. The Department will participate in the relocation of separate, and combined systems if our project affects them. If the municipality desires any improvements to their system, this is a betterment and should be treated as such. 8.2.3.2 Storm Drainage Connections A. Private Storm Drainage Connections 1. Existing Connections. It is the Department's responsibility to maintain existing surface water drainage across and along the highway right of way. Due to the nature of typical section design for cuts, fill and curbed highways, the collection and redirection of the flow of surface water will continue. In many corridors, the highway drainage system has become the only way that the stormwater or groundwater discharge from adjacent development can be conveyed to a natural watercourse. The Department's highway work permit process, and a municipality's site plan approval process, generally ensure that discharges from developments are designed in a manner that does not increase flows that have the potential to damage the highway or downstream properties. If adding discharge to a State system is unavoidable, the applicant shall assume the cost of altering the downstream section of the State system to accommodate the increased flow. There will be locations where connections to the state's storm drainage system were constructed without our knowledge or approval and where damage has occurred or may occur in the future. In situations where designers suspect this to be the case, they should first consult with the Resident Engineer for whatever historical information may be available. If there is potential for damage, or if damage has occurred in the past and it is clear that we cannot correct the situation at nominal cost, a coordinated approach by the Department and the municipality is advisable.

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8.2.3.1

8-14

HIGHWAY DRAINAGE
2. Proposed Connections. Private development adjacent to State Highways will not be allowed to significantly increase either the runoff velocity or rate of runoff as it enters the State highway drainage system. This policy is administered through the highway work permit process. (Refer to Procedure 7.12-2 of the "Manual of Administrative Procedures", and the "Policy and Standards For Entrances To State Highways" for additional guidance.) Generally, a retention or detention system is necessary to restrict the flow rate of a development's drainage discharge to the predevelopment rate. In situations where the development is discharging near the downstream end of a relatively large drainage area, an undetained connection may be appropriate. This allows the increased flow from the development to pass downstream prior to the peak flow from the watershed. Detention in these situations can actually increase the watershed peak flow. Proper analysis of the watershed's characteristics is necessary. Consideration shall be given to redevelopment projects in corridors with older storm drainage facilities. There may be an existing development that was constructed with stormwater discharge to the state's highway drainage facilities without proper consideration of the effect on our system. If this site is being proposed for redevelopment, any deficiencies in the design of the original development's storm drainage system shall be corrected at the expense of the owner. B. Municipal Storm Drainage Connections Proposed storm drainage systems may be progressed in cooperation with a municipality. The municipality shall participate in the cost of cooperative projects as discussed in Section 8.7.8.

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8.2.3.2

HIGHWAY DRAINAGE

8-15

8.3 HYDROLOGY Hydrology is a science concerned with the occurrence, distribution, and movement of water. The necessity and extent of the hydrologic analysis to be performed is based on the type of project. Typically, a design discharge (usually the peak discharge) must be determined for a unique design flood frequency and storm duration. On occasion, the peak discharge must be determined from plotting a hydrograph. An overview of the process of performing a hydrologic analysis, including criteria (design flood frequency) and methodologies for determining the peak discharge (with and without the use of a hydrograph), are discussed in this section. The publications referred to in the text regarding specific methodologies (i.e. "Urban Hydrology for Small Watersheds", TR-55, etc.) are necessary to guide the user through the process. Hydrology is discussed at greater length in "Hydrology" (Chapter 2 of the "Highway Drainage Guidelines"), "Hydrology" (Chapter 7 of the "Model Drainage Manual"), and "Hydraulic Design Series" (HDS) No. 2, "Highway Hydrology". 8.3.1 Type of Project vs Extent of Hydrologic Analysis The extent of the hydrologic analysis to be performed should be based on project type as follows (Not every project will require a hydrologic analysis for all locations within the project limits.): 1. Construction on new alignment - A hydrologic analysis is required to determine the need for, and necessary capacity of drainage features (culverts, open channels, storm drainage systems, etc). 2. Reconstruction on existing horizontal and vertical alignment - A hydrologic analysis shall be performed for all drainage features located within the project limits having a history of flooding, and for open and closed drainage systems with a remaining service life less than the design life of the highway improvement. 3. Resurfacing, Restoration and Rehabilitation (3R) - A hydrologic analysis is required for all drainage features having a history of flooding, or in need of replacement or major repair. Extension of a culvert to flatten side slopes usually does not require a hydrologic analysis, but shall require a hydraulic analysis to establish the flow of water in the new drainage pattern. 4. Pavement Preventive Maintenance Projects - No hydrologic analysis is required. 5. Culvert replacement or relining project - A hydrologic analysis is required.

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8.3

8-16

HIGHWAY DRAINAGE

8.3.2 Hydrologic Analysis The overall process which should be used to conduct the hydrologic analysis for a given project is listed below and discussed in Sections 8.3.2.1 through 8.3.2.5. 1. 2. 3. 4. 5. Conduct preliminary research. Take an initial field trip to the project site. Determine if the design discharge should be calculated with or without a hydrograph. Select a methodology and design flood frequency, and calculate the design discharge. Take a final field trip to verify the analysis/design and to recheck flood damage potential.

8.3.2.1 Preliminary Research Preliminary research should take place before conducting the first field trip in order to make the trip more productive: 1. Obtain available topographic information, including USGS quadrangles, county or municipal topographic maps or other recent surveys. Outline the drainage patterns and areas on a contour map. 2. Determine soil characteristics of each drainage area for the project. This information may be obtained from the NRCS County Soil Survey or from the Regional Geotechnical Engineer. 3. The Regional Hydraulics Engineer, or appropriate Regional Design group, should be contacted to determine if there is a Flood Insurance Study with an associated Flood Insurance Rate Map, and Flood Boundary and Floodway Map for the area. 4. Determine if the site is at or near a location listed in the USGS publication "Maximum Known Stages and Discharges of New York Streams 1865 - 1989, with Descriptions of Five Selected Floods, 1913-85". If the site is listed, valuable hydrologic data may be provided which should be used to check the reasonableness of the flow rate computations performed in accordance with Section 8.3.2.4. In addition, the USGS publishes "Water Resources Data New York Water Year" which contains flow rates and other data for streams. Three separate volumes are published to cover the state (eastern excluding Long Island, western and Long Island). 5. Obtain available aerial photographs. These photographs can help determine lateral migration of stream channels, land use, type of terrain, tree cover, etc. Recent aerial ortho photographs are available as a part of the GIS datasets. GIS ortho images are available dating back to approximately 1995 through the GIS group. The Office of Technical Services is also a good source for earlier photos. NYSDEC has aerial ortho images dating back to around 1940. Photogrammetric images are also now being provided with highway projects. 6. Obtain any previous field reconnaissance notes. They may be of significant value in the determination of drainage patterns and areas.

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7. Check with the Resident Engineer's Office to see if they have historical records of high water flow for the subject drainage area. 8. Check Highway Record Plans for the area. proposed structures. They can be used as a guide to size

9. Perform preliminary flow rate calculations for cross drainage locations. 8.3.2.2 Initial Field Trip - Data Collection After the preliminary research has been completed, and preliminary flow rates calculated, the initial field trip should be taken. (Be sure to bring a camera, take lots of pictures, and always try to include a person or other item of known size in the picture to act as a visual scale.) The main items to be investigated are: 1. 2. 3. 4. 5. Drainage patterns and drainage areas. Land use. Soil types. Existing and previous flood conditions. Location of natural and man-made detention features.

A. Drainage Patterns and Drainage Areas Topographic information that covers the drainage areas should be taken into the field to verify the drainage patterns and areas. In addition, aerial photographs, record plans, and field survey or notes may be useful in the field. Cross culverts which carry water into or out of the area being investigated should be noted. In the initial phases of a design, especially for projects on a new alignment, the roadside drainage patterns have normally not been determined. The proposed location of crossdrainage can be determined by laying out the centerline of the proposed improvement on a contour map. Drainage patterns and areas may have to be changed before the project is finalized, however, and these changes may require redesign later. B. Land Use The type of land and land use should be considered. Note whether the land is wooded, fallow (crop land kept free of vegetation during the growing season), plowed and planted with crops, or developed (containing a high percentage of roof areas, paved parking lots, grass lawns, etc.). Land use and cover have a large affect on peak flow rate.

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8.3.2.1

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HIGHWAY DRAINAGE

C. Soil Types Confirm preliminary soils information. Attempt to verify the runoff characteristics of the soils within the drainage area and their capabilities of resisting erosion. Look for locations where soil erosion may become, or is a problem. These locations, which are frequently channel banks, may need stone filling. The Regional Geotechnical Engineer should assist, if deemed necessary, with this determination. D. Existing and Previous Flood Conditions The magnitude of previous flooding conditions at the location being investigated should be determined. Evidence of past flooding may not be easily discernible since time will disguise flood damage. Evidence may be gathered by checking the following sources: 1. Determine High Water Elevations in Channels and at Structures Existing stream channels (when there is a definite channel) show flooding effects in various ways. These effects are visible as different degrees of erosion in the stream bank or the stream bottom. Other indications which may be evident are high water marks shown as mud lines on concrete surfaces or rock faces along stream embankments, and debris which has been deposited along the channel slopes. High water marks are only to be used as indicators. High water elevation determination for an existing structure will enable the designer to more accurately calculate a maximum flow rate at the structure. The information needed is the slope, type and size of the existing structure and the estimated maximum headwater and tailwater depths. 2. Conduct Personal Interviews Personal interview of area residents may be helpful in determining previous flooding conditions; however, the information obtained by this method may be biased. The interviewer should ask if local residents have photographs or a video taken at the time of the flooding. Information obtained from interviews of local residents and local maintenance personnel is usually helpful and can be used as an indication of high water elevations in conjunction with field observations. 3. Deposition and Scour at Existing Structures Signs of flooding conditions at existing structures are deposition of stream bed material and scour holes near structure inlets. Scour holes near structure outlets are not as indicative of flood conditions since normal flows through a structure can cause scour and erosion at the outlet. Deposition of stream bed material, which will consist of sand, gravel and/or debris, can occur within the upper portions of a drainage structure which does not have any significant outlet control. The deposition and scour holes are indications of high headwater at the inlet. This indicates that the culvert may be undersized.

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8.3.2.2

HIGHWAY DRAINAGE

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4. Debris The size and weight of deposited material is also a general indication of the velocity of the stream during maximum flow conditions. As the stream channel grade steepens and the flow rate increases, the velocity will be faster and the heavier debris is more easily moved by the flowing water. By observing these general characteristics of a stream and culvert, a better determination of past velocities and flow rates can be made to confirm the design flow rate. 5. Regional Department of Environmental Conservation Office Some of these offices have flood control staff who may provide information regarding flood prone areas. E. Natural and Man-made Detention Features The existence of any detention features should be verified. Natural detention features can take the form of wetlands, ponding areas, reservoirs, and lakes. Man-made features can include flood control dams, highway embankments, and culvert locations. These all have the effect of increasing the time of concentration, which may reduce the flow rate at the point under consideration downstream. If the feature is near the headwater of the drainage area, the effects will not be as great as the effects if the feature is closer to the point under consideration. If the storage feature is close to the point under consideration, an analysis may need to be performed using HEC-HMS "Hydrologic Modeling System" (Hydraulic Engineering Center), , or another similar method to determine the proper flow rate. In some cases, detention features can reduce the required size of a downstream facility appreciably. 8.3.2.3 Peak Discharge (With or Without a Hydrograph) Discharge is the rate of the volume of flow per unit of time. The peak runoff rate, or peak discharge, should generally be determined without calculating a hydrograph when the effects of water storage are not considered. A hydrograph should be used to establish the peak discharge when an analysis of the effects of water storage on the drainage area under evaluation needs to be considered. Examples are ponds, reservoirs, or other water storage areas within the drainage area, and when stormwater management needs to be considered. A hydrograph is a graphical plot of discharge (flow) versus time for a specific location and recurrence interval (design flood frequency). A unit hydrograph is a special hydrograph that describes the discharge resulting from a one inch rainfall event. The height of a hydrograph is the peak flow rate, and the time to the peak discharge is the time of concentration. The shape of a hydrograph is dependent upon the watershed characteristics. A narrow, high hydrograph describes a watershed that produces runoff quickly after a rainfall event, and a broad, short hydrograph describes a watershed that produces runoff slowly after a rainfall event. The most commonly used hydrograph is the NRCS dimensionless unit hydrograph.

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8.3.2.2

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HIGHWAY DRAINAGE

8.3.2.4 Flow Rate Determination Several methods for determining flow rates are listed in items 1 through 4 below. Methods 1 and 2 are based upon rainfall effects and do not consider snowmelt. In some areas, runoff from snowmelt will regularly exceed peak events due to rainfall. Each flow rate determination method is unique. Users should be familiar with each method, and be able to select the most appropriate method for each location and situation. Additional methods are presented in the publications referenced in Section 8.3. Other agencies, such as the USACE, have studied various larger streams and rivers in New York State. Their flow rate calculations tend to be conservative because their purpose is flood control on those rivers and streams. The FEMA has studied a large percentage of the rivers and streams in the State through the NFIP. Flood study results should be closely reviewed because they were developed by different consultants over several decades, using a variety of methods, and they are of variable quality. Recommended methods, which are briefly explained in sections A through D, include: 1. Rational Method. Computes a peak discharge. 2. Modified Soil Cover Complex Method ("Urban Hydrology for Small Watersheds", NRCS TR-55, is the basis for this method). Computes a peak discharge directly using a formula and by plotting a hydrograph. 3. Regression Equations. Computes a peak discharge. 4. Historical Data. The design flood frequencies provided in Table 8-2 are recommended for use with the Rational Method, the Modified Soil Cover Complex Method, and the regression equations. The design flood frequency is the recurrence interval that is expected to be accommodated without exceeding the design criteria for the open channel, culvert, or storm drainage system.

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8.3.2.4

HIGHWAY DRAINAGE

8-21

Table 8-2 Design Flood Frequencies (in years) For Drainage Structures and Channels1 Highway Functional Class Interstates and Other Freeways Principal Arterials Minor Arterials, Collectors/Local Roads and Streets Culverts2 50 50 Storm Drainage Systems 10 5 10 5 Relocated Natural Channels3 --Ditches4 25 25

50 6

57

--

10

1. The values in this table are typical. The selected value for a project should be based upon an assessment of the likely damage to the highway and adjacent landowners from a given flow and the costs of the drainage facility. Note: 100-year requirements must be checked if the proposed highway is in an established regulatory floodway or floodplain. 2. The check flow, used to assess the performance of the facility, should be the 100 year storm event. 3. Relocated natural channels should have the same flow characteristics (geometrics and slope) as the existing channel and should be provided with a lining having roughness characteristics similar to the existing channel. 4. Including lining material. 5. As per 23CFR650A, and Table 1-1 of HDS 2, a 50-year frequency shall be used for design at the following locations where no overflow relief is available: a. sag vertical curves connecting negative and positive grades. b. other locations such as underpasses, depressed roadways, etc. 6. A design flood frequency of 10 or 25 years is acceptable if documented in the Design Approval Document, and when identified after design approval, in the drainage report. A design flood frequency of 10 or 25 years should be used in the design of driveway culverts and similar structures. 7. Use a 25-year frequency at the following locations where no overflow relief is available: a. sag vertical curves connecting negative and positive grades. b. other locations such as underpasses, depressed roadways, etc.

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8.3.2.4

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HIGHWAY DRAINAGE
A. Rational Method This method is recommended to determine the peak discharge, or runoff rate, from drainage areas up to 80 ha. If a hydrograph is required to consider the effects of storage, use the Modified Soil Cover Complex method, or a similar method. The Rational Method assumes the following: 1. Peak discharge occurs when all of the drainage area is contributing, 2. A storm that has a duration equal to the time of concentration (Tc) produces the highest peak discharge for the selected frequency, 3. Intensity is uniform over a duration of time equal to or greater than the Tc, and 4. The frequency of the peak flow is equal to the frequency of the intensity. The rational method formula is: Q = kCiA , where: Q k C i A = peak discharge or rate of runoff (m3/s) = 0.00278 (m3/s)/hr/(ha mm) = runoff coefficient = intensity (mm/hr) = drainage area (ha)

1. Runoff coefficient. The runoff coefficient selected shall represent the characteristics of the drainage area being analyzed. A weighted runoff coefficient (Cw) should be used in the Rational formula for drainage areas having different runoff characteristics. Cw should be calculated as follows: Cw = 3CiAi / A , where Ci = runoff coefficient for subarea "i" Ai = subarea Refer to Table 8-3 for recommended runoff coefficients.

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8-23

Table 8-3 Values of Runoff Coefficient (C) for Use in the Rational Method Type of Surface Rural Areas Concrete, or Hot Mix Asphalt pavement Gravel roadways or shoulders Steep grassed areas (1:2, vert.:horiz.) Turf meadows Forested areas Cultivated fields Urban/Suburban Areas Flat residential, @ 30% of area impervious 0.40 Flat residential, @ 60% of area impervious 0.55 Moderately steep residential, @ 50% of area impervious 0.65 Moderately steep built up area, @ 70% of area impervious 0.80 Flat commercial, @ 90% of area impervious 0.80 0.95 0.4 0.6 0.1 0.1 0.2 - 0.98 - 0.6 - 0.7 - 0.4 - 0.3 - 0.4 Runoff Coefficient (C)1

1. For flat slopes and/or permeable soil, use lower values. and/or impermeable soil, use the higher values.

For steep slopes

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8.3.2.4

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2. Intensity. Determine intensity i.e., the rate of rainfall upon the drainage area, using intensity-duration-frequency (IDF) curves developed for the area being analyzed, a duration equal to the time of concentration (Tc), and a frequency equal to the design flood frequency. IDF relationships are based upon statistical analysis of rainfall data. They describe, for a given flood frequency, the average intensity of rainfall for a storm of a given duration (equal to the time of concentration). The statistical data for New York State is based upon "Technical Paper No. 40"(TP-40) and the "NOAA Technical Memorandum NWS HYDRO-35". The methodology for developing IDF curves is presented in "Drainage of Highway Pavements", Highway Engineering Circular (HEC) No. 12. To construct a set of IDF curves for a given location, HEC-12 uses six data points from HYDRO-35: the 2year 5, 15 and 60 minute rainfalls and the 100-year 5, 15 and 60 minute rainfalls. the 60 minute rainfall for each intermediate return period is calculated from these points, and then the rainfall intensities for other durations are calculated. IDF curves for some locations are available from the Regional Design Group or should be constructed from known rainfall data. To obtain the intensity, the Tc must first be estimated. The Tc is defined as the time required for water to travel from the most remote point in the watershed to the point of interest. The time of concentration path is the longest in time, and is not necessarily the longest in distance. Various methods can be used to determine the Tc of a drainage area. The method used to determine the Tc should be appropriate for the flow path (sheet flow, concentrated flow, or channelized flow). The minimum Tc used shall be 5 minutes. The velocity method can be used to estimate travel times (Tt) for sheet flow, shallow concentrated flow, pipe flow, or channel flow. It is based on the concept that the travel time for a flow segment is a function of the length of flow (L) and the velocity (V): Tt = L/60V , where Tt, L, and V have the unit of minutes, m, and m/s. The Tt is computed for the principal flow path. When the principal flow path consists of segments that have different slopes or land covers, the principal flow path should be divided into segments and the travel time associated with each flow segment should be calculated separately and summed to determine the Tc. Velocity is a function of the type of flow, the roughness of the flow path, and the slope of the flow path. A number of methods are available for estimating velocity, and are based on the type of flow. After short distances, sheet flow tends to concentrate in rills and then gullies of increasing proportions, and is usually referred to as shallow concentrated flow.

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8.3.2.4

HIGHWAY DRAINAGE

8-25

The velocity of shallow concentrated flow can be estimated using by using the following equation: V = k S 0.5 where V = velocity in (m/s) k = Value from Table 8-4 S = slope (percent) The value of k is a function of the land cover as shown in Table 8-4. Table 8-4 k Values for Various Land Covers and Flow Regimes k 0.076 0.152 Land cover/flow regime Forest with heavy ground litter; hay meadow/ overland flow Trash fallow or minimum tillage cultivation; contour or strip cropped; woodland/overland flow Short grass pasture/overland flow Cultivated straight row/overland flow Nearly bare and untilled/overland flow Grassed waterway/shallow concentrated flow Unpaved/shallow concentrated flow Paved area/shallow concentrated flow; smal upland gullies

0.213 0.274 0.305 0.457 0.491 0.619

Manning's equation, provided in Section 8.4.1.1, can be used to determine flow velocities in pipes and open channels. 3. Area. This is the drainage area contributing flow to the drainage feature under evaluation.

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8.3.2.4

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B. Modified Soil Cover Complex Method This method is recommended to determine the peak discharge, and a hydrograph, from drainage areas up to 1 mi2 (260 ha). "Urban Hydrology for Small Watersheds", NRCS TR-55, applies the modified soil cover complex method to determine a peak discharge and a hydrograph. Only a peak discharge may be determined using the Graphical Peak Discharge method. A peak discharge and a hydrograph may be determined using the Tabular Hydrograph method. (NRCS TR-55 methodology is taken from TR-20, "Computer Program for Project Formulation Hydrology"). TR-20 is capable of more complex hydrologic and hydraulic (routing) analyses. Users should be aware of the limitations presented throughout NRCS TR-55. Input requirements for both the Graphical Peak Discharge method and the Tabular Hydrograph method include: 1. Q runoff (in.). Estimating runoff is covered in NRCS TR-55 Chapter 2. Variables used to calculate Q include P rainfall (in.), Ia initial abstraction (in.), and S potential maximum retention after runoff begins (in.). Values of P should be calculated for the project site based on the 24 hour rainfall events as shown in Technical Paper NO. 40. The other variables should be calculated as discussed in Chapter 2. 2. Tc time of concentration (hr.). Follow the procedure outlined in NRCS TR-55 Chapter 3. The minimum Tc for design is 6 min. 3. Am drainage area (mi.2). This is the drainage area under consideration. 4. Appropriate rainfall distribution (Type I, IA, II, and III). This information is necessary to compute the unit peak discharge, qu, for the Graphical method, and the tabular hydrograph unit discharge, qt, for the Tabular method. All New York State counties have a Type II distribution, except the following, which have a Type III distribution: Bronx Nassau Rockland Kings Suffolk Sullivan New York Dutchess Ulster Queens Richmond Orange Putnam Westchester

The Tabular Hydrograph method requires Tt,, travel time (hr.), in addition to 1. through 4. above. Follow the procedure outlined in NRCS TR-55 Chapter 3 to determine Tt.

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C. Regression Equations

8-27

This method is recommended for calculating a peak flow rate for use in the design of a natural channel relocation, and for culvert design (when the culvert is installed to pass a natural channel (e.g., a perennial stream). "Magnitude and Frequency of Floods in New York", USGS Scientific Investigations Report 20065112, presents a series of regression equations for use to calculate the peak discharge, for recurrence intervals of 1.25, 1.5, 2, 5, 10, 25, 50, 100, 200 and 500 years, for six hydrologic regions in New York State. For urban streams, this method shall be modified by the method recommended in "Evaluation of Six Methods for Estimating Magnitude and Frequency of Peak Discharges of Urban Streams in New York", USGS Water-Resources Investigations Report 84-4350. Refer to page 41 of Magnitude and Frequency of Floods in New York for details on limitations (Drianage area, etc.) for each hydrologic region. These regression equations are not valid and should not be used for regulated streams, diversions, or other manmade changes, unless supplemented with a routing procedure such as HEC-HMS Hydrologic Modeling System" or TR-20, "Computer Program for Project Formulation Hydrology". D. Historical Data "Maximum Known Stages and Discharges of New York Streams 1865-1989, with Descriptions of Five Selected Floods, 1913 - 1985", USGS Water-Resources Investigations Report 92-4042, lists maximum known stages and discharges for 1280 sites on 863 New York streams. The report lists the sources and categories of data, maximum stage and discharge, and location data for each site. Data from this report should be used, as appropriate, to check/verify peak flow estimates calculated by any of the other methods discussed in Sections A through C above. Other historical data may be found in newspaper or other media accounts as well as a number of other local sources. 8.3.2.5 Final Field Trip to Verify Design Sometimes not all of the design problems are immediately evident during the initial field trip. The designer may have to request a more accurate field survey and/or prepare cross sections to help identify other design parameters. Once the final hydrologic analysis has been completed and the designer has selected some alternate solutions which meet the design criteria, a final field trip should be taken to confirm the hydrologic and hydraulic design for the project. During the final field trip, special consideration should be given to the effects of future potential flooding upstream or downstream. The design high water elevations are now known, so verification of the affects of these elevations can be accomplished more accurately than previously. Changes to existing drainage patterns which may result in potential damage to adjacent landowners should also be given close scrutiny at this time to avoid the potential for legal problems or claims.

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8.3.2.4

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8.4 HYDRAULIC PRINCIPLES Flow in any open or closed conduit (e.g., open channel or pipe) where the water surface is at atmospheric pressure, or free, is termed open channel flow. The principles of flow in open channels are discussed in many of the publications referenced throughout the text. Two such publications are "Design Charts for Open Channel Flow", Hydraulic Design Series No. 3 (HDS 3), and "Introduction to Highway Hydraulics", HDS 4. 8.4.1 Types of Open Channel Flow Open channel flow can be characterized as: 1. Steady or unsteady. Steady flow occurs when the quantity of water passing any section of an open channel or pipe is constant. Unsteady flow is characterized by variations in flow. 2. Uniform or non-uniform. Flow is considered uniform if velocity and depth are constant, and non-uniform or varied if velocity and depth of flow changes from section to section. 3. Subcritical, critical, or supercritical. These types of flow are related to depth of flow. Subcritical flow is considered tranquil and occurs at depths greater than critical depth, dc (velocity less than critical). Critical flow occurs at critical depth. Critical depth is defined as the depth of minimum energy content. Energy of flow is discussed in Section 8.4.2. Supercritical flow is considered rapid or shooting and occurs at depths less than critical depth. The Froude number is used to define these types of flow. Refer to Section 8.4.1.2 for the equation used to calculate the Froude number. The capacity of open channels and storm drains is determined assuming steady uniform flow. Steady uniform flow is discussed further in Section 8.4.1.1. If steady flow is assumed to exist, but a change occurs in either the depth of flow, velocity, or cross section, the conduit should be designed based on the principles and equations for steady nonuniform flow. For nonuniform or varied flow, the energy equation should be used as the basis for the analysis.

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8.4

HIGHWAY DRAINAGE

8-29

8.4.1.1 Steady Uniform Flow Steady uniform flow occurs when the conduit slope, cross section (size and shape), and roughness are reasonably constant along the conduit. Manning's equation is used to calculate the velocity and/or depth in an open channel or pipe under open channel conditions. Manning's equation is:

R 0.67 S 0.5 V= n
V= n= R= A= P= S=

where:

Velocity (m/s) Manning's roughness coefficient Hydraulic radius = A/P (m) Cross sectional area of flow (m2) Wetted perimeter (m) Slope of the energy grade line, and the flow line, So (m/m). For steady uniform flow, S = conduit slope.

Combining the Manning equation with the continuity equation, Q=VA, results in a commonly used form of the Manning equation which is used as the basis to determine the capacity or discharge (Q) of an open channel, or pipe.

AR 0.67 S 0.5 Q= n
For a given geometric cross section, slope, roughness, and a specified value of discharge, a unique depth occurs in steady uniform flow called the normal depth (dn). This depth is primarily a function of roughness. When dn is known, calculating the discharge is a matter of inserting the appropriate values into the formula. When dn is not known, and this is generally the case with open channels and pipes, the solution requires a trial and error procedure unless charts, tables, nomographs, or computer software are used.

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8.4.1.1

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HIGHWAY DRAINAGE

8.4.1.2 Subcritical, Critical, and Supercritical Flow The flow regime (subcritical, critical, or supercritical) is determined by solving for the Froude number (FR).

FR =

V gD
, where

V = Mean velocity (m/s) g = Acceleration due to gravity (9.81 m/s2) D = Hydraulic depth (m) = A/T A = Cross sectional area of flow (m2) T = Top width of flow (m) and FR < 1 Subcritical Flow FR = 1 Critical Flow FR > 1 Supercritical Flow Open channel flows which result in flow depths within 10% of critical depth, or which result in Froude numbers between 0.9 and 1.1, should be avoided because flow is unstable and may result in either subcritical flow or supercritical flow. As the flow approaches critical depth from either limb of the specific head curve, (as shown in Figure 8-2) a very small change in energy is required for the depth to abruptly change to the alternate depth on the opposite limb of curve. If the unstable flow region cannot be avoided, the least favorable type of flow should be assumed for design. Figure 8-2 Specific Energy Diagram

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8.4.1.2

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8-31

8.4.2 Energy of Flow Open channel flow contains energy in two forms, potential and kinetic. The potential energy is due to the position of water above some datum, and is equal the water depth (d), plus the elevation of the channel bottom above the datum plane (z). Kinetic energy is due to the velocity of water and is represented by the velocity head (V2/2g). Specific energy or specific head (E) is equal to the depth of water plus the velocity head (d + V2/2g). Energy can also be expressed in terms of total energy or total head (E + z). Total head may be used in applying the energy equation, which states that the total head (energy) at any section is equal to the total head (energy) at any section downstream plus the energy (head) losses between the two sections. The energy equation is used as the basis for determining minor losses in storm drainage systems, and in evaluating the hydraulic performance of culverts operating under outlet control. The energy (Bernoulli) equation is usually written:

V12 V 22 z1 + d 1 + = z2 + d 2 + + hL 2g 2g
V = Average velocity (m/s) g = Acceleration due to gravity (9.81 m/s2) d = Depth of flow (m) z = Channel elevation (m) hL = Head losses due to friction, transition, and bends between sections 1 and 2. In the equation, the subscripts 1 and 2 refer to the upstream and downstream channel locations respectively. Figure 8-3 illustrates these concepts. Figure 8-3 Total Energy in Open Channels

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HIGHWAY DRAINAGE

8.5 OPEN CHANNELS Open channels may exist or be proposed within the roadside. Examples of existing channels which may be encountered are natural channels or watercourses (streams, creeks, etc.), and man-made (artificial, roadside) channels constructed as part of the original highway or a subsequent rehabilitation. The need for roadside channels and natural channel relocation or protection are influenced by the proposed location, terrain, and type of project. Open channel design is discussed at greater length in "Hydraulic Analysis and Design of Open Channels" (Chapter 6 of the "Highway Drainage Guidelines"), "Channels" (Chapter 8 of the "Model Drainage Manual"), and "Hydraulic Design Series" (HDS) No. 4. 8.5.1 Types of Open Channels 8.5.1.1 Roadside Channels Roadside channels are a broad category of artificial channels located within the highway right of way which often parallel the roadway. Various types of roadside channels, some of which are referred to as ditches, are discussed in Sections A through F. A. Gutters Gutters are one component of a storm drainage system, and are also used to minimize embankment erosion. Gutters are: 1. Created when curb is placed at the edge of pavement. Refer to Chapter 3, Section 3.2.9, for guidance regarding types of curb, limitations on curb use, warrants for curb use, curb alignment and typical section details, and curb material selection and installation details. 2. Formed without curb as depicted on Standard Sheet M624-1R1, and illustrated in Figure 3-2 of Chapter 3. Refer to Chapter 3, Section 3.2.10 for guidance regarding gutter placement at driveways. Gutter flow should be intercepted by a grate inlet or a combination inlet, and conveyed through storm drains, or a chute to a point of discharge.

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8.5

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8-33

B. Chutes Open (lined with stone filling, or paved) or closed (pipe) chutes should be provided to convey water collected in gutters down steep embankments when curbing is used to minimize embankment erosion. An appropriate pay item, selected from Section 620 - Bank and Channel Protection of the Standard Specifications, should be provided at the chute outlet to minimize or eliminate erosion. Recommended pay items for flexible lined and rigid lined open chutes are located in Section 620 Band and Channel Protection and Section 624 - Paved Gutters, respectively. Closed chutes and their appurtenant structures should be provided by including the appropriate pay items found in Section 603 - Culverts and Storm Drains, Section 604 Drainage Structures, and Section 655 Frames, Grates and Covers. Chutes should be detailed in the plans. C. Roadway Ditches Roadway ditches should be provided in cut sections to remove surface runoff from the highway cross section. Refer to Chapter 3, Section 3.2.14.1 and Chapter 10 for safety considerations regarding roadway ditches. D. Toe-of-Slope Ditches Toe-of-slope ditches should be provided where it is necessary to convey water collected in a roadway ditch, or from adjacent slopes, to a natural channel or another point of outlet. Refer to Chapter 3, Section 3.2.14.2, for recommendations regarding the ditch location within the roadside. Channels placed behind guide rail (installed for other reasons) should have side slopes of 1:2 (vertical:horizontal). E. Intercepting Ditches An intercepting ditch should be provided where it is necessary to prevent runoff from reaching the road section. These are normally locations with long, steep, backslopes. Use a semi-circular cross section and relatively steep grades to dispose of the water intercepted by these ditches as fast as possible. A trapezoidal or flat bottom shape will tend to hold water for a longer time, resulting in potential saturation of the top of the slope which could result in slope failure. A trapezoidal channel may be required if there is a large volume of water. Side slopes of 1:2 are recommended and acceptable because these ditches are not accessible to errant vehicles. The Regional Geotechnical Engineer should be consulted to verify the necessity of an intercepting channel and to determine if the channel may cause slope failure.

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HIGHWAY DRAINAGE

F. Median Swales (Ditches) These ditches should be provided to drain portions of the roadway, and the median area of divided highways. When median swales do not drain directly to a natural channel, a grate inlet, drainage structure, and pipe, or a transverse ditch and culvert should be provided to intercept the collected water and pass it underneath the embankment for further conveyance or disposal. The grate inlet and drainage structure should be flush with the approach ditch line. Existing drainage structures located in the median should be reviewed for their impact on the roadside environment. Existing drainage structures may have surface pipes connected to them which are intended to increase the hydraulic efficiency of the inlet. If these surface pipes are existing and are not located behind guiderail installed for other reasons, they should be modified with a commercially available safety slope end section or a fabricated safety grate system to reduce the potential hazard to errant vehicles. Refer to Chapter 3, Section 3.2.8, for guidance regarding geometric criteria (median width, etc.). 8.5.1.2 Natural Channels A natural channel is a surface watercourse created by natural agents, which is characterized by the bed and banks that confine the flow of surface water. The flow in a natural channel may be periodic (e.g., ephemeral stream, intermittent stream), or continuous (e.g., a perennial stream). Work in the vicinity of natural channels should be limited, because the best way to protect a stream is to avoid disturbing it. When work in the vicinity of natural channels is unavoidable, the natural channel shall be protected from the consequences of building and maintaining the highway, and the highway shall be protected from the channel flow. It is not desirable for the embankment to encroach upon, or to cause the relocation or alteration of a natural channel. When these situations are unavoidable, temporary provisions to protect the channel from construction operations, and permanent provisions to protect the embankment from the channel, and vice versa, shall be provided. The Department's Regional Environmental unit should be contacted to determine the stream classification (A, B, C, or D), the nature of the aquatic community, and the need for permits. These issues will influence the conditions for working in the channel. Many of the legal aspects of highway drainage discussed in Section 8.2.2 will influence work in the vicinity of channels.

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8-35

8.5.2 Channel Design Criteria Adherence to the following criteria is recommended: 1. Roadside channels. a. Roadside channels should be lined to minimize or prevent erosion. Flexible linings are preferred turf, and stone filling, in order of preference. Rigid linings are acceptable when conditions warrant their use (i.e., when increased channel capacity is needed and channel geometry is fixed). The flow in roadside channels should be subcritical whenever possible to avoid the adverse characteristics of supercritical flow (erosion, etc.). An exception to this is chutes. The flow in chutes is commonly supercritical because of the normally steep channel slope. To prevent deposition of sediment, the minimum slope for turf lined roadside channels should be 0.5%. b. The spread of water in a gutter and onto the traveled way should not exceed the spread and puddle depth (if curb is used to create the gutter) criteria stated in Section 8.7.4.4.C c. On long steep embankments where curbing is warranted to minimize embankment erosion, a grate inlet, drainage structure, and closed chute is preferred to intercept and convey gutter flow down the embankment and ensure that the water will be contained within the channel. The minimum size pipe for a closed chute should be 300mm. d. The design criteria for roadway ditches are presented in Chapter 3, Section 3.2.14.1. This includes the typical trapezoidal ditch cross section recommendations (fore slope, back slope, depth, and width), and safety considerations.

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8.5.2

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HIGHWAY DRAINAGE

2. Natural channels. The bed and banks of relocated natural channels shall be protected from erosion by providing a lining material which is consistent with the roughness characteristics of the remaining (not relocated) channel. Permit requirements may necessitate coordinating lining specification with other agencies (Adirondack Park Agency, etc.). The geometrics and alignment of the proposed channel should be consistent with the existing channel. Provisions for fish passage shall be provided if necessary. Where permanent stream relocation is required to meet project goals, channel work should be kept to a minimum and stream conditions should be inspected early in the design process, to determine the location and frequency of existing pools, percentage of overhead cover, amount of in-stream structure (boulders, undercut banks, buried logs, etc.) and the pool:riffle ratio. The new stream channel should be designed to replicate, or improve these characteristics. To facilitate colonization of aquatic macro invertebrates, plants and algae, the original stream bed material should be collected and relocated into the new stream channel. This should not be done until immediately before flooding the new channel. The cross section of the new stream channel should slope towards the center. For a stream up to 15 m wide, the center line elevation should be 200 mm below the edges of the bed. On curved alignments, the slope should be towards the outside of the curve and the outside bank should be appropriately stabilized to minimize erosion. New channel banks should be sloped 1:3, vert.:horiz., (unless adequate woody vegetation is already established) and stream banks should be planted with native trees and shrubs as close to the stream channel as flow and flood considerations allow. When stabilizing new stream banks, utilize, as appropriate, geotextiles and soil bioengineering measures such as willow wattles, live willow stakes and native woody plantings or other mutually reinforcing vegetative control measures in lieu of, or to supplement, stone fill or riprap. In planning any new section of stream channel over 45 m long, in-stream fisheries habitat should be enhanced by proper placement of large boulder retards (where no danger of scour or erosion is anticipated) to create pools and increase in-stream habitat diversity. The groups of boulders should be placed at approximately 30 m intervals or as necessary to establish a pool:riffle ratio of approximately 50:50.

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8.5.2

HIGHWAY DRAINAGE

8-37

8.5.3 Hydraulics - Design and Analysis As discussed in Section 8.4.1.1, the rate of flow or discharge (Q), the depth of flow (d), and the velocity of flow (V) depend on the channel's geometry (shape and size), roughness (n), and slope (S). Roughness and velocity are of particular concern because the velocity in the channel will influence the type of lining necessary, and the type of lining will define the roughness. The design process involves establishing and analyzing a channel section geometry (shape and size), lining material and roughness, and slope which will convey the peak discharge (Q), determined in Section 8.3, at a depth which allows the water to flow within the selected geometry at a velocity which will not cause the lining to be displaced by the flow of water. 8.5.3.1 Geometry (Shape and Size) Following are considerations regarding geometry: 1. Gutters are triangular in cross section. The gutter's cross sectional dimensions will depend on the presence of parking lanes, shoulders, curb type and height, and whether or not a formed gutter (from Standard Sheet M624-1R1) is used. 2. Chutes should be trapezoidal (open) or circular (closed). 3. Roadway ditches should be trapezoidal or V shaped. The geometrics of the roadway channel should be determined based on the guidance in Chapter 3, Section 3.2.14.1 and Chapter 10. 4. Toe-of-Slope ditches should be trapezoidal. 5. Intercepting ditches should be semi-circular or trapezoidal. 6. Median swales and natural channels should be trapezoidal. The geometrics of a median swale will depend on the width and sideslopes (embankment slope or cut slope) adopted for the median. 8.5.3.2 Linings, Lining Preferences, and Roughness If the underlying channel material is susceptible to erosion, either a flexible or rigid lining should be provided to minimize erosion. Refer to Sections A and B for a list of the most commonly used flexible and rigid linings, and the methodologies recommended for design. Refer to Section C for a guidance regarding lining preferences, and Section D for suggested references regarding roughness.

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8.5.3

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HIGHWAY DRAINAGE

A. Flexible Linings Flexible linings include turf, stone filling (fine, medium, and heavy), and dry rip-rap. Specifications covering this work are located in Section 610 and 620, respectively, of the Standard Specifications. Two methods are recommended for flexible lining design and analysis: 1. The permissible velocity approach presented in HDS 3, and GDP-10 "Bank and Channel Protective Lining Design Procedures", and 2. The permissible tractive force (shear stress) approach presented in "Design of Roadside Channels With Flexible Linings" (HEC 15), HDS 4, and Chapter 8 of the Model Drainage Manual "Channels". These methods are not recommended when the discharge under consideration exceeds 1.4 m3 /s. "Design of Riprap Revetment", HEC-11, is recommended for discharges greater than 1.4 m3/s. B. Rigid Linings Rigid linings include grouted rip-rap, gabions, asphalt concrete, and portland cement concrete. Specifications covering this work are located in Section 620 and Section 624, respectively, of the Standard Specifications. Rigid lining design and analysis are presented in HDS 3 and HDS 4. The following provisions should be incorporated into the design when paved (asphalt concrete or portland cement concrete) linings are necessary: 1. 2. 3. 4. Include cutoff walls at the terminal ends to minimize undermining. Specify an apron of stone filling at the end of the paved channel to minimize erosion. Depress the channel so that the lining is below the surrounding ground surface. Specify underdrains where ground water flow is a problem. Underdrains are described in Chapter 9, Section 9.3.8 and the Comprehensive Pavement Design Manual. 5. Detail superelevation or additional outer wall height at bends and junctions. 6. Specify a 0.5 m wide strip of sod on each side adjacent to the paved lining.

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C. Lining Preferences Flexible linings turf and stone filling, are preferred over paved linings for the following reasons: 1. Maintenance historically, paved channels have presented a maintenance problem. Paved linings: a. Accelerate the velocity and flow rate of water which may cause unacceptable erosion and undermining of the down stream channel section, b. Are susceptible to frost damage as well as slope and bank settlement because of their inherent rigid nature. 2. Cost paved linings are more expensive. 3. Aesthetics turf and stone filling are more aesthetically pleasing because they blend into the roadside environment more readily than paved linings. The following lining recommendations, in order of preference, are made based on the statements above. 1. Chutes. Open chutes should be lined with stone filling, asphalt concrete, or portland cement concrete. Turf is not acceptable because it will erode away. The outlet area of a closed chute should be provided with an apron of stone filling to prevent erosion. 2. Roadway and Toe-of-Slope ditches. These ditches should be lined with turf, stone filling, asphalt concrete, or portland cement concrete. 3. Intercepting ditches. These ditches should be lined with asphalt concrete because it is desirable to remove water from the top of slope without infiltration to minimize the potential for slope failure. Lining selection should be verified by the Regional Geotechnical Engineer. 4. Median Swales. Median swales proposed for divided highways should be lined with turf or stone filling. D. Roughness Each lining has a roughness associated with it which is represented by the Manning roughness coefficient "n". Refer to HDS 4, or "Channels" (Chapter 8 of the "Model Drainage Manual") for recommended values of "n" for natural and roadside channels. "Estimates of Roughness Coefficients for Selected Natural Stream Channels With Vegetated Banks in New York", Appendix 1, USGS Open File Report 93-161 is also available as a source of guidance to estimate Manning's roughness coefficient.

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8.5.3.2

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8.5.3.3 Slope The channel's slope will be dictated by adjacent terrain and right of way constraints. As a result, the slope of roadside and natural channels will normally be as discussed in items 1 through 7. 1. Gutters. Slope will be the same as the vertical alignment of the traveled way. 2. Chutes. Slope should parallel the embankment. 3. Roadway ditches should parallel the traveled way. The slope may be greater than the grade of the traveled way to outlet the roadway ditch to a natural channel or another channel (culvert, etc.). 4. Toe-of-Slope ditches should parallel the toe-of-slope. The slope may increase in the vicinity of the outlet to a natural channel or another channel (culvert, etc.). 5. Intercepting ditches should parallel the top of the cut slope. 6. Median swales should parallel the traveled way. The slope may be greater than the grade of the traveled way to increase channel capacity or to outlet the swale to a natural channel or another channel (culvert, etc.). 7. Relocated natural channels should maintain the existing channel slope. Abrupt changes in slope will result in the deposition of transported material (when the proposed slope is flattened from a steep approach slope) or scouring (when the proposed slope is greater than the approach slope). 8.5.4 Maintenance The following two maintenance activities should be considered during a field trip for inclusion as part of the project. 1. Cleaning and reshaping turf lined channels. (Refer to Section 203 of the Standard Specifications for a pay item covering this work.) 2. Repairing or replacing failed or inadequate linings.

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8.5.3.3

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8-41

8.6 CULVERTS A culvert is usually a closed conduit (e.g., a pipe), but may be an open conduit (e.g., an arch), installed to convey runoff collected in roadside channels, and natural channels such as streams, underneath an embankment. Generally, a culvert is open at both ends and is not connected to a drainage structure. Sometimes, a culvert is connected to a drainage structure located in the median, or in a ditch. Work in natural channels should be performed consistent with water quality standards. Best management practices to control erosion, sedimentation, and water disturbances shall be provided consistent with Section 8.8.2, and recommendations from the Regional Environmental Contact. Any single structure with a span greater than 6.1 m is a bridge. These structures require a different procedure for hydraulic analysis, and should be coordinated through the Regional Structures Group. Culverts are discussed at greater length in "Hydraulic Design of Highway Culverts" (Chapter 4 of the "Highway Drainage Guidelines"), "Culverts" (Chapter 9 of the "Model Drainage Manual"), and "Hydraulic Design Series" (HDS) No. 5, "Hydraulic Design of Highway Culverts". Refer to Chapter 19 of this manual for guidance regarding reinforced concrete box culverts and similar structures. 8.6.1 Hydraulic Design Criteria 8.6.1.1 Allowable Headwater Existing field conditions and channel geometry will determine the allowable headwater defined as the maximum depth of water which can be tolerated at the inlet. The need to control upstream flooding may be a significant factor in establishing the allowable headwater. If the upstream terrain is very flat, a small change in headwater will have an impact for a long distance, or the volume of water required to produce a given headwater may not exist. If the approach channel is deep, a larger headwater depth may be tolerated. Field conditions may dictate a depth of headwater which is too low to allow an economical design for the culvert crossing. When this occurs, consider the use of artificial conditions which will allow a greater depth of headwater to develop. These artificial means are berms or dikes at the inlet ends of culverts or a depressed profile for the culvert (an improved inlet). Artificial means of forcing a headwater depth should not cause any appreciable increase of existing flooding conditions upstream or downstream of the culvert.

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8.6

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The most controlling of the following criteria should determine the allowable headwater: 1. Water should be kept 600 mm below the outside edge of the lowest shoulder. 2. Water should be allowed to pass through the culvert without causing damage to upland property or increase the water surface elevation upstream of the culvert above that allowed by floodplain regulations, generally 305 mm 3. The ratio of the headwater to pipe height, or diameter, (Hw/D) should be limited as follows: Diameter or Rise 4.5 m $ 4.5 m Maximum Hw/D Ratio 1.5 1.0

Pipes smaller than 4.5 m with a Hw/D ratio greater than 1.0 should be discussed in the drainage report with regard to flooding conditions, velocities, scouring, economy, future maintenance (e.g., installing a smaller pipe within the original pipe or structure), etc. If damage to the culvert is possible, or if adverse flooding conditions will be caused upstream (from the accumulation of ice and debris at the culvert's inlet), the Hw/D ratio shall be reduced. The Hw/D ratio shall also be reduced to allow an increase in the design flow capacity, and freeboard (if needed) at the entrance of the structure, to eliminate flood damage or to reduce it within acceptable limits. 8.6.1.2 Minimum Pipe Size The minimum size round pipe recommended for all highway functional classifications, including ramps is 600 mm Smaller diameter pipes (450 mm and 375 mm) are acceptable when shallow depths and utility conflicts prohibit using a 600 mm pipe. The minimum size round pipe recommended for driveways and field entrances is 300mm 8.6.1.3 Multiple Barrels Multiple barrels (more than one pipe) should be considered when the allowable headwater criteria cannot be met with a single barrel installation and an improved inlet design. These locations will normally occur at sites with low fills or wide channels. Multiple barrels are not a desirable alternative to convey perennial streams because of the potential for clogging. Cleaning operations are labor intensive and disrupt the stream's ecosystem.

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8.6.2 Pipe Design Criteria Acceptable culvert materials are steel (see note below), reinforced concrete, aluminum, and polyethylene. The design criteria for these materials consist of design life, anticipated service life, structural criteria, and economics. Note: Steel shall not be specified for culverts installed to act as equalizer channels or at other locations such as canals where the water level is expected to remain relatively constant. The near constant water levels result in localized metal loss rates in excess of those anticipated (refer to Section 8.6.2.2), and these water levels usually are at a location on the sidewalls where the stress levels are higher than at the invert. The material specified shall be the most economical which satisfies all the pipe criteria (design life, anticipated service life, and structural criteria) in addition to meeting the hydraulic criteria (allowable headwater, etc.). Refer to section 8.6.2.4 for further discussion regarding selection of the final culvert material. 8.6.2.1 Design Life Design life is defined as the number of years of in-service performance which the pipe is desired to provide. Design life is assigned by location, taking into consideration the following factors: 1. Initial cost of the pipe material, installation, backfill, etc. 2. Cost to rehabilitate, or replace. 3. Disruption to traffic during rehabilitation or replacement once an installation reaches the end of its design life.

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8.6.2

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The design lives, by location, shall be as shown in Table 8-5: Table 8-5 Design Lives LOCATION Driveways Significant Locations1 Other Locations DESIGN LIFE (Years) 20 70 50

1. Significant locations are defined as follows: a. Highways functionally classified as Interstates and Other Freeways. (Refer to Section 2.4.1 of Chapter 2 for these definitions.) b. Natural watercourses, or channels, such as perennial streams. c. Under high fills 4.5 m or greater. d. Locations with high traffic volumes. e. Locations where long off-site detours would be required if the culvert failed consider taking into account user costs. 8.6.2.2 Anticipated Service Life Anticipated service life is defined as the number of years it is anticipated that the culvert pipe material will perform as originally designed or intended. For steel, it is defined as the time when the culvert invert or flow line would be completely removed if the design metal loss (2 or 4 mils/yr) occurred uniformly throughout the length of the culvert. The anticipated service life for concrete and polyethylene is 70 years. Aluminum is anticipated to last for 70 years under normal conditions. When high velocities, potentially abrasive bed loads from adjacent channel sections, or high concentrations of industrial waste are present or suspected, 70 years should not be anticipated for aluminum.

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The anticipated service life for metallic coated (galvanized) steel pipe is based on metal loss rates established through research conducted by the Department. For the purpose of establishing the anticipated service life, the galvanized coating is not considered an additional coating and is termed "without additional coating". (Refer to Metal-Loss Rates Of Uncoated Steel and Aluminum Culverts In New York, Research Report 115 for a complete explanation of the methodology used.) Metal loss rates have been defined for two geographical locations, Zone I and Zone II, as shown in Table 8-6. Table 8-6 Metal Loss Rates for Steel By Geographic Location Zone I (2 mils/yr) Region 1 Region 2 Region 3 Region 4 Region 5 Region 7 except except except except Zone II (4 mils/yr) Albany, Greene, Schenectady Co. Montgomery Co. Cortland, Tompkins Co. Cattaraugus Co. Region 6 Region 8 Region 9 Region 10 Region 11 and

Table 8-7 provides the anticipated service life for various gauge steel in Zone I and Zone II (with and without an additional coating). Additional anticipated service life is assigned to steel pipe by providing a metallic coating other than galvanizing (i.e., by specifying aluminum coated (Type 2) pipe), or by providing a coating in addition to the metallic (galvanized) coating. (This additional life is also based on research performed by the Department.) Not all coating options are available for each type of steel pipe. (Refer to Table 8-8 for a list of additional coatings available for use with the various types of pipe.) When a metallic coating, or an additional coating option is not available, use increased gauge, or select a material other than steel, to achieve the anticipated service life required to satisfy the design life criteria. Additional coating alone shall not be used to extend the anticipated service life of galvanized steel pipe or structural steel plate pipe installed to pass natural watercourses (streams, creeks, rivers, etc.) when the water surface is above the area protected by the additional coating. The appropriate gauge galvanized steel pipe shall be specified in these locations to meet the design life criteria.

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Table 8-7 Anticipated Service Life, in years, for Steel (with and without additional coating)
Gauge Metallic Coated (Galvanized) Metallic Coated Metallic Coated (Aluminum Coated - (Galvanized) w/ 4 Type 2) 3 Polymer Coating & Metallic Coated (Galvanized) w/ Paved Invert or Fully Paved 3 707-02 Zone I Zone II 707-02 Zone I Zone II Metallic Coated (Galvanized) w/ Polymer Coating and Paved Invert5 Metallic Coated (Galvanized) 6 w/Paved Invert (Structural Steel Plate)

1,2

707-02/707-09 Zone I Zone II

707-02 Zone I Zone II

707-09 Zone I Zone II

18 16 14 12 10 8 7 5 3 1

26 32 40 54 69 84 94 109 124 140

13 16 20 27 34 42 47 54 62 70

51 57 65 79 94 109

38 41 45 52 59 67

51 57 65 79

38 41 45 52

66 72 80 94

53 56 60 67

Gauge not manufactured

89 104 119

62 69 77 82 89 97 105

129 Coating option Gauge not manufactured with not specified for this coating 144 these gauges 159 175

1. For culverts whose diameter, or equivalent diameter, is 3000 mm or greater: a. in Zone I - specify a paved invert for 12 gauge culverts, or specify a 10 gauge culvert. b. in Zone II - specify a paved invert for all culvert regardless of gauge. 2. Use caution in designing culverts on grades steeper than 6% carrying potentially abrasive bed loads. Do not rely on polymer coating alone to increase the service life in abrasive conditions. Use fully paved pipe or paved invert. In very severe conditions, consider use of concrete or polyethylene. Aluminum is not recommended due to the potentially abrasive bed load. 3. The Aluminum Coated - Type 2 metallic coating is expected to have the same anticipated service life as metallic coated (galvanized) pipe with a paved invert or fully paved. Additional coating (i.e., paved invert or fully paved) adds 25 years to the anticipated service life of metallic coated (galvanized) steel pipe. 4. Additional coating (i.e., polymer coating) adds 25 years to the anticipated service life of galvanized steel pipe. 5. Additional coating adds 40 years to the anticipated service life of galvanized steel pipe. 6. Additional coating adds 35 years to the anticipated service life of galvanized steel pipe.

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Table 8-8 Additional Coating Options Additional Coating Paved Invert (Bituminous) Fully Paved (Bituminous) Polymer Polymer & (Bituminous) Paved Corrugated Steel ( 707-02) Type I and II only Type I and II only Type I and II only Invert Type I and II only Corrugated Structural Steel Plate ( 707-09) Not available Not available Not available Not available Available

Paved Invert Cement Concrete)

(Portland Not available

8.6.2.3 Structural Criteria Factors which affect the structural performance of a pipe include: 1. Maximum and minimum height of cover (Refer to Section 8.6.2.3.A) - all pipe materials. 2. Bedding conditions and installation methods (Refer to Section 8.6.2.3.B) - concrete and metal. 3. The end treatment for the pipe (square, miter, skew) as this will affect the structural strength of the pipe's end - all pipe materials. (Not to be confused with an end section, which attaches to the pipe's end.) (Refer to Section 8.6.2.3.C)

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8.6.2.2

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A. Height of Fill Tables The height of fill tables provided in Appendix A shall be used to obtain the thinnest gauge steel or aluminum, or lowest class concrete pipe which meets the height of fill requirements of the site. Tables for the following pipe materials are provided: Material Corrugated Steel Pipe (707-02 Type I) Corrugated Steel Pipe Arch (707-02 Type II) Corrugated Steel Pipe (707-02 Type IR) Corrugated Steel Pipe (707-02 Type IIR) Corrugated Structural Steel Plate Pipe (707-09) Corrugated Structural Steel Plate Pipe Arch (707-09) Table Table 8-22 Table 8-23 Table 8-24 Table 8-25 Table 8-26 Table 8-27 Page 8A-1 8A-2 8A-3 8A-4 8A-5 8A-7 8A-9 8A-10 8A-11 8A-12 8A-13 8A-14 8A-16 8A-18 8A-19

Corrugated Aluminum Pipe (707-13 Type I) Table 8-28 Corrugated Aluminum Pipe Arch (707-13 Type II) Table 8-29 Corrugated Aluminum Pipe (707-13 Type IR) Table 8-30 Corrugated Aluminum Pipe (707-13 Type IIR) Table 8-31 Corrugated Aluminum Structural Plate Pipe (707-14 ) Table 8-32 Corrugated Aluminum Structural Plate Pipe Arch (707-14)Table 8-33 Reinforced Concrete Pipe (706-02) Reinforced Concrete Elliptical Pipe (706-03) Smooth Interior Corrugated Polyethylene Pipe (706-12) Table 8-34 Table 8-35 Table 8-36

The same type (corrugation, gauge, or class) of material shall be used throughout the length of the culvert for ease of installation and consistency in design. The maximum height of fill over the top of circular and elliptical reinforced concrete pipe is dependent on bedding details and installation methods shown on Standard Sheet M2034R1. As a result, designers have to anticipate, or specify on the plans as appropriate, the bedding detail and installation method for each pipe selected.

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B. Bedding Conditions and Installation Methods Bedding conditions and installations methods except pipe jacking for concrete and metal (steel and aluminum) pipe are detailed on Standard Sheets M203-4R1 and M203-5. Standard Sheet M203-5 is also applicable for smooth interior corrugated polyethylene pipe. The standard sheet(s) need to be considered to: 1. Specify and estimate pay items not included for payment under the pipe item. 2. Determine the relationship to the height of fill. (This is only necessary for concrete pipe.) 3. Determine the need to provide additional details or notes in the plans which are not covered in the standard sheet. Manufacturers of reinforced concrete pipe suitable for jacking do not produce this type of pipe in a size less than 900 mm in diameter. Steel pipe is available for jacking applications where a diameter less than 900 mm is needed. Contact the Regional Geotechnical Engineer as soon as possible in the design process to request soil boring in the area of the proposed pipe jacking. These borings will be used to determine a suitable method of jacking, pipe wall thickness, and other technical issues. C. End Treatment Ring compression, buoyancy, and scour should be considered when specifying an end treatment. (Not to be confused with an end section, which attaches to the pipe's end.) 1. Ring compression. The embankment transfers live and dead loads which result in ring compression on the pipe. Square ends are strongest and should generally be used to resist these forces. a. Metal pipes and mitered ends - A miter is a flush-entrance culvert where the barrel is mitered to the slope of the embankment. Miter normal to culvert axis only, when this type of treatment is desired. Do not specify combination skew and miter, and do not extend miter below 75% of nominal pipe diameter or rise dimension for pipe-arches. The flattest miter shall be one vertical on three horizontal. Warp flatter embankment slopes to meet miter or use other end treatment. b. All materials - The skew angle between the perpendicular to the highway centerline and the structure axis should generally not exceed 20E. An anchor bolt system embedded in concrete cutoff walls, collars, slope paving, etc. should be provided when the skew exceeds 20E. Skewed culverts should be checked for unbalanced loading from the embankment.

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8.6.2.3

8-50

HIGHWAY DRAINAGE

2. Buoyancy and scour. The effects of buoyancy at the inlet and outlet should be considered. The hazard is greatest for flexible pipes (steel, aluminum, polyethylene), increasing rapidly with diameter; however, concrete structures are not totally immune. Concrete pipe has been known to lose downstream sections, either from scouring and/or buoyancy effects. Concrete box structures have also moved because of buoyant effects. The hazard of buoyancy is increased when flat slopes for highway embankments exist. To cope with these uplift forces, concrete cutoff walls, full headwalls or headwalls with flared wingwalls, may be required. Flexible pipes should be anchored to these concrete end walls to insure their stability, as well as protect against scour. Refer to Figure 8-4 for typical anchor bolt details. The straight anchor bolt is considered the industry standard, and does not have to be detailed in the plans. When needed, hook bolts shall be detailed on the plans. (Hook bolts were developed for use in masonry walls.) The materials requirements for both types of bolts are covered Section 707-20 of the Standard Specifications. It is recommended that all sites where the proposed culvert is 750 mm in diameter or larger (875 mm span x 600 mm rise pipe arches) and incorporates end sections be evaluated by the Regional Geotechnical Engineer for the need to include a concrete cut-off wall at each end. Cut-off walls can be used on smaller culverts if channel velocities, soil conditions, steep grades or other such conditions warrant. If a cut-off wall is not used, the criterion below for using a toe-plate extension shall be used. Usage of cut-off walls shall not preclude the inclusion of proper channel protection and/or dissipation devices as discussed in Section 8.6.4.3. The designer should indicate in the drainage table (or similar table, e.g. table of culvert installations) where cut-off walls shall be included. The designer shall include in the estimate the appropriate item numbers and quantities of Class A, Concrete for Structures, and Trench and Culvert Excavation required to construct the prescribed cut-off walls. As stated in Standard Specification Section 603-5.01 General, the cost of anchor bolts for cut-off walls is included in the cost bid for End Sections and need not be estimated separately. Refer to Standard Sheets 603-01, 603-03 and 603-05 for end section and cut-off wall details.

10/22/09

8.6.2.3

HIGHWAY DRAINAGE

8-51

Toe plate extensions (for the outlet) shall be specified in the drainage structure table when the downstream channel is at a grade of 5% or greater. Regardless of the design, adequate precautions must be observed to ensure the safety of the traveling public by providing for a barrier system or placing the end treatment at an appropriate location within the roadside as discussed in Section 8.6.6.

Figure 8-4 Typical Anchor Bolt Details

10/22/09

8.6.2.3

8-52

HIGHWAY DRAINAGE

8.6.2.4 Engineering and Economic Analysis Materials shall be specified which satisfy engineering requirements at the lowest overall cost. This cost should include all expenses necessary to install and maintain the pipe throughout the life of the highway. The installation cost includes not only the pipe itself but the pipe excavation, backfill, labor, and any other special features. Generally, the design with the least installation cost is the first choice. Occasionally, however, there may be other quantifiable lifetime factors which negate the initial savings. These can include maintenance costs which occur on a regular predictable basis or specific material features which offer additional resistance to corrosion, silting, sliding or rupture. A discussion on cost analysis and justification of the final design should be included in the Drainage Report. Note: In the absence of firm cost data and without an engineering reason dictating the choice of one pipe material, an optional specification should be used. Special specifications are available to specify alternate culvert materials for side drains (driveways and ditch crossings) and cross drains (culverts under gravel or dirt roads) not installed under high type pavement (603.85xxxx15, 603.86xxxx15, 603.87xxxx15). Under the optional items, the designer selects the size and shape of the pipe and the contractor picks the material based on the specification. Therefore, pipes should be sized based on the hydraulically least efficient material. 8.6.3 Culvert Design - Overview Culvert design should proceed in accordance with the following sequence of steps: 1. An initial pipe material, shape, and size should be selected which are consistent with the criteria stated in Sections 8.6.1 and 8.6.2. 2. The headwater depth should be calculated based on inlet, and outlet control the greater of the two values is the controlling headwater. (Section 8.6.3.1 discusses the factors which influence inlet and outlet control.) The controlling headwater elevation should be compared with the allowable headwater criteria stated in Section 8.6.1.1. If the controlling headwater is greater than the allowable headwater, a larger size pipe or a different culvert configuration shall be designed and analyzed. 3. The outlet velocity should be calculated to determine the need for scour protection, channel protection, or an energy dissipator.

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8.6.2.4

HIGHWAY DRAINAGE

8-53

8.6.3.1 Inlet Control and Outlet Control Calculating headwater depth based on inlet control and outlet control may be done manually or using computer software. The manual design method is presented in Chapter III of HDS 5. It is based on the use of design charts and nomographs located in Appendix D of HDS 5, should be used for the shape under consideration. The HY-8 computer software is also acceptable for design. Table 8-9 lists the factors which influence a culvert's hydraulic performance under inlet and outlet control. Table 8-9 Factors Influencing Culvert Performance in Inlet and Outlet Control Factor Headwater Elevation Inlet Area Inlet Edge Configuration Inlet Shape Barrel Roughness Barrel Area Barrel Shape Barrel Length Barrel Slope Tailwater Elevation Inlet Control X X X X Outlet Control X X X X X X X X X X

A.

Inlet Control A culvert operates in inlet control when the barrel (pipe) will convey more flow than the inlet will accept. The flow is supercritical (shallow and high velocity), and the flow control is at the upstream end of the culvert. As a result, the headwater and the inlet configuration (inlet area, edge configuration, and shape) influence the culvert's performance. 1. Headwater Elevation. The headwater elevation is the water surface elevation of the headwater. Headwater, or headwater depth, is the depth of the water surface measured from the inlet invert. The headwater depth shall not exceed the allowable headwater criteria stated in Section 8.6.1.1.

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8.6.3.1

8-54

HIGHWAY DRAINAGE
2. Inlet Area. The inlet area is the cross-sectional area of the face of the culvert, and is the same as the barrel (pipe) area, unless a tapered inlet is specified. A tapered inlet is a flared culvert inlet with an enlarged face section and a hydraulically efficient throat section. 3. Inlet Edge Configuration (End Treatment). Improvements to the inlet edge configuration should be considered (headwalls with bevels, end sections, and mitered ends). Improved inlets reduce the energy losses at the inlet, thereby decreasing the headwater depth required to convey the flow and reducing the pipe size. Entrance loss coefficients (ke) vary from 0.2 to 0.9, depending upon the type of structure and the configuration of the entrance; e.g., 0.2 applies to a concrete pipe with the socket end projecting from the fill, and beveled headwalls. 0.5 applies to most end sections, and 0.9 applies to a corrugated metal pipe or pipe arch projecting from the fill with no headwall or end section and pipes mitered to fills. Table 12 of HDS 5 lists ke for the various types of entrances. For culverts in inlet control, a more efficient inlet edge configureation may allow for a more economical pipe to be chosen. The type of inlet has some influence on capacity in outlet control, but generally, the edge geometry can be ignored when the culvert is operating in outlet control. The following recommendations are made regarding the design of entrances: a. Bevels. Bevels are a simple and economical method to improve the efficiency of culvert inlet flows. Beveled edges reduce the contraction of the flow by effectively enlarging the face of the culvert. Beveled edges should be used when concrete headwalls or concrete box culverts are required. Refer to HDS-5 Figure III-3 for bevel edge details. These details shall be included in the contract plans whenever headwalls or concrete box culverts are specified. b. Headwalls. Headwalls may be used to improve the hydraulic efficiency of culverts and should also be used to prevent erosion of the embankment or to protect the end of the pipe from scour, if necessary. c. End sections. End sections should be provided with culverts that do not utilize headwalls. The 1. Concrete end sections may be used when needed to retain the embankment. 2. A galvanized steel or aluminum end section, one standard pipe diameter larger than the pipe, should be specified for polyethylene pipe. 3. The cost of specifying an end section should be considered for metal pipes over 1350 mm in diameter, and for concrete pipes over 1200 mm in diameter. Generally, a mitered inlet is preferred to improve the hydraulic efficiency of corrugated metal pipes in excess of 1350 mm.

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8.6.3.1

HIGHWAY DRAINAGE

8-55

d. Mitered. Mitered edges are only recommended for metal pipe over 1350 mm in diameter. The structural integrity of the pipe's end should be considered when detailing a mitered edge. Refer to Section 8.6.2.3.C. Tapered inlets (side and slope tapers) are a less common type of culvert improvement, and are discussed in Chapter IV of HDS 5. 4. Inlet Shape. Recommended shapes include circular (all materials), pipe arch (steel and aluminum), elliptical horizontal and vertical (reinforced concrete), and rectangular (reinforced precast and cast-in-place concrete). The preferred shape is circular due to the numerous materials options available to meet the various height of cover requirements. Other shapes should be considered when site conditions limit height of cover or allowable headwater criteria cannot be achieved. Refer to Chapter 19 "Reinforced Concrete Box Culverts and Similar Structures" for guidance regarding the design of these structures. Figure 8-5 illustrates several different examples of inlet control. The type of flow depends on the submergence of the inlet and outlet ends of the culvert. These flow types have been standardized by the USGS, and are included in the HY8 output. (Refer to HDS-5 for an explanation of the various flow types.) Depending on the tailwater, a hydraulic jump may occur downstream of the inlet. Figure 8-5a illustrates a condition where neither the inlet nor the outlet end of the culvert are submerged. The flow passes through critical depth just downstream of the culvert entrance. The barrel flows partly full over its length, and the flow approaches normal depth at the outlet. Figure 8-5b illustrates that submergence of the outlet end of the culvert does not assure outlet control. The flow just downstream of the inlet is supercritical and a hydraulic jump forms in the culvert barrel. Figure 8-5c is a more typical situation. The inlet end is submerged and the outlet end flows freely. Critical depth is located just downstream of the entrance and the flow is approaching normal depth at the downstream end of the culvert. Figure 8-5d is an unusual condition which shows that submergence of the inlet and outlet does not assure full flow. In this case, a hydraulic jump will form in the barrel. The median inlet provides ventilation of the culvert barrel. If the culvert were not ventilated, subatmospheric pressures could develop which might create an unstable condition during which the barrel would alternate between full flow and partly full flow.

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8.6.3.1

8-56

HIGHWAY DRAINAGE

Figure 8-5 Flow profiles for Culverts in Inlet Control Figure 8-5a HY-8 flow type 1-S2n.

Figure 8-5b HY-8 flow type 1-S1f.

Figure 8-5c HY-8 flow type 5-S2n.

Figure 8-5d HY-8 flow type 5-S1f.

Note: HW = headwater depth

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8.6.3.1

HIGHWAY DRAINAGE

8-57

B. Outlet Control Flow in a culvert operating in outlet control is subcritical (relatively deep and of lower velocity) and is controlled by the downstream end of the culvert. The inlet will accept more flow than the barrel will convey. In addition to all of the factors which influence inlet control, outlet control is affected by the hydraulic roughness, area, shape, length, and slope of the barrel and the water surface elevation at the outlet (tailwater). 1. Hydraulic roughness. Pipes have an associated roughness which is represented by the Mannings n value. The Mannings n values provided below should be used. Pipe Material Mannings n Value 0.013 0.013 0.013 0.024 0.026 0.032

Reinforced Concrete Pipe (all shapes) Smooth Interior Corrugated Polyethylene Pipe Corrugated Steel, and Aluminum Pipe (Type IR, IIR) Corrugated Steel, and Aluminum Pipe (Type I, II) 68 x 13 - See Note Corrugated Steel, and Aluminum Pipe (Type I, II) 75 x 25 or 125 x 25 Corrugated Structural Steel, and Aluminum Plate Pipe and Pipe Arch Note: The following n values should be used for 68 x 13 corrugated metal culverts operating under outlet control, and in the design of storm drainage systems. 300 mm 375 mm 450 mm 525 mm 600 mm

0.012 0.014 0.015 0.017 0.018

Additional coatings for steel pipe (paved inverts, and fully paved pipe) shall not be specified to lower the hydraulic roughness. Department research has determined that these coatings do not last for the entire design life of the pipe. When pipes with a paved invert are specified, the design of the protective lining for the downstream channel should be based on the higher initial velocity that will exist while the paving is still intact. Use a Mannings n of 0.019 for all pipe specified with a paved invert regardless of corrugation configuration. For pipe specified as fully paved, design the channel protective lining using an n of 0.013. 2. Area and shape. The charts and nomographs in HDS 5, and the HY-8 software, incorporate area and shape into the hydraulic analysis.

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8.6.3.1

8-58

HIGHWAY DRAINAGE

3. Length. Sometimes a pipe will build up a headwater depth higher than the allowable headwater due to the hydraulic roughness and the length of pipe. To reduce the headwater in this situation, use a pipe with a smoother interior, a larger pipe or multiple pipes. A smoother pipe is preferred, unless outlet velocities are a concern. The use of twin structures (multiple barrels) is discouraged unless site conditions are such that debris is not a problem. 4. Slope. The slope (grade) of a culvert should be made compatible with the grade of the upstream and downstream channel to aid in reducing the amount of deposition at the structure's inlet and scour at the outlet. When a culvert is placed on an extremely flat grade, below a channel with a steep grade, an increased potential for deposition at the culvert's inlet or inside the culvert will occur. The exact location of the deposition of material will depend on the location of the vertical grade break in relation to the culvert's inlet. If a steep approach grade is carried continuously through the structure with a break to a flat grade at the outlet channel, then deposition will occur at the culvert's outlet. If the tailwater depth is deep enough, the deposition will encroach back into the culvert, thereby reducing the culvert's efficiency. If there is a grade break from a flat grade through a culvert, to a steep grade at the outlet, a scour problem will occur. If the grade break is severe, scour will occur to the extent that the end of the culvert will be undermined with a possible loss of the culvert and a portion of the highway embankment. If the culvert's vertical alignment cannot be established to conform to the inlet and outlet channels, then the culvert's end, and the channel, shall be protected from scour and erosion (e.g., by providing a headwall and stone filling). 5. Tailwater. Tailwater is the depth of the downstream water surface measured from the outlet invert. The tailwater depth may affect the headwater depth at the inlet of the structure. Tailwater controls may exist due to drainage structures downstream of a proposed structure. Information should be obtained so an analysis can be performed on the existing downstream structure to determine what effect it has on the proposed culvert. If an effect does exist on the tailwater of the proposed structure, it is sometimes desirable and more economical to replace the existing downstream structure at the same time the proposed structure is built. The maximum and minimum elevations of the tailwater should be recorded during a field review. Site conditions such as tidal effects from oceans, water surface variations in lakes controlled by power or recreation authorities, barge canals, flood stages in large streams and rivers, etc., may give a variable effect on the tailwater, other than that computed from Manning's equation. These restrictions on the tailwater may force the culvert to act in inlet control when the tailwater surface is at a low elevation or to act in outlet control when the tailwater is at its maximum elevation. The culvert should be designed for the condition which yields the largest culvert size. The effect

10/22/09

8.6.3.1

HIGHWAY DRAINAGE

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of the variable tailwater may be eliminated by placing the outlet of the culvert above the maximum high water elevation of the control feature. Figure 8-6 illustrates several different examples of outlet control. Figure 8-6a represents a full flow condition with both the inlet and outlet submerged. The barrel is in pressure flow throughout its length. This condition is often assumed in calculations, but seldom actually exists. Figure 8-6b depicts the outlet submerged with the inlet unsubmerged. For this case, the headwater is shallow so that the inlet crown is exposed as the flow contracts into the culvert. Figure 8-6c shows the entrance submerged to such a degree that the culvert flows full throughout its entire length while the exit is unsubmerged. This is a rare condition. It requires an extremely high headwater to maintain full barrel flow with no tailwater. Figure 8-6d is more typical. The culvert entrance is submerged by the headwater and the outlet end flows freely with a low tailwater. The barrel flows partly full over at least part of its length (subcritical flow) and the flow passes through critical depth just upstream of the outlet. Figure 8-6e is also typical, with neither the inlet nor the outlet end of the culvert submerged. The barrel flows partly full over its entire length. 8.6.3.2 Outlet Velocity The outlet velocity (Vo) is usually higher than the velocity in the channel leading up to the culvert. Vo shall be calculated to determine the need for additional channel protection in the vicinity of the culvert's outlet or for culvert redesign. Refer to Section 8.6.4.3 for a discussion of the use of energy dissipators. The outlet velocity should be calculated as follows using the formula Vo = Q/A: 1. If the controlling headwater is based on inlet control, determine the normal depth and velocity in the culvert barrel. The velocity at normal depth is assumed to be the outlet velocity. 2. If the controlling headwater is based on outlet control, determine the area of flow at the outlet based on the barrel geometry and one of the following: a. critical depth, if the tailwater is below critical depth, b. the tailwater depth, if the tailwater is between critical depth and the top of the barrel, or c. the height of the barrel if the tailwater is above the top of the barrel

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8.6.3.1

8-60

HIGHWAY DRAINAGE

Figure 8-6 Flow profiles for Culverts in Outlet Control Figure 8-6a HY-8 flow type 4-FFt, 6-FFn.

Figure 8-6b HY-8 flow type 3-M1f.

Figure 8-6c HY-8 flow type 6-FFt, 6-FFc.

Figure 8-6d HY-8 flow type 7-M1t, 7-M2t, 7-M2c.

Figure 8-6e HYDRAIN (HY8) flow type 2-M2c, 3-M1t, 3-M2t.

Note: HW = headwater depth, H = headloss

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8.6.3.2

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8.6.4 Site Considerations

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Conditions may exist which are unique to a site and warrant the consideration of measures designed to address the situation. Such conditions include not only general environmental considerations, but special conditions as fish passage, the need for an energy dissipator, and debris control. 8.6.4.1 General Environmental Considerations The construction of highway drainage facilities can have both short and long term negative impacts on aquatic life. Where fish resources are concerned, the necessity to protect the aquatic ecosystem will influence many decisions regarding whether to install a bridge, open or closed culvert, as well as low flow channel design, velocity control, pool:riffle ratios, shading, stabilization techniques, methods and timing of construction and temporary and permanent fish and wildlife passage. Removal of stream side vegetation can reduce or eliminate shading, causing water temperatures to increase by up to 5.5E C and thus negatively affecting habitat for coldwater fish species, such as trout. Removal of vegetation can also destabilize stream banks, resulting in erosion, habitat loss, increased aquatic pollution and impaired ecosystem function. The protection of fish and wildlife resources should be considered from the earliest stages of project development, and coordinated with the erosion and sediment control plan. The physical, hydrological and ecological characteristics of the stream or water body should be investigated. Coordinate with the Regional Environmental Unit and appropriate environmental permitting agencies to determine how to avoid or minimize disturbance to the maximum extent practicable and incorporate best management practices to improve habitat, as appropriate. Whenever practicable, locate highway alternatives in areas causing the fewest unavoidable impacts to fish and wildlife resources. Select locations that cross streams at right angles and avoid crossing at bends and through pools. Minimize removal of riparian trees and maintain vegetated filter strips along water bodies to provide natural bank stabilization, erosion control, shading, water quality and wildlife travel corridors. Use temporary and permanent erosion control measures to minimize transport of sediment into water bodies and use turbidity curtains, cofferdams and dewatering basins when work is required in a water body. Establish the construction schedule considering the spawning times of resident and migratory fish and wildlife and seasonal low water flow periods. Where highway projects segment or isolate critical reptile or amphibian habitat or breeding areas, special consideration should be given to allow adequate passage (several of these species are listed as protected, threatened or endangered). Culverts constructed "in the dry" or with an elevated dry shelf, may be used to allow herptiles to pass from one side of the road to the other without crossing the pavement. Low fencing (drift fencing) should be used with the culverts to direct wildlife to the culvert openings. Case-by-case requirements should be discussed with the Regional Environmental Unit and appropriate environmental permitting agencies.

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8.6.4

8-62 8.6.4.2 Fish Passage

HIGHWAY DRAINAGE

Culverts installed to convey natural channels should be aligned to minimize the effect on fishsupporting streams with resident or migratory fish populations. Sufficient water depth and suitable water velocity for fish passage should be provided during periods of low flow. The exact requirements should be discussed with the Regional Environmental Unit. When designing for fish passage, consider the flow regimes at the time of year when peak resident or migratory fish movement usually occurs (usually spring and/or fall). Simulating natural stream bottom conditions in a culvert is the most desirable design option to accommodate fish and wildlife passage. To achieve this goal and accommodate fish passage during low flow periods, various options are available as follows: 1. In locations where adequate foundation support exists, an arch shaped culvert may be used. The natural stream bed will remain in place. 2. A precast or cast in place reinforced concrete box culvert with a broad shaped "V" or dish shaped floor may be used. The center line floor elevation should be 200 mm below the outer floor elevation. 3. In locations with poor foundation material, oversized depressed culverts can be installed and the natural stream bed material placed inside. To accommodate fish passage during high flow periods, avoid concentrating flows such that the velocity of water inside the culvert is increased above normal levels upstream and downstream of the culvert. Culverts should not result in water velocities throughout a distance that exceeds the sustained swimming speeds of trout during the fall and spring spawning seasons (Refer to Report No. FHWA-FL-90-006 "Fish Passage Through Culverts, page 12, Figure 9.). As an example, trout require a resting pool every 30 m with a water velocity of 0.6 m/s. Consider the placement of energy dissipating baffles or boulders inside culverts, or using oversized depressed culverts and placing natural stream bed material inside to provide habitat and resting pools for migrating fish species. The culvert's outlet should not be suspended above the stream channel or cascade onto rocks; rather the outlet flow should gently merge with the tailwater pool, thereby facilitating the upstream movement of fish. Culverts should be installed during low flow conditions (August-September) and "in the dry". Temporary dams, water diversions, cofferdams, sediment basins, and water bypass should be considered. The specific type or combination of measures necessary will depend on the depth of water, velocity, discharge, duration of installation, site conditions, and the type of culvert specified. Any restrictions regarding the timing of construction activities or other requirements for work in the channel should be stated in a Special Note. (Refer to Chapter 21, Section 21.4, for the desired format of Special Notes.)

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8.6.4.2

HIGHWAY DRAINAGE
8.6.4.3 Energy Dissipators

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Energy dissipators are any device designed to protect downstream areas from erosion or scour by reducing the velocity of flow to acceptable limits. There are two types of scour which should be considered local scour and channel degradation. Local scour extends a limited distance from the outlet and may occur in both a roadside channel and a natural channel when the outlet velocity is significantly higher than that which the outlet channel lining or natural bed material can withstand. Channel degradation is typical to a natural channel, is independent of culvert performance, and is a result of natural causes. There are two approaches which may be taken to protect the channel from scour mitigation and monitoring. Both approaches should be coordinated with the Regional Maintenance Engineer because they involve follow up reviews to monitor the site. Mitigation entails providing a minimum level of protection such as stone filling, followed up by periodic monitoring. Monitoring the site entails providing no protection for the channel in the vicinity of the culvert's outlet, other than the channel lining material; however, the structural integrity of the culvert should be protected by providing a headwall, cutoff wall, or end section to prevent undermining of the pipe's end. There are a number of methods by which water's energy may be dissipated. Refer to Hydraulic Engineering Circular (HEC) No. 14 "Hydraulic Design of Energy Dissipators for Culverts and Channels" or "Energy Dissipators", (Chapter 11 of the "Model Drainage Manual") for guidance regarding design considerations and procedures. 8.6.4.4 Debris Control The need to control debris at a culvert's inlet should be considered. When debris accumulates, the culvert will normally cease to convey water effectively. This can endanger the traveling public and result in damage to the culvert, the highway, and adjacent property. A debris control structure should not be specified without consulting with the Regional Maintenance Engineer because planned maintenance, rather than emergency maintenance during flooding periods, is an essential design consideration. A discussion of the field survey data required to determine the need for debris control structures, the types of debris control structures, and the classification of debris is provided in Highway Engineering Circular (HEC) 9, "Debris Control Structures Evaluation and Countermeasures". HEC 9 is recommended as a source of guidance if debris control structures are determined to be necessary based on a field review of the drainage area and its debris problems.

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8.6.4.3

8-64 8.6.5 Maintenance

HIGHWAY DRAINAGE

All existing culverts within the project limits should be examined to determine the culvert's structural condition and hydraulic adequacy. The need to clean, rehabilitate, or replace the installation should be considered. 8.6.5.1 Cleaning The pay items located in Section 203 Excavation and Embankment should be used for culverts in need of cleaning. These culverts should be tabulated in the Contract Documents. Specification provisions contained in Section 619 Maintenance and Protection of Traffic should not be used or relied upon for culverts in need of cleaning prior to construction. Section 619 provisions are for conditions which arise during construction. Culvert cleaning may be included in federal participating shares which contain other items of work where the cleaning work is incidental to the other federallyaided work. 8.6.5.2 Rehabilitation and Replacement An inventory of existing culverts should be organized by material type. The age of each culvert should be determined and compared with the anticipated service life provided in Section 8.6.2.2. This information should form the basis to determine whether or not the culvert is reaching the end of its design and anticipated service life, and therefore is a candidate for rehabilitation or replacement. The Regional Maintenance Group routinely inspects culverts over 1500 mm in diameter. Their inspection reports should be reviewed to provide additional information regarding the condition and the need to repair or replace the culvert. Replacement will seldom be a viable alternative in significant locations where long detours or extensive disruption to traffic will occur. When replacement is not considered desirable, existing pipes may be relined as discussed in EI 01-029. Specification provisions for this work are provided in Section 602. Consideration should be given to any impact additional headwater will have on floodplain criteria, and adjacent landowners. Replacement culverts should be designed for future traffic, future maintenance activities, a horizontal offset to the traffic barrier, and where permitted, bicyclists and pedestrians. Therefore, the culvert length should accommodate the minimum roadway width for bridge replacements in Section 2 of the NYSDOT Bridge Manual. Although the roadway widths in the Bridge Manual were developed for bridges, they are appropriate for less costly culvert structures. When exceptions are appropriate, they should be approved as nonstandard features in accordance with the Project Development Manual.

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8.6.5

HIGHWAY DRAINAGE
8.6.6 Safety - Roadside Design Decisions regarding roadside design should be made consistent with Chapter 10. In general:

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1. Any unnecessary drainage structures that would be hazardous to an errant vehicle should be eliminated. Examples might include: headwalls protruding above embankments; nontraversable ditches, particularly those perpendicular to traffic; check dams in ditches; etc. 2. Potentially hazardous drainage structures that are necessary should be relocated farther from the roadway, if practical, and if doing so would result in an adequate clear zone. Relocating drainage structures should not result in a discontinuous embankment. 3. Drainage structures which cannot be eliminated or relocated, should be modified to reduce the hazard, if such modification can be made without adversely affecting hydraulic performance. 4. Designers should refer to EI 06-015 and Chapter 10, Sections10.2.1.2 and 10.3.2.2 for design guidance for culvert-end safety grates. 5. If the above four measures, considered in combination, will not be able to produce an adequate clear zone, than that roadside area should be shielded from traffic with an appropriate barrier system. 8.6.7 Rehabilitation of Culverts and Storm Drains Designers should refer to EI 01-029 Design Guidelines for Rehabilitation of Culverts and Storm Drain Pipe for proper utilization of Section 602 of the Standard Specifications.

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8.6.6

8-65A 8.6.7 Rehabilitation of Culverts and Storm Drains 8.6.7.1 General Replacement of a buried pipe system will seldom be a viable alternative in locations where long detours or extensive disruption to traffic will occur. When replacement is neither viable nor economically desirable, existing pipes may be rehabilitated by one of the following options: 8.6.7.1.A Structural paving of the invert with Portland Concrete Cement (PCC). This is an excellent rehabilitation methodology when the culvert has maintained its original shape, even if it exhibits considerable invert deterioration. Structural invert paving should be the predominant choice for rehabilitating large diameter arches and culverts, where using a new pipe lining method is cost prohibitive. Invert and barrel deterioration are the prime considerations when deciding on the extent and boundaries of the structural invert paving operation. These boundaries should be clearly shown on the contract documents. For worker access safety reasons, structural paving of the invert should not be specified in culverts with diameters smaller than 1200 mm, except when no other option is feasible. Design details on structural invert paving along with extended guidance can be found in Section 8.6.7.6. Structural invert paving may also be used in conjunction with shotcreting of the entire remaining culvert barrel (i.e. beyond the structural paving limits) further improving the structural capacity of the rehabilitated culvert. This hybrid rehabilitation scheme is recommended when the circumferential integrity of the culvert is questionable. 8.6.7.1.B Lining with Shotcrete. This is a cost effective solution for large size culverts and arches that are experiencing distress in sidewalls, roof, and invert. The culvert should not display any significant structural deficiencies, buckling or other forms of deformation. It can also be used in combination with paving inverts. The plans need to indicate the reinforcement details and its limits along the culvert periphery. Utilizing welding or stainless steel mechanical anchors in reinforcement anchoring are the only options allowed. Lining with shotcrete could encompass the entire barrel of the pipe. A minimum cover of 50 mm over the corrugation crests is recommended. If for other reasons a designer would like to specify a thicker cover this must be clearly indicated on the plans. To accommodate the proper installation and application equipment, the item can only be used in culverts with a minimum diameter of 1200 mm. 8.6.7.1.C Lining with Cured in Place Pipe (CIPP). This consists of a CIPP lining inserted into an existing culvert. When lining with CIPP, the designer must provide on the plans all necessary information so that the bidding Approved List installers are able to calculate the design (dead and live) loads on each liner based on the same critical design input parameters. The provided information must at minimum include, but it is not limited to, the culvert maximum depth of cover, estimated modulus of soil
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8-65B reaction E and estimated water table elevation above culvert invert for the site. This information should be clearly noted on the plans, as: The maximum depth of cover is estimated from the top of the pipe to, or The estimated water table elevation is measured from the culvert invert. By providing this information on the plans, we improve the uniformity of the bidding, since all submitted bids will be relying on the same design input parameters. Subcontractors mobilization cost should also be considered when selecting relining methodologies. For example, if CIPP lining has been selected for twelve culverts with bends while HDPE lining has been proposed for three straight run culverts, unless the three straight run culverts were of very large diameter (approaching 1050 mm in diameter), it may be cost prohibitive to mobilize another subcontractor (HDPE lining) when the CIPP one will already be on site. Designers should be selecting the most cost effective repair scheme. 8.6.7.1.D Lining with a New Liner Pipe. This rehabilitation technique can restore both structural and hydraulic capacity of a pipe. It is appropriate for culverts ranging in diameters from 300 through 3000 mm. The existing (host) pipe should be relatively free of large bulges and in relatively good alignment. If bulges, alignment issues or other obstructions exist, they should be (if possible) eliminated in order to accommodate the unobstructed insertion of the new liner pipe. Lining pipe generally comes in 6 m lengths and requires adequate end access space to accommodate insertion. When end access is limited, shorter pipe lengths may be utilized but they have to be special ordered. Designers should contact lining pipe manufacturers or suppliers in advance to determine availability of short lengths. All available pipe rehabilitation materials are presented in Section 8.6.7.6. When end access of an existing large pipe (1800 mm or larger) is limited, Galvanized Steel Plate, Steel Structural Plate and Galvanized Steel Tunnel Liner Plate may be cost effective pipe lining options. This is true, only if structural paving is not an option. These methodologies will also restore a culverts structural integrity. Designers should never specify the grout mix design used to fill the annular space between the existing pipe and the lining pipe. It is the manufacturer's representatives responsibility to recommend a suitable grout compatible with the lining material used. The grout material recommendation must be included in the submitted written proposal to the EIC, in accordance to the specifications. The compressive strength of the grout is completely ignored (it is assumed that it carries no load and it does not contribute to the structural capacity of the composite old pipe-grout-liner pipe structure) in the liner thickness design calculations. Completely deteriorated conditions (i.e. it possesses zero remaining structural capacity) are assumed for the existing pipe during these calculations. Consequently, the proposed liner is required to possess adequate structural capacity to carry the entire calculated dead and live load. Due to the potential for adverse environmental impacts associated with culvert rehabilitation activities (e.g. in-stream habitat, sediment dynamics, water/air quality), it is
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8-65C essential that designers coordinate the project development with the Regional Environmental Unit at an early stage in order to identify potential impacts and opportunities for mitigation. The reader is strongly encouraged to review Section 8.6.7.6 for a detailed presentation of the above mentioned rehabilitation techniques. Additional guidance regarding the rehabilitation of culverts is provided in AASHTO=s Highway Drainage Guidelines, Volume XIV. 8.6.7.2 Evaluating the existing culvert and site conditions During hydraulic calculations to determine the minimum required diameter which satisfies the facilitys hydraulic demand, the proposed lining pipe=s wall thickness and/or the corrugation pattern may dictate the choice of lining materials. It is imperative that the existing (host) culvert is thoroughly inspected in order determine the most appropriate type of rehabilitation. The inspection should determine culverts dimensions, material type, overall condition and structural integrity as well as site and/ or existing pipe end accessibility for inserting lining pipe. Inspectors should clearly map the location and extent of distressed areas as well as all existing obstructions / buckles which may impact the size and insertion of the proposed lining pipe. Buckled pipes can be jacked near to their original shape provided that working room and proper access are available. However, excessive buckling of the existing pipe may severely obstruct and consequently preclude the use of any lining pipe. If visual inspection of the existing pipe for whatever reason is not feasible, a robotic or other remote means inspection method is warranted. Special order lining pipe lengths may be available for some types of lining pipes. If needed and as it was recommended in the Lining with a new pipe section, Designers should contact the pipe manufacturer or supplier to determine availability of shorter lining pipe lengths and approximate material costs. If significant pipe perforations and/or backfill subsidence has been observed, consult with the Regional Geotechnical Engineer to determine the extent of any voids that may exist in the backfill material in the area above and immediately adjacent to the culvert. 8.6.7.3 Hydraulics & Service Life All material used in culvert and storm drain rehabilitation should meet structural, hydraulic and service life requirements as identified in Chapter 8 of the Highway Design Manual. For design calculation purposes, the existing culvert and any annular fill material (e.g. grout) used in the lining application are assumed to provide no additional service life nor contribute to the structural capacity of the lining pipe. 8.6.7.4 Geotechnical Issues Consult with the Regional Geotechnical Engineer to determine and map the extent of any voids that may exist in the backfill material adjacent to the culvert. Voids not immediately adjacent to
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8-65D the culvert, which may have developed via infiltration of backfill fines into the culvert, are typically filled from above using a series of drill holes. For the sake of uniform bidding purposes, when voids are present, the Plans should include the following details: general site conditions, access, proposed end treatments, profiles and grade staging, voids mapping, any special situations, relevant restrictions, etc. The Regional Geotechnical Engineer should be contacted for selecting the voids filling material in the backfill. Very rarely culvert bearing embankments require grouting immediately prior to culvert rehabilitation. Extensive embankment grouting (filling of voids beyond culvert vicinity) is pursued only when the Designer and/or a Geotechnical Engineer decide(s) that the observed settlement poses a serious and immediate threat to the embankment integrity. Established practice for most cases dictates completing the lining work prior to addressing any settlement related issues. 8.6.7.5 Cost Each rehabilitation methodology has its own pay item which includes all labor and materials cost necessary to complete the installation. The depth of cover (or fill height above the culvert) and ground water table elevation impact the bidding price of a liner. The fill material in the backfill area above the pipe is paid for under a separate item provided by the Geotechnical Engineer. 8.6.7.6 Available lining methodologies and recommended conditions for use: 8.6.7.6.A Adequate Structural Capacity If the culvert possesses reduced but adequate structural capacity and the culvert has maintained its original shape some structural capacity can be restored by rehabilitating the barrel. Under these conditions, the culvert could be effectively rehabilitated by selecting one of the following two methodologies: 8.6.7.6.A.1 Structural Paving of Inverts with Portland Cement Concrete (PCC) This is a relatively low cost solution for rehabilitating circular culverts and arches experiencing invert distress, primarily caused by abrasion or a combination of abrasion and corrosion. Generally, if the pipe or arch has maintained its original shape and does not experience other major structural deficiencies except the invert loss, the culvert can be rehabilitated by structurally paving the invert, regardless if the invert shows considerable deterioration. Due to the higher cost of lining pipes using other approved rehabilitation methodologies, the effectiveness of invert paving for invert distressed drainage facilities should be explored first. Structural invert paving is appropriate when there are no other major structural deficiencies in the culvert besides the invert deterioration, and the pipe is also of sufficient size (a minimum culvert diameter of 1200 mm is recommended) to accommodate safe execution of this work. The designer should clearly indicate in the plans the concrete cover over the corrugation crests, the type and layout of the concrete reinforcement, and the paving area limits along the periphery of the culvert. Note that the periphery paving limits
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8-65E should always extend beyond the area of significant corrosion loss, allowing reinforcement to be attached onto sound metal locations on both sides of the invert. The 602 standard specification requires that all reinforcement details shall be shown on the plans. Design Standard details of structural invert paving of culverts spanning up to 3000 mm and bearing up to 6 m of fill over the crown are available in .dgn format under Resource Links at: https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-8. Electronic copies of theses details can be provided upon request. Repairs for culverts falling outside these parameters need to be designed on an individual basis and the Office of Structures can be consulted for assistance. Welded wire fabric reinforcement embedded in a 100 mm deep/thick concrete slab over the corrugation crest is recommended for structural invert paving of round pipes and arches spanning up to 1800 mm. The welded wire fabric reinforcement can be attached directly onto the corrugations by welding or utilizing stainless steel mechanical anchors. These are the only two anchoring options allowed for welded wire fabric reinforcement embedded in 100 mm thick concrete slab for culverts spanning less than 1800 mm. Reinforcement bars are recommended for all arches (regardless of span) and also for all round pipes spanning between 1800 and 3000 mm. The reinforcement is embedded in a 150 mm or 200 mm thick concrete slab, depending on the culverts span, with a minimum of 50 mm reinforcement cover. Shear transfer is achieved by anchoring (welding) shear studs to sound metal on the corrugation crests (see relevant drawing detail Figure 2). Reinforcement bars shall only be attached to shear studs (never directly to the culvert walls) by wire tying (see relevant drawing detail Figure 1). Reinforcement bar sizes will be selected based on the recommendations established by the Office of Structures (DCES) (see Figure 3). All reinforcement and shear studs should be covered with concrete and the concrete should be sloped in such a way as to prevent water ponding on the side walls. Small areas of suspected metal loss around culverts circumference do not necessarily preclude the use of this item as an effective rehabilitation technique, since the remaining circumference above the structurally paved invert area could also be lined with shotcrete. Since these treatments modify culverts hydraulics characteristics, designers must consult with the Hydraulics Design section on this topic. Designers are directed to use a Manning=s An@ value of 0.013 for hydraulic calculations in the paved area of the culvert. Structural paving of corrugated pipe inverts with PCC results in reduced roughness, leading to increased flow velocity and sediment transport competence. This may in turn negatively affect aquatic habitat connectivity as the barrel will retain less streambed sediment than it did in its prior unpaved condition. It is recommended that surface roughening techniques (e.g. raking the fresh concrete perpendicular to the flow) be considered for use where appropriate and practicable. Designers are also reminded that a culvert with a previously paved invert could be re-rehabilitated with concrete lining. 8.6.7.6.A.2 Lining with Shotcrete If the entire culvert circumference (or even when an area beyond the extent of structural invert paving but less than 20% of the total corroded area) exhibits signs of minor corrosion, lining with shotcrete is a viable option. Designers may utilize the Design Standard details for
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8-65F structural paving developed by the Office of Structures Design which are available in .dgn format under Resource Links at: https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-8, after simply substituting the concrete with the appropriate shotcrete item. As mentioned in the previous section, shotcrete can be used in conjunction with structural invert paving to address corrosion beyond the extent of paving. Shotcrete can also be used for localized rehabilitation of a distressed culvert section. If properly specified, this method can also restore culvert structural capacity. Designers are directed to use a Manning=s An@ value of 0.013 for hydraulic calculations in the shotcreted area of the culvert. For worker access safety reasons, this lining methodology should not be utilized in culverts with diameters smaller than 1200 mm. 8.6.7.6.B Inadequate Structural Capacity If the structural integrity of the culvert is questionable, the following six lining options may be considered: 8.6.7.6.B.1 Lining with High Density Polyethylene Pipe (HDPE) High Density Polyethylene Pipe meeting ASTM F894 (Profile Wall) or ASTM F714 (Smooth Wall) may be used in association with the height of cover table provided below. There are two types of HDPE liners: a profile wall often without exterior corrugations, and a smooth solid wall pipe. The exterior and interior diameters of these liners vary among manufacturers. Considerable confusion has been generated when specifying the required size of these two lining pipes. Profile wall pipe is specified by the inside diameter, and as the required load increases, the wall profile thickens. Smooth wall pipe is specified by the outside diameter and the actual inside diameter diminishes with greater loads, as the wall thickens. Smooth wall HDPE lining pipe has a much higher material cost because of the larger resin volume required for its fabrication compared to the profile wall. For good grouting practice purposes Standard Specification 602 requires a minimum annular space of 25 mm between the host pipe and the liner. Therefore the outside diameter of the liner pipe must be a minimum of 50 mm smaller than the diameter of the existing (host) pipe. This is an important size constraint when calculating the hydraulic capacity of the relined installation. As a result of these dimensional constraints, designers are at times forced to specify the more expensive smooth wall liner pipe vs. the cheaper profile wall. When this is the case, because for the same load carrying capacity, the smooth wall liner pipe possesses a thinner wall section, allowing for more interstitial space between the proposed liner and the host pipe. To prevent problems during construction between the two wall types, both types have there own specification and the Designers wall selection should be clearly indicated in the plans. The original specification has been retained as an optional item. It can be used when abundant interstitial / annular space exists and the consequences of a potentially arbitrary swap in the field are not a major concern. Currently available diameters for these pipes range from 45 to 1500 mm for solid wall pipe, and 45 to 2400 mm for profile wall pipe.

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8.6.7.6.B.1

8-65G Various joint types can be specified to hold the liner segments aligned and firmly together through the liner insertion process and until the grout sets in place. The issue of joint type selection for HDPE liners is addressed in the revised 602 specification as: Perform all butt fusion and extrusion welding of HDPE pipe in accordance with the Manufacturers recommendation and Alternate joining methods will be subject to approval by the Director, Materials Bureau. Two mechanical joints are currently approved, a threaded joint and a smooth exterior bell and spigot joint. A mechanical joint wrap process has been evaluated and approved with some dimensional restrictions associated with its use at this time. However, butt fusion and extrusion welding are still the most durable joining methods, effectively creating a continuous liner pipe but they are also more labor intensive and hence more expensive than other joining methods. When alignment breaks or pinch points are encountered in a project, designers should only consider butt fusion and extrusion welding as the joining methods of choice, as they provide the most reliable joints for these challenging site conditions. Designer choices as such, should be clearly stated in the notes and placed in a very prominent spot in the contract documents. The notes should also explicitly state that these joint selection restrictions solely apply to the host pipes possessing these challenging morphological conditions.
HDPE Liner Diameter (mm) Maximum Allowable Cover1 (m)
1 450 525 600 675 750 825 900 1050 1200 1350 1500 1650 1800 2100 2400

10

10

11

Maximum vertical distance between the top of the pipe and the top of pavement. 8.6.7.6.B.2 Lining with Cured in Place Pipe (CIPP) Lining with Cured in Place Pipe (CIPP) is an option for round pipes when end access is limited, pipe alignment includes bends, or when other lining methods would seriously reduce culvert hydraulic capacity. CIPP can restore both the structural and the hydraulic capacity of a pipe. Although this item is relatively expensive compared to other relining items, it could be the best rehabilitation alternative if all or some of the above site conditions exist. Designers bear the sole responsibility in making this selection decision based on site conditions and associated regional installation cost. This item should very rarely be considered as a viable rehabilitation method for arches or rectangular culverts. CIPP is best suited for circular drainage facilities with limited access to and ranging in diameter from 300 to 1050 mm. CIPP technology can be applied to lining larger diameter culverts, but in these cases, the installation cost is usually prohibitive and CIPP lining should only be considered for very short lengths. The ability to prepare (wet) the liner off site as opposed to wet it on site (near the culverts access point) greatly impacts operational cost. High depths of cover and elevated water tables demand thicker CIPP liners. These adverse site conditions coupled with large diameter and/or long host culverts, result in very heavy liners, which forces the installer to perform the wetting operation over the culverts access point. This additional cost may render the overall cost of this operation prohibitive. Consult with the Materials Bureau when dealing with large diameter and/or excessively long liners.

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8-65H Lining Concrete Pipe with Cured in Place Pipe (CIPP) is an option created to utilize a partially deteriorated design methodology and can ONLY be used for lining concrete pipes. This item should ONLY be used when the concrete pipe still possesses some measurable structural capacity but inspections have raised some concerns, which can be alleviated by lining. These concerns may include, but are not limited to, damaged or separated joints, infiltration of ground water from faulty joints or incipient cracks (cracks not threatening the structural capacity of the concrete pipe) or as a precautionary measure for abrasion protection. The designer may follow the same guidance as with CIPP (see above), but this concrete pipe pay item should be selected. It is anticipated that invoking the partially deteriorated design methodology, ONLY where warranted, will result in substantial material cost savings and reduced overall bid prices. A Manning=s coefficient An@ value of 0.013 should be used for hydraulic calculations in all CIPP sections. The CIPP relining item is often selected by designers as a result of two very important features. The usually improved Mannings coefficient of the rehabilitated culvert coupled with the smallest cross section reduction possible as a result of selecting CIPP vs. any other relining methodology. Once again, only round culverts should be lined with this method. The anticipated service life of this treatment is 70 years. It is imperative that all obstructions in the culvert are removed prior to initiating the CIPP lining procedure. The bid price for the CIPP item includes the cost of removing any obstructions, along with re-establishing culvert to secondary pipe connections and the removal of any protruding pipes as required. It should be noted that Department policy for storm drainage allows addition of pipe connections onto a pipe only within a structure (e.g. manhole, drop chamber, etc.) and never in between such structures, so finding all pipe to pipe connections should be a fairly straight forward process. A thorough culvert inspection is required to determine the number of existing pipe to pipe connections and the extent, if any, of obstruction removal. If the culvert opening (900 mm in diameter or less) prohibits a direct human visual inspection, a closed circuit television inspection should be performed by experienced personnel trained in locating breaks, obstacles and service connections during the design phase of the project. This information should be made available to all bidders to assist them in preparing an accurate bid. Designers should be aware that in the field, the liner is inverted and filled with water, which pushes the liner through the culvert. The water also holds the resin-impregnated liner in position and in contact with the host pipe. The water is circulated through a mobile boiler which raises its temperature in excess of 71o C. The heat of the circulating water cures the resin and transforms the formerly flexible liner into a solid continuous conduit. The liner curing process typically lasts several hours. Once the liner is completely cured, the curing water is removed, then, all (if any) service connections are restored using robotic cutting devices, especially for culverts less than 900 mm in diameter. The completed liner should then be inspected, often using a closed circuit television, especially for culverts less than 900 mm in diameter. Environmental impact concerns and information gathered from the extensive use of CIPP, have led to a series of new product developments as well as amendments to installation
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8-65I procedures. Curing water from CIPP installations utilizing a styrene-based resin contains some styrene residual. NYS Surface Water and Groundwater Quality Standards and Groundwater Effluent Limitations (6 New York State Department of Codes, Rules and Regulations (NYCRR) Part 703) set quantitative and qualitative standards for effluents to NYS water bodies. These standards may vary for different classes of receiving waters or for discharging it to groundwater. NYS Water Quality Standards include specific limit guidelines for discharging certain pollutants (including styrene) to various surface water classes and groundwater. Namely the limit of 0.05 ppm applies to surface water bodies with classifications A, A-S, AA and AA-S while the limit of 0.005 ppm applies to groundwater with GA (fresh groundwater) classification. The general conditions listed in 6 NYCRR Part 701 apply to all water classifications. They dictate that discharges shall not cause impairment of the best usages of the receiving water (as specified by the water classifications) both at the location of discharge or at any other location which may be affected by such discharge. Note that thermal loading considerations (6 NYCRR Part 704) are directly related to the release temperature and discharge rate of the curing water. Provisions for handling and/or disposal alternatives as well as other control procedures are included in the specifications to address the presence of styrene in the curing water and other potential releases to water and air from the by-products of the CIPP installation. These provisions include: Some procedural changes to enhance control of the CIPP process and leakage of resin, including utilizing a preliner bag and excavating a temporary resin control pit at the outlet. Allowing the use of non-styrene based resins containing less than five percent volatile organic compounds (VOCs) with less than 0.1 percent hazardous air pollutants (HAPs). These resins are now included in the 602 Standard Specifications and can be used by the Contractor in any CIPP site. The cured liner should also contain less than 0.1 percent of water quality pollutants (as listed in 6 NYCRR Parts 700-705)". NYSDOT may determine and dictate that at certain areas of greater environmental concern (i.e. in the vicinity of class A, A-S, AA and AA-S water sources or at other locations presenting other needs) non-styrene based resins MUST be used. If the Department requires the use of only a designated resin type, the resin type requirements shall be clearly noted in the contract documents; otherwise, the Contractor may select the resin type from the resin approved list included in the CIPP Approved Installers Materials Procedure document, which is kept on file at the Main Office, Materials Bureau. In all CIPP installations utilizing a styrene based resin, it is required to collect the curing water for: o Reuse in another curing operation o Treatment or disposal at an off-site facility; or o Release on site after treatment to standards dictated by NYSDEC and with approvals from NYSDEC. Summarizing, the resin type alternatives for CIPP work are to either use a non-styrene based resin or follow additional controls when using a styrene-based resin. Areas of environmental concern may include, but are not limited to, wetlands, fishing streams and ponds, upstream of public water sources, densely populated urban areas where residents
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8-65J are concerned about the short lasting odor of the styrene during curing, etc. Waters classified as Class A are: a source of water supply for drinking, culinary or food processing purposes; primary and secondary contact recreation; and fishing (i.e. waters suitable for fish, shellfish, and wildlife propagation and survival). Although numerical standards are not listed for other classes of streams in 6NYCRR Part 703, the general requirements of Part 701 apply (i.e. discharge must not cause impairment of the best usages of the receiving water). The designer shall determine the location of each installation in respect to environmental resources including the classes of streams/watercourses in the vicinity of the project. The regional environmental unit and/or Environmental Viewer (A GIS application currently available at the Office of the Environment Intradot site and under the manual / applications tab, subsection GIS Application) shall be consulted for stream classification and other relevant environmental information. For installations close to and presenting the potential for curing water releases to class A, A-S, AA and AA-S streams or releases of other concern, the requirement for using a non-styrene based resin should be considered. If designers determine that a non-styrene based resin shall be used in a specific CIPP installation, then the relining projects contract documents have to clearly and unambiguously specify that a resin containing less than five percent volatile organic compounds (VOCs) with less than 0.1 percent hazardous air pollutants (HAPs) must be used. It should also clearly state that the cured liner should contain less than 0.1 percent of water quality pollutants (as listed in 6 NYCRR Parts 700-705)". Use of these resins will result in a significant increase to the rehabilitation cost, approximately double to the materials cost of using regular styrene based resins in 2009 market prices. Therefore the decision to specify non-styrene based resins should not be made lightly and never prior to evaluating whether the use of styrene based resins combined with other alternative provisions to control the release of the curing water provide both enough site environmental protection and project cost savings. These provisions (listed now in the 602 Standard Specification) include but they should not be limited to: removal (pumping out) of the curing water at the end of the CIPP installation and transporting it to an appropriate disposal facility instead of free draining it at the outlet, providing for a resin catchment pit excavated right at the culverts outlet to create ideal conditions for the collection of the trace amounts of styrene, temperature control of the released curing water, as well as combinations of the above. Again, designers stipulations on environmental protection provisions should be clearly indicated on the plans as they may substantially impact the operational cost. These stipulations should be limited to the class of the neighboring stream or water course class which may be impacted by the release of the curing water, the need for utilizing a styrene or a non-styrene based resin, the maximum allowed release temperature of the curing water and the size of the resin catchment pit. It is recommended that the resin catchment pit dimensions are: 4 to 5 m long, twice the culvert diameter wide and 300 mm deep. If a rip-rap layer has been installed at the culvert outlet (potentially even in the stream bed), the proposed depth of the catchment pit will be equal to the thickness of the rip rap layer (it could even be over 300 mm deep) and as indicated on the record plans. If the natural bedrock is encountered near the culvert invert elevation, the catchment pit bottom elevation must be just (at least) below the culvert invert, so that the CIPP installer is
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8-65K able to create the proposed temporary catchment pit. CIPP installers will decide as to the catchment pit lining, as they are responsible for preventing the liner curing process byproducts and waste from reaching the surrounding ground and percolate / leach into the groundwater. The excavation, temporary storage of the fill and restoration of the downstream channel will be paid for under pay item 206.04 Trench and Culvert Excavation O.G. The majority of the environmental controls in any CIPP project are dictated by the written agreement (Materials Procedure) between the Approved List manufacturer / installer and the Materials Bureau. If designers have any concerns about using the CIPP relining item at a specific location, especially when styrene based resins are employed, they should first consult with the Materials Bureau. Current designs address fill heights up to a maximum of 15 m. If the fill height over the CIPP installation exceeds 15 m at any point along the culvert alignment, contact the Materials Bureau to coordinate an evaluation of the proposed CIPP liner design. 8.6.7.6.B.3 Lining with Polyvinyl Chloride Pipe The 602 relining specification also allows the contractor to use PVC pipe meeting ASTM F1803, ASTM F949, and two new standards, ASTM F679 or ASTM D3034 (small diameters 300 or 375 mm) as relining material. PVC pipe is currently available in diameters ranging from 300 through 900 mm on the current Approved List. Please always consult the Approved List for the addition of new manufacturers and/or products as well as for the currently approved sizes for each PVC material. PVC lining pipes are corrosion and abrasive resistant. A Manning's coefficient value of 0.013 should be used for all hydraulic capacity calculations related to PVC pipes. Some PVC pipes are more brittle than other flexible relining materials. Therefore, designers should determine prior to specifying it, that the condition and shape of the host culvert will allow for an unobstructed insertion of the PVC lining pipe. Since the 602 relining specification requires a minimum annular space of 25 mm for effective grouting, the outside diameter of the liner pipe needs to be a minimum of 50 mm smaller than the inside diameter of the existing (host) pipe when calculating the hydraulic capacity of the new installation. Profile wall pipe (ASTM F949) is specified by the pipe's nominal inside diameter while the respective outside diameters can be found in ASTM F949. ASTM F1803 lists only the nominal inside diameter of these respective materials, therefore designers must consult with the pipe manufacturer to obtain the outside diameter information. Both ASTM F949 and ASTM F1803 pipes possess joints that are flush with the outside diameter. However, ASTM F679 and ASTM D3034 pipes do not have a joint flush with the outside diameter of the pipe but rather a bell and spigot joint protruding from the outer pipe shell. Therefore, for ASTM F679 & ASTM D3034 pipes, it is the outside diameter of the joint and not the outside diameter of the pipe which dictates the maximum allowable liner diameter for a particular application. Because of this confusion, the lack of readily available info for some PVC pipes and in order to properly evaluate selected PVC pipe size compliance with the minimum required annular space for effective grouting, designers are strongly encouraged to
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8-65L consult with the Materials Bureau about the maximum outside dimension of any PVC pipe, if this information is not available to them.. The table below provides the allowable fill heights for each size of PVC liner pipe. If the fill height exceeds 15 m at any point along the pipe alignment, contact the Materials Bureau for approval of the proposed liner design. The anticipated service life of a PVC liner is 70 years. PVC Liner Diameter (mm) Maximum Allowable Cover (m 1)
1

300 15

375 14

450 10

525 15

600 15

750 15

900 8

Maximum vertical distance between the top of the pipe and the top of pavement. 8.6.7.6.B.4 Lining with Tunnel Liner Plate In some closed drainage systems, space constraints may limit lining options which involve installing full lengths of pipe sections. In these cases, galvanized tunnel liner plate may be a viable option. Tunnel liner plate can be inserted and assembled within the host culvert as the laying length of individual sections is 450 mm. Galvanized Tunnel Liner Plate requires a PCC invert to provide the required service life and hydraulic performance. Structural paving of the invert improves the hydraulic efficiency of the culvert and protects the tunnel liner bolt flanges from abrasion caused by bedload. When site conditions dictate that only tunnel liner plates can accommodate the structural demand of the culvert, but hydraulics analysis dictates that a low Manning material must be used, shotcreting the invert or HDPE lining is a valid solution. Consult the Materials Bureau for further guidance when such cases arise. 8.6.7.6.B.5 Lining with Polymer Coated Corrugated Steel Pipe (CSP) If the rehabilitated pipe is anticipated to be subjected to potentially abrasive bed loads or to be exposed to high concentrations of industrial waste, the Polymer Coated CSP item is a suitable relining material for these conditions. The suggested Manning=s coefficient n value will range from 0.013 to 0.026, depending on the corrugation pattern selected. The recommended Manning coefficient An@ values for all drainage materials are provided in Section 8.6.3.1. The height of fill tables provided in Appendix A shall be used to determine if the 12 gauge steel pipe meets the sites height of fill requirements. 8.6.7.6.B.6 Lining with Steel Structural Plate Pipe or Pipe Arches with PCC Paved Invert Steel structural plate can be partially or fully assembled and pushed or pulled into place within the pipe. This lining option should be considered for large diameters where other items are unavailable. If the plate sections are too large to be inserted into the host culvert

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8.6.7.6.B.6

8-65M through the exposed ends, then an excavation and a field cut through the culvert roof would be required. Every effort should be made to ensure that the excavation and field cut are located where it will be the least disruptive to traffic. Designers must clearly indicate in the plans how to pave the invert of the plate pipe or arch. The minimum extent of the invert paving will be the bottom 30 percent of the inside circumference for round pipes, the bottom 35 percent of the inside periphery for arch spans up to 3 m and the bottom 40 percent of the inside periphery for arch spans greater than 3 m. If this paving coverage encompasses (with some margin of safety) at least 150 mm circumferentially beyond the limits of the culverts wetted perimeter for mean flow conditions, then this paving coverage will be sufficient. If it does not, then a greater percentage of coverage should be used. A minimum cover of 50 mm over the crests of the corrugation and the steel fabric reinforcement should also be noted on the plans.

03/25/11

8.6.7.6.B.6

8-66 8.7 STORM DRAINAGE SYSTEMS

HIGHWAY DRAINAGE

Storm drainage systems should be considered to protect the roadway and the traveling public from stormwater when right of way limitations, or the presence of curbs and sidewalks do not allow stormwater to run off of the roadway. Depending on the adjacent terrain, storm drainage systems consist of some or all of the following items: curb, gutter, inlets, drainage structures, storm drains, and an outfall or outlet, which discharges collected stormwater to a point of release in the receiving waters (i.e., a stream, river, lake, storage facility, etc.). Pumping stations and flap gates are other items which are not as common. These other items are not discussed in this section, and should be designed consistent with the guidance provided in the references. There are two principal concerns when designing a storm drainage system: 1. Preventing excessive spread of storm water onto the traveled way, and 2. The protection of adjacent natural resources, and property. The first concern is addressed through the design of curbs, gutters, and inlets. The second concern is addressed through the design of the storm drainage system outlet, and the type of receiving waters. Regardless of the design or size, there will be occurrences when the capacity of a storm drainage system is exceeded. Storm drainage design is an iterative process. Due to the time consuming nature of storm drainage design, the use of drainage software is recommended. A computer assisted design will generally be more cost effective than manual methods because the design iterations are automated. This section presents storm drainage design criteria, and provides an introduction to the components and considerations regarding storm drainage system design. Detailed explanations, formulas, and procedures are provided only to the extent necessary to convey the subject. The following publications should be referred to for a complete discussion of the formulas and design procedures used during design: 1. "Storm Drain Systems" (Chapter 9 of the "Highway Drainage Guidelines") provides an overview of storm drainage design. This reference does not provide a discussion of procedures, e.g., detailed discussion and formulas regarding the calculation of the hydraulic gradeline. 2. "Storm Drainage Systems" (Chapter 13 of the "Model Drainage Manual"), and "Hydraulic Engineering Circular" (HEC) No. 22, "Urban Drainage Design Manual" provides procedures, formulas, and example problems.

10/22/09

8.7

HIGHWAY DRAINAGE

8-67

8.7.1 Planning and Coordination The preliminary layout and design of storm drainage systems and the planning for stormwater management should begin early in the design process when right of way taking lines are being developed. Potential locations of receiving waters, either existing (natural watercourses, or surface waterbodies) or proposed (recharge basins, leaching basins), should be identified at this time. Additionally, slopes, adjacent terrain and development, environmental resources, and locations of existing drainage facilities and utilities should be identified. All of these factors should be considered in establishing the highway alignment and the right of way lines. When a highway typical section is changed to include sidewalks, curbs, or any element which prohibits stormwater from flowing off the roadway, a storm drainage system will generally need to be added also. Adequate funds must be programmed during the scoping stage to provide for this addition. 8.7.2 Hydrologic Analysis A hydrologic analysis shall be progressed consistent with the guidance in Section 8.3. The Rational Method shall be used to calculate the peak discharge to be conveyed by the gutter, and storm drains. Storm drainage systems which involve detention storage, pumping stations, and large or complex storm drainage systems require the development of a runoff hydrograph to determine the peak discharge. Table 8-2, in Section 8.3, provides the design flood frequencies to be used for storm drainage system design. As previously defined in Section 8.3, the Tc is defined as the time required for water to travel from the most remote point in the watershed to the point of interest. For storm drainage system design, the Tc generally consists of two components, one for inlet spacing (discussed in Section 8.7.4.4.C), and the other for pipe sizing (discussed in Section 8.7.5.3.A). The flow path having the longest Tc to the point of interest in the storm drainage system will usually define the duration used in selecting the intensity value in the Rational Method. Exceptions to the general application of the Rational Equation exist. For example, a small relatively impervious area within a larger drainage area may have an independent discharge higher than that of the total area. This may occur because of the high runoff coefficient and high intensity resulting from a short Tc. If an exception does exist, it can generally be classified as one of two exception scenarios.

10/22/09

8.7.1

8-68

HIGHWAY DRAINAGE

The first exception occurs when a highly impervious section exists at the most downstream area of a watershed and the total upstream area flows through the lower impervious area. When this situation occurs, two separate calculations should be made as follows:
First, calculate the runoff from the total drainage area with its weighted runoff coefficient and the intensity associated with the longest Tc. Secondly, calculate the runoff using only the smaller, less pervious area. The typical procedure would be followed using the runoff coefficient for the small, less pervious area and the intensity associated with the shorter Tc.

The results of these two calculations should be compared and the largest value of discharge should be used for design. The second exception exists when a smaller, less pervious area is tributary to the larger primary watershed. When this scenario occurs, two sets of calculations should also be made. First, calculate the runoff from the total drainage area with its weighted runoff coefficient and the intensity associated with the longest Tc. Secondly, calculate the runoff to consider how much discharge from the larger primary area is contributing at the same time the peak from the smaller, less pervious tributary area is occurring. When the small area is discharging, some discharge from the larger primary area is also contributing to the total discharge. In this calculation, the intensity associated with the Tc from the small, less pervious area is used. The portion of the larger primary area to be considered is determined by the following equation:

Ac = A
Ac A Tc1 Tc2

Tc1 Tc 2

where :

= the most downstream part of the larger primary area that will contribute to the discharge during the Tc associated with the smaller, less pervious area. = the area of the larger primary area. = the time of concentration of the smaller, less pervious, tributary area. = the time of concentration associated with the larger primary area as is used in the first calculation.

The runoff coefficient (C value) to be used in this computation should be the weighted C value that results from combining C values of the smaller, less pervious tributary area and the area Ac. The area to be used in the Rational Method would be the area of the less pervious area plus Ac. This second calculation should only be considered when the less pervious area is tributary to the area with the longer time of concentration and is at or near the downstream end of the total drainage area. Finally, the results of these calculations should be compared and the largest value of discharge should be used for design.

10/22/09

8.7.2

HIGHWAY DRAINAGE

8-69

8.7.3 Gutters This section considers gutters as that part of the typical section which conveys stormwater along the edge of the traveled way, shoulder, or parking lane. 8.7.3.1 Types of Gutter Section The gutter section may or may not incorporate curb. When curb is used, the gutter section is termed a conventional curb and gutter section. The cross slope of a conventional curb and gutter section may be continuous or composite. If the spread of water is limited to the shoulder, parking lane, or traveled way, the cross slope is continuous. If the spread is allowed to encroach onto the traveled way from the shoulder or parking lane, a composite section will exist due to the differing cross slopes of these typical section elements. Refer to Chapter 3, Section 3.2.9, for guidance regarding types of curb, limitations on curb use, warrants for curb use, curb alignment and typical section details, and curb material selection and installation details. A gutter section without curb may be considered a shallow swale section, is formed as detailed on Standard Sheet M624-1R1 , and is illustrated in Figure 3-2 of Chapter 3. Refer to Chapter 3, Section 3.2.10 for guidance regarding the placement of shallow swale sections at driveways. Formed gutter shall not be placed to interfere with a crosswalk. 8.7.3.2 Gutter Capacity Gutter flow calculations are necessary to establish the capacity of the gutter within the spread and puddle depth criteria in Section 8.7.4.4.C. Gutter capacity is determined based on a modified form of Manning's equation. This equation is presented below to illustrate the basis of the computation: Q = (0.56/n)Sx1.67S0.5T2.67, where: Q = Flow rate (m3/s) n = Manning's roughness coefficient T = Width of flow or spread in the gutter (m) Sx = Cross slope (m/m) S = Longitudinal slope (m/m) Each variable is discussed below. Q is determined for the drainage area contributing flow to the gutter. Desirably, overland flow should be intercepted before it reaches the roadway. This will allow the gutter to primarily convey water running off of the roadway. n values are provided in the references, and are based on the gutter surface. T is based on Q, n, Sx, and S. Sx is based on the design criteria (i.e., Chapter 2 or 7 of this manual) for the project. S is based on the vertical alignment of the roadway and drainage considerations. (Guidance regarding vertical alignment is provided in Chapter 5, Section 5.7.4, of this manual.)

10/22/09

8.7.3

8-70

HIGHWAY DRAINAGE

Using the modified form of Manning's equation, and the relationship between spread and depth of flow or puddle depth at the curb (d), d = TSx, spread and puddle depth are determined and compared to the criteria in Section 8.7.4.4.C. Nomographs are provided in the references, and computer software will aid in the determination of spread and puddle depth. The formulas, nomographs, and software are specific regarding what type of gutter section exists (e.g., conventional (uniform or composite cross slope) or shallow swale section). Inlets are placed when the spread or puddle depth in the gutter section exceed the criteria, and at other locations as discussed in Section 8.7.4.4. 8.7.4 Inlets Inlets are placed to intercept the concentrated flow of stormwater. Typical locations are in gutter sections, paved medians, and in roadway and median ditches. When curb is used to form the gutter section, the inlet shall be placed in front of the curb. Inlets shall not be recessed back from the curbline due to the potential hazard they present by creating a discontinuous curb line. 8.7.4.1 Types of Inlets This section discusses three major types of inlets. 1. Curb-opening inlet. This inlet provides a vertical opening in the curb. No grate is specified. The curb-opening inlet is not depicted on the standard sheets because it not hydraulically efficient and as a result, rarely used. 2. Gutter inlets. Gutter inlets include grate inlets and slotted inlets. a. Grate inlets provide a horizontal opening in the channel section (gutter or ditch) and are recommended for gutter locations where curb is not proposed, and locations off the roadway. Three grate types rectangular, parallel bar (with and without cross bars), and reticuline are illustrated on Standard Sheets M655-6, M655-8R3, and M655-10R2. The frames associated with these grates are also illustrated on the standard sheets. In addition to the grates used by the Department, the references mentioned in Section 8.7 discuss two other types of grates, the curved vane and the tilt-bar. These grates are not included on the standard sheets. b. Slotted inlet (pipe interceptor drain). This inlet consists of a pipe cut along the longitudinal axis with a grate of spacer bars to form slot openings. This type of inlet is acceptable for use, although not depicted on the standard sheets.

10/22/09

8.7.3.2

HIGHWAY DRAINAGE

8-71

3.Combination inlet. This inlet consists of both a curb-opening (depicted as the curb box on Standard Sheet M655-11R2) and a grate placed in a side-by-side configuration, and is recommended for gutter locations where non-mountable or mountable curb is proposed because of the added capacity offered by the curb opening should the grate become clogged. Three sizes of cast frames (FI, F2, and F3) are available. Each size is available with either a mountable or unmountable cast curb box, both of which are also illustrated on the standard sheet. 8.7.4.2 Inlet Selection The predominant types of inlets used by the Department are the grate inlet and the combination inlet. The curb-opening inlet and the slotted inlet are used less often. 1. Grate Inlets. Parallel bar grate inlets without the cross bars have superior hydraulic capacities and should be used in locations outside the roadway, or on highways with full or partial control of access where bicycles and pedestrians are not allowed (such as interstates, other freeways, and parkways). Bicycles and pedestrians should be accommodated on all highways with uncontrolled access by providing one of the following types of grate: a. Reticuline. This grate is superior for pedestrian and bicycle safety. b. Rectangular. Similar to parallel with cross bars. c. Parallel bar with cross bars. The cross bars shall be specified in the drainage structure table. A maximum grate opening to safely accommodate pedestrians has not been specified by the Department. Where pedestrian traffic is a concern within the roadway, sidewalks should be considered in accordance with Section 18.6 of Chapter 18. 2. Combination inlets are valuable when debris is a problem and at low points where water velocities are low. Whenever inlets are placed along curbs, the combination inlet should be used. When an inlet is placed along a short radius (less than 30 m) curb return, it is difficult to construct a combination inlet and a grate inlet should be used. The type of grate specified should be consistent with the guidance in item 1.

10/22/09

8.7.4.1

8-72

HIGHWAY DRAINAGE

8.7.4.3 Interception Capacity of Grate Inlets and Combination Inlets Inlet interception capacity is the flow intercepted by an inlet under a given set of conditions. The capacity of an inlet depends on its geometry as well as the characteristics of the gutter flow. Inlet capacity governs both the rate of water removal from the gutter and the amount of water that can enter the storm drainage system. Gutter flow that is not intercepted by an inlet is termed carryover, bypass, or run-by. Inlet interception capacity of the grates discussed in Section 8.7.4.1 have been investigated by the FHWA. The results of this investigation are reported in Volumes 1 through 4 of the "Bicycle-Safe Grate Inlets Study". The references in Section 8.7 contain formulas and charts, and software is available for use to determine inlet capacity. A. Interception Capacity of Grate Inlets and Combination Inlets on Continuous Grade The interception capacity of grate inlets and combination inlets is considered to be the same when they are placed on a continuous grade operating under roadway depth and spread criteria. The added capacity offered by the curb opening is ignored during design. The interception capacity (Qi) of a grate inlet on grade is based on the efficiency of the grate (E) and the total gutter flow (Q). The efficiency of an inlet is the percent of total flow that the inlet will intercept. The efficiency of an inlet changes with changes in cross slope, longitudinal slope, total gutter flow, and to a lesser extent, pavement roughness. B. Interception Capacity of Grate Inlets and Combination Inlets In Sag Locations A grate inlet operates as a weir up to about a 0.12 m depth of water over the grate and as an orifice for depths greater than 0.43 m The interception capacity of the combination inlets shown on the standard sheets is essentially equal to that of a grate inlet in weir flow. Between 0.12 m and 0.43 m, a transition from weir to orifice flow occurs. Inlets located in a roadway sag will operate as a weir (a defined discharge vs depth relationship exists). When inlets are placed in a ditch sag outside the roadway, the inlet may operate as an orifice if sufficient depth is allowed to develop over the inlet. 8.7.4.4 Inlet Locations The location of inlets is determined by geometric controls which require inlets at specific locations, the use and location of flanking inlets in sag vertical curves, and the criterion of spread on the roadway. In addition, providing access for storm drain maintenance may be considered at this time even though the storm drains have not been sized. Generally, an inlet should be provided every 90 m for pipes less than or equal to 600 mm in diameter, 120 m for pipes 675 mm to 900 mm in diameter, and 150 m for pipes 1050 mm to 1350 mm in diameter. Inlets may be spaced farther apart when flow velocity in the storm drain will provide for the transport of suspended solids and thus be self cleaning. As this is primarily a maintenance consideration, a recommendation from the Regional Maintenance Group should be considered.

10/22/09

8.7.4.3

HIGHWAY DRAINAGE
The following should be obtained or prepared to aid in inlet location design:

8-73

1. A plan to delineate the drainage areas. The contributary areas and the corresponding runoff coefficients for each proposed inlet should be shown on a small scale plan (preferably at 1:2500 or 1:5000 scale). If the contributing areas are within the roadway section, then large scale plans (1:250 or 1:500) should be sufficient. If the contributing drainage areas extend beyond the plan limits, other maps should be used where available or estimated extensions should be drawn on the plans to show these extended contributing drainage areas. 2. Profile. 3. Typical sections. 4. Superelevation diagrams. A. Geometric Controls There are a number of locations where inlets should be placed without regard to the contributing drainage area. These inlets should be marked on the plans prior to any computations regarding discharge, spread, inlet capacity, or bypass. Examples of such locations are listed as items 1 through 4 below. 1. Roadway Low Points or Sag Vertical Curves. In curbed areas where crosssectional transition zones occur, it may be necessary to prepare curbline profiles in order to determine actual low point locations. See Section B below for information on flanking inlets. Up-grade of intersections, and major driveways to intercept gutter flow before it reaches these areas. The depth of gutter flow shall not overflow a driveway opening when the driveway's grade descends from the gutter. The typical driveway section can usually be designed so as to allow reasonable gutter depth, preventing the necessity of installing an excessive number of inlets to maintain shallow flow past the driveway opening. 3. Up-grade of pedestrian crosswalks, to intercept gutter flow before it reaches them. Zero by-pass need not be attained as it is unlikely that significant pedestrian movement will occur during peak rainfall. To comply with ADA requirements, gutter inlets shall not be placed in crosswalks or curb ramp openings. Up-grade of cross slope reversals. When cross slope transitions occur on very flat profiles or when they occur at crest and sag vertical curves, intermediate low points may exist. These low points are best handled through adjustment in transition length, but occasionally will require inlets. Inlets should be located to intercept the gutter flow before the transition, and the cross slope becomes too flat for efficient pick up. This is done to reduce the water flowing across the roadway to prevent icing in the winter and hydroplaning during warmer temperatures. The curb line profiles of all transitions should be carefully plotted when these conditions are anticipated.

2.

4.

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8.7.4.4

8-74

HIGHWAY DRAINAGE

B. Inlets in Sag Locations When a sag vertical curve in a curbed section connects a negative grade with a positive grade, inlets should be placed with one at the low point and one at each side of this point. The inlets at each side are known as flankers. The purpose of the flanking inlets is to act in relief of the inlet at the low point if it should become clogged or if the design spread is exceeded. Flanking inlets should be located so that they will function before water spread exceeds the spread criteria provided in Section C below for inlets on grade. C. Inlet Spacing on Continuous Grades Spread is the criterion used for locating inlets between those required by geometric or other controls. Spread and puddle depth criteria are established to protect the traveling public. Spread should not encroach beyond one half the width of the right most travel lane for all functional classifications of highways except for Interstates and other freeways with shoulders. Spread should be limited to the shoulder of Interstates and other freeways. Puddle depth should be 10 mm less than the curb height regardless of functional classification. The following should be considered regarding the spread criteria. increased or decreased as deemed necessary: Spread should be

1. Gutter flow can utilize the full parking lane or shoulder width because these typical section elements are outside the travel lane. 2. The half lane flooding criteria can be very restrictive when the typical section does not include parking lanes or shoulders. Highways without parking lanes or shoulders have inherent traffic constraints. Consideration should be given to the effects of half lane flooding relative to inlet spacing and drainage system cost. 3. Highways with a design speed greater than 65 km/h will have a higher potential for hydroplaning if travel lanes are covered with water. When the spread criteria is exceeded, it should be noted and explained in the Drainage Report. Inlet spacing necessary to meet the spread and puddle depth criteria should not be misused. These are maximum flooding criteria and when used in an average parking lane or wide shoulder could result in considerable by-pass. A design which allows considerable by-pass upstream should not result in the need to place numerous inlets near the low point to intercept the remaining stormwater. The interception capacity of the upstream inlet will define the initial spread. As flow is contributed to the gutter section in the downstream direction, spread increases. The next downstream inlet is located at the point where spread in the gutter reaches the design spread, or a value less than the design spread to control the amount of water flowing to the sag. Therefore, the spacing of inlets on a continuous grade is a function of the amount of upstream bypass flow, the tributary drainage area, and the gutter geometry.

7/30/10

8.7.4.4

HIGHWAY DRAINAGE

8-75

A summary of the steps provided in the references for manually determining inlet spacing is presented below to illustrate the design process for spacing inlets on a continuous grade. Step 1. As discussed in Section 8.7.4.4.A, mark on a plan the location of inlets which are necessary without regard to the contributing drainage area. Step 2. Start at a high point on the roadway grade, at one end of the job if possible, and work towards the low point. Then begin at the next high point and work downgrade toward the same low point. Step 3. Select a trial drainage area approximately 90 m to 150 m long below the high point for the location of the first proposed inlet, outline the area on the plan, and describe the inlet's location (e.g., by number and station). Include any area that may drain over the curb and onto the roadway. As previously mentioned, the flow from these areas desirably should be intercepted before it reaches the roadway. Compute the trial drainage area and calculate the flow in the gutter using the rational method and the rational equation. As previously discussed in Section 8.3.2.4.A, values for the following additional variables will have to be established in order to calculate the flow: The runoff coefficient (C), or the weighted runoff coefficient (Cw) for the trial drainage area (A). The Tc for inlet spacing. This is the time required for water to flow from the hydraulically most distant point of the unique drainage area contributing only to that inlet. Typically, this is the sum of the times required for water to travel overland to the pavement gutter and along the length of the gutter between inlets. When the Tc to the inlet is less than 5 min., a minimum Tc of 5 min. shall be used. In the case of a constant roadway grade and relatively uniform contributing drainage area, the Tc for each succeeding inlet may be assumed to be constant. The rainfall intensity. This is determined from an IDF curve using the Tc and the design frequency.

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8.7.4.4

8-76

HIGHWAY DRAINAGE

Step 4. Determine the spread (T), and depth of water at the curb (d), based on the gutter capacity relationship shown in Section 8.7.3.2. As previously discussed, this relationship requires the following input variables: Q, determined in step 3 above. For the first inlet in a series, the flow to the inlet is the same as the total gutter flow since there was no previous bypass flow (Qb). S, the gutter's longitudinal slope at the inlet, determined from the roadway profile. Sx, the gutter's cross slope, determined from the cross section. n, manning's roughness coefficient, determined from tables in the references based on the gutter's material. Compare the calculated T and d with the criteria. If the calculated T and d is less than or close to the criteria, continue with step 5, otherwise, increase or decrease the length to the inlet and repeat steps 3 and 4 until appropriate values for T and d are obtained. Step 5. Select the inlet type (discussed in Section 8.7.4.2) and dimensions (e.g. width (W) and length (L), and calculate the flow intercepted by the grate (Qi). Qi was discussed in Section 8.7.4.3 and Section 8.7.4.3.A. Step 6. Calculate the bypass flow (Qb). Qb is the total gutter flow (step 3), within the constraints established by step 4, minus the flow intercepted by the grate (step 5). Step 7. Proceed to the next inlet down the grade. As in step 3, select a trial drainage area approximately 90 m to 120 m below the previous inlet, and calculate the flow. The flow between inlets is termed incremental flow. Step 8. Determine the total gutter flow by adding the incremental flow in the gutter from the area between the two inlets (step 7) to the bypass flow from the previous upstream inlet (step 6). Step 9. Determine T and d, and compare to the criteria (step 4). If T or d violate the criteria, adjust the drainage area selected in step 7 and recompute the incremental flow, and total flow (step 8) until T and d are within the design criteria. Step 10. Select the inlet type and dimensions, and calculate Qi (step 5). Calculate Qb (step 6). Step 11. Repeat steps 7 through 10 for each subsequent inlet down to the low point. The low point should be designed as discussed in Section 8.7.4.4.B.

10/22/09

8.7.4.4

HIGHWAY DRAINAGE

8-77

8.7.5 Storm Drains Storm drains convey stormwater which is intercepted by the inlets, to an outfall where the stormwater is discharged to the receiving waters. The storm drainage system consists of differing lengths and sizes of storm drain connected by drainage structures. A section of storm drain which connects one drainage structure to another is often termed a segment or run. Sections of storm drain in series are often referred to as the trunk line. 8.7.5.1 Storm Drain Design Criteria A. Hydraulic Criteria Pipe size, the velocity of water, pipe slope, and the hydraulic gradeline are the hydraulic criteria which will influence storm drain design. 1. Size. Pipe shall be sized no larger than necessary to minimize material and trenching costs. The minimum size pipe shall be 300 mm to facilitate self cleaning. 2. Velocity. 0.9 m/s is the minimum velocity recommended to prevent sediment deposition. Significant drops in velocity in downstream storm drains should be avoided due to the likelihood of sediment deposition. 3. Slope. Where possible, pipe should be designed using grades which parallel the roadway grade to minimize excavation, sheeting, and backfill. The slope specified should satisfy the velocity criteria and will be controlled by the hydraulic analysis. 4. Hydraulic gradeline (HGL). The HGL is a line coinciding with the level of water under open channel flow conditions. In a storm drain flowing under pressure, the HGL is the level to which water would rise in a vertical tube at any point along the pipe. The HGL should be calculated throughout the system and the water level should be kept a minimum of 200 mm below the top of grate elevation at each drainage structure. B. Pipe Criteria Storm drain pipe is available in a number of materials, shapes, and sizes. The materials recommended for use in a storm drainage system are reinforced concrete, steel, aluminum, and polyethylene. Circular storm drains are preferred. The size and material specified should satisfy the hydraulic criteria in Section 8.7.5.1.A, in addition to the pipe criteria recommended in items 1 through 3. 1. Design Life . The design life shall be 70 years.

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8.7.5

8-78

HIGHWAY DRAINAGE

2. Anticipated Service Life. The anticipated service life for concrete, aluminum, and polyethylene is 70 years. The anticipated service life for steel (with and without additional coating) in Zones I & II is as shown in Table 8-10. For the purpose of determining anticipated service life, metallic coated (galvanized) pipe is not considered to have an additional coating. All other options are considered additional coatings. Table 8-10 Anticipated Service Life, in years, for Steel (with and without additional coating) 1
Gauge Metallic Coated (Galvanized) Metallic Coated Metallic Coated (Aluminum Coated (Galvanized) w/ Fully Paved 4 - Type 2) 2 & Metallic Coated (Galvanized) w/ Paved Invert 3 707-02 707-02 Metallic Coated (Galvanized) w/ Polymer Coated 5 Metallic Coated (Galvanized) w/ Polymer Coated and Paved Invert 6 707-02 72 70 79 69 84
1. The anticipated service life for steel pipe used in a storm drainage system is based on the Zone I, 2 mil per year, metal loss rate. This rate applies in Zone II only when all drainage is received from paved surfaces exclusively. When storm drainage systems are located in Zone II and these systems receive open drainage or bed loads other than ordinary road debris, use the anticipated service life values for open systems (culverts) in Zone II - see Section 8.6.2.2, Table 8-7. Anticipated service lives are not shown for options which do not meet the criteria. 2. Aluminum Coated - Type 2 pipe is expected to have the same anticipated service life as metallic coated (galvanized) pipe with a paved invert.

707-02 16 14 12 10 8

707-02

80 74 94

84 99

94

3. Additional coating adds 25 years to the anticipated service life of galvanized steel pipe. 4. Additional coating adds 30 years to the anticipated service life of galvanized steel pipe. 5. Additional coating adds 25 years to the anticipated service life of galvanized steel pipe. 6. Additional coating adds 40 years to the anticipated service life of galvanized steel pipe.

3. Structural Criteria. Refer to Section 8.6.2.3.A for the maximum and minimum height of fill limitations for these materials.

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8.7.5.1

HIGHWAY DRAINAGE

8-79

8.7.5.2 Placement and Utilities Generally, trunk lines should be placed under the parking lanes, shoulders, or just inside the curb line to leave the sidewalk area available for existing, relocated, or future utilities. When a highway is being widened, twin trunk lines may be used to avoid repeated roadway crossings and disruption to traffic, with the resultant increase in maintenance of traffic costs. Generally, the trunk line should be placed below the lowest point on the typical section with branch lines connecting other low points of the typical section. Deep cuts and conflicts with utilities shall be avoided where possible. Some instances (see preceding paragraph) may dictate a trunk line on both sides of the roadway with few or no laterals, while other instances may call for a single trunk line. Such features are usually a function of economy, but may be controlled by traffic disruption, utilities or other physical features. Drainage structures placed in proximity to telephone, signal or other overhead utilities may cause conflicts. Construction sequencing should be considered if a utility pole is to be relocated. If the pole is not going to be relocated, sheeting or some other method to maintain the pole in place during excavation for a drainage structure may be required. 8.7.5.3 Storm Drain Hydraulics This section discusses storm drain capacity design, headlosses, and the hydraulic gradeline (HGL). A. Storm Drain Capacity Design The hydraulic design of storm drains is based on the assumption that flow is steady and uniform, and the average velocity is constant within each run of pipe. Storm drains may be sized to operate under the principles of open channel, or pressure flow. Each flow condition has its advantages and disadvantages. Storm drains should be designed to flow nearly full (i.e., as an open channel). This approach will allow flow in addition to the design flow. A storm drain operating under pressure flow is sensitive to increases in flow, and grate displacement may occur. After the preliminary location of inlets, connecting pipes, and the outlet(s) have been determined, the discharge to be carried by each run, and the pipe size and slope required to convey this discharge should be computed. The references provide a multi-step procedure and design form for storm drain capacity design. This section discusses using the rational equation, and the storm drain capacity design. Prior to performing the hydrologic and storm drain capacity calculations, a working plan layout and profile of the storm drainage system should be prepared which establishes the location of storm drains, direction of flow, location and numbering of drainage structures and manholes, and the location of utilities (e.g., water, gas, or underground cables). After all storm drains are sized, headlosses, and the hydraulic grade line should be calculated as discussed in Sections 8.7.5.3.B and C.

10/22/09

8.7.5.2

8-80

HIGHWAY DRAINAGE

1. Storm Drain Hydrologic Calculations. Starting with the most upstream storm drain run, determine the discharge from the total contributing drainage area tributary to the inlet located at the upstream end of the storm drain run being sized. Based on this discharge, determine the minimum size storm drain as discussed in item 2 of this section. This process should be continued, run by run, to the inlet upstream of the storm drainage system outlet. The rational equation is expressed as follows for storm drain design. Q = (3CA) i / 360 The product of the runoff coefficient (C), or the weighted runoff coefficient (Cw), and the corresponding drainage area tributary to each inlet (referred to as an incremental area) upstream of the storm drain run under design (referred to as the incremental CA) is summed to get a "total CA". Using an Intensity-Duration (IDF) curve or data, the rainfall intensity (i) is based on the larger of two times of concentration (the inlet Tc, or the system Tc), or the minimum Tc of 5 min. These times of concentration are discussed below. The inlet Tc is the value associated with the inlet spacing computations (i.e., the Tc associated with the drainage area or incremental drainage area contributing flow to the inlet). The system Tc is the time for water to travel from the most remote point in the storm drainage system to the upstream end of the storm drain under consideration. The system Tc will be the same as the inlet Tc for the most upstream storm drain run. For all other runs, the system Tc is computed by adding the system Tc and the section Tc from the previous run together, to get the system Tc at the upstream end of the run under consideration. The section Tc is the travel time for water to flow through the storm drain. 2. Storm Drain Capacity Calculations. Storm drains are sized based on Manning's equation, by varying the slope and size as necessary to convey the discharge within the criteria stated in Section 8.7.5.1. The references contain charts, and software is available to determine pipe size, slope, and flow velocity. For storm drains downstream of the first run, an approximate crown drop for the downstream pipe may be calculated at this time to off-set potential energy losses. This is discussed in Section 8.7.5.3.B, item 3a. The pipe invert at the upper and lower ends of the section of pipe may also be established and recorded at this time, and are computed based on the pipe's length, slope, and minimum depth requirements (e.g., minimum height of fill, or utility conflicts).

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HIGHWAY DRAINAGE
B. Headloss or Energy Loss

8-81

Headloss (a loss of energy) results from frictional and other disturbances which water encounters as it flows throughout the storm drainage system. The flow regime (i.e., supercritical or subcritical) within each storm drain run is used to determine those headlosses which are included in the HGL calculation. Prior to computing the HGL, energy losses in each storm drain run, and the drainage structures must be estimated. (The terms drainage structure, manhole, and access hole should be considered synonymous in this section.) Headloss due to pipe friction (often termed major losses) represents most of the losses in the system and is caused by the interior roughness of the pipe. If flow in the outflow storm drain is supercritical, the friction loss is not included in the headloss calculation. Headloss due to the other disturbances are termed velocity head losses, or minor losses, and are caused by water's turbulence as it enters and leaves the storm drainage system and the various drainage structures. Access hole losses do not apply when the flow in two successive pipes is supercritical (i.e., flow is supercritical in the inflow pipe and the outflow pipe). Other minor losses (bend losses, transition losses, and junction losses) are discussed in the references but are not considered in this chapter. Bend losses are not considered because each storm drain should be a straight run of pipe from one drainage structure to another. Changes in horizontal alignment should be made at a drainage structure. Transition losses occur when the storm drain changes size within a pipe run. No standard pay items exist for transition sections and they should be avoided. A drainage structure should be used when a change in pipe size is necessary. A pipe junction is the connection of a lateral pipe to a larger trunk pipe without the use of a drainage structure. There are no standard pay items for junctions and pipe connections should be made at a drainage structure. Items 1 through 3 discuss exit loss, pipe friction loss, and inlet and access hole losses and their calculation. 1. Exit loss, Ho. The exit loss is a function of the change in velocity at the outlet of the last downstream storm drain. For a sudden expansion, such as an endwall, the exit loss is:

V 2 V 2 H o = 1.0 o d , where : 2g 2g
Vo = average outlet velocity, m/s Vd = channel velocity downstream of outlet, m/s g = 9.81 m/s2 Note that when Vd = 0, as in a reservoir, the exit loss is one velocity head. For part-full flow where the pipe outlets in a channel with moving water, the exit loss may be reduced to virtually zero.

10/22/09

8.7.5.3

8-82

HIGHWAY DRAINAGE

2. Friction slope (Sf) and pipe friction loss (Hf). The friction slope is the hydraulic gradient for that run or length of pipe (L). The hydraulic gradient is the slope of the hydraulic gradeline. Hf, in meters, is computed as follows: Hf = SfL Hydraulic Design Series No. 3 contains charts which may be used to calculate the friction slope for pipes flowing nearly full. 3. Inlet and Access Hole Losses. HEC 22 discusses inlet and access hole losses. a. Preliminary Estimate. HEC 22 presents an approximate method for computing minor losses at drainage structures (Hah). The method involves multiplying the velocity head of the outflow pipe (Vo2/2g) by a headloss coefficient (Kah). Values of Kah are provided in Table 8-11. Hah = (Kah)(Vo2/2g) Table 8-11 Headloss coefficients Structure Configuration Inlet - straight run Inlet - angled through 90E 60E 45E 22.5E Manhole - straight run Manhole - angled through 90E 60E 45E 22.5E Kah 0.5 1.50 1.25 1.10 0.70 0.15 1.00 0.85 0.75 0.45

This method can be used to estimate the initial pipe crown drop across a drainage structure to offset energy losses at the structure. The crown drop is then used to establish the appropriate pipe invert elevations. This method should only be used for preliminary estimation and not for the actual design process. Similarly, a common practice is to match crowns or place the outflow pipe invert 25 mm lower than the inflow pipe invert.

10/22/09

8.7.5.3

HIGHWAY DRAINAGE

8-83

b. Energy Loss Methodology. The head loss encountered in going from one pipe to another through a drainage structure is commonly represented as being proportional to the velocity head at the outlet pipe. Using K to signify this constant of proportionality, the energy loss is approximated as K (Vo2/2g). Experimental studies have determined that when the inflow pipe invert is below the water level in the access hole, the K value can be approximated as: K = Ko CD Cd CQ CP CB, where: K Ko CD Cd CQ Cp CB = adjusted loss coefficient = initial head loss coefficient based on relative manhole size = correction factor for pipe diameter (pressure flow only) = correction factor for flow depth (non-pressure flow only) = correction factor for relative flow = correction factor for plunging flow = correction factor for benching These coefficients are discussed in items 1 through 6 below. For cases where the inflow pipe invert is above the access hole water level, the outflow pipe will function as a culvert, and the access hole loss and the access hole HGL can be computed using procedures found in HDS 5. If the outflow pipe is flowing full or nearly full under outlet control, the access hole loss (due to flow contraction into the outflow pipe) can be computed by setting K, in the equation provided in item 3a on page 8-82, equal to ke, provided in Table 12 of HDS 5. If the outflow pipe is flowing under inlet control, the water depth in the access hole should be computed using the inlet control nomographs in HDS 5. 1. Relative Manhole Size. Ko is estimated as a function of the relative manhole size and the angle of deflection between the inflow and outflow pipes. Ko = 0.1(b/Do)(1-sin) + 1.4 (b/Do)0.15 sin , where: = the angle between the inflow and outflow pipes, degrees b = manhole diameter, m Do = outlet pipe diameter, m

10/22/09

8.7.5.3

8-84

HIGHWAY DRAINAGE

2. Pipe Diameter. CD is only significant in pressure flow situations when the ratio of the depth of water in the access hole above the outflow pipe invert (d) to the outflow pipe diameter, d/Do, is greater than 3.2. d is approximated as the level of the hydraulic gradeline at the upstream end of the outflow pipe. CD should be set equal to one for open channel flow design. CD = (Do/Di)3 , where: Do = the outflow pipe diameter, m Di = the inflow pipe diameter, m 3. Flow Depth. Cd is significant only in cases of free surface flow or low pressures, when d/Do ratio is less than 3.2. In cases where this ratio is greater than 3.2, Cd is set equal to one. Cd = 0.5(d/Do)0.6, where: d =water depth in access hole above the outlet pipe invert, m Do = the outflow pipe diameter, m 4. Relative Flow. CQ, is a function of the angle of the incoming flow as well as the percentage of flow coming in through the pipe of interest versus other incoming pipes, and is only applied to situations where there are 3 or more pipes entering the structure at approximately the same elevation. Otherwise, CQ = 1.0.

Qi C Q = (1 2 sin ) 1 Q o

0.75

+1

, where :

= the angle between the inflow and outflow pipes Qi = flow in the inflow pipe, m3/s Qo = flow in the outflow pipe, m3/s

10/22/09

8.7.5.3

HIGHWAY DRAINAGE

8-85

5. Plunging Flow. Cp corresponds to the effect of another inflow pipe, plunging into the drainage structure, on the inflow pipe for which the head loss is being calculated. The correction factor is only applied when h>d. Additionally, the correction factor is only applied when a higher elevation flow plunges into an access hole that has both an inflow pipe and an outflow pipe at the bottom of the access hole. Otherwise Cp =1.0.

h h d = 1 + 0 .2 Do Do

, where :

= vertical distance of plunging flow from flow line of the higher elevation inlet pipe to the center of outflow pipe, m d =water depth in access hole relative to the outlet pipe invert, m Do = the outflow pipe diameter, m 6. Benching. CB is obtained from Table 8-12. Benching tends to direct flows through the manhole, resulting in a reduction in headloss. For flow depths between the submerged and unsubmerged conditions, a linear interpolation is performed. Table 8-12 Correction Factors for Bench Types Bench Type Flat or depressed floor Submerged1 1.0 Unsubmerged2 1.0 0.15

Benched one-half of pipe 0.95 diameter

1. 2. pressure flow, d/Do > 3.2 free surface flow, d/Do < 1.0

Note: The Section 604 standard sheets do not refer to benching types as do the drainage publications. A flat floor should be considered similar to a drainage structure without a sump, a depressed floor should be considered similar to a sump, and a benched one-half of pipe diameter condition should be considered similar to a formed invert.

10/22/09

8.7.5.3

8-86

HIGHWAY DRAINAGE

C. Hydraulic Gradeline The hydraulic gradeline (HGL) is a line coinciding with the level of flowing water at any point along an open channel, and is the last characteristic to be established relating to the hydraulic design of storm drains. When water is flowing through the pipe and there is a space of air between the top of the water and the inside of the pipe (the crown), the flow is considered as open channel flow and the HGL is at the water surface. The HGL should be below the crown of the pipe in order to maintain open channel flow conditions. An exception to this will be when the tailwater submerges the outfall outlet. As previously mentioned in Section 8.7.5.3.A, a concern with storm drains designed to operate under pressure flow conditions is that inlet surcharging and possible manhole lid displacement can occur if the HGL rises above the ground surface. As the HGL calculations are performed, frequent verification of the existence of the desired flow condition should be made. Storm drain systems can often alternate between pressure and open channel flow conditions from one run to another. Most storm drain systems are designed to function in a subcritical flow regime. In subcritical flow, pipe and drainage structure losses are summed to determine the upstream HGL levels. As previously stated in Section 8.7.5.3.B, if supercritical flow occurs, pipe and drainage structure losses are not carried upstream. When a storm drain run is identified as being supercritical, the computations are advanced to the next upstream pipe run to determine its flow regime. This process continues until the storm drain system returns to a subcritical flow regime. The references provide a multi-step procedure and design form(s) to aid in the manual calculation of the hydraulic grade line (HGL). Software will calculate the HGL for the user based on the hydraulic characteristics of the storm drainage system (e.g., tailwater elevation, flow regime in the storm drains, friction loss, access hole losses, etc.). HGL calculations begin at the outfall with the tailwater elevation, and are worked upstream taking each storm drain run and drainage structure into consideration. If the proposed system connects to an existing downstream system, the HGL calculation must begin at the outlet end of the existing system, and proceed upstream through the existing system, then upstream through the proposed system to the upstream inlet. The flowline elevation of the proposed outlet should be equal to or higher than the flowline of the receiving waters. If this is not the case, there may be a need to provide flap gates, pump, or otherwise lift the water.

10/22/09

8.7.5.3

HIGHWAY DRAINAGE

8-87

The tailwater elevation will be the greater of the water surface elevation in the receiving waters, or (dc + D)/2 + the outlet invert elevation (where dc is the critical depth, and D is the pipe diameter). These possibilities are discussed further in 1 through 3 below. 1. If the pipe outlet is submerged, the HGL at the pipe outlet is equal to the tailwater elevation. Data regarding the water surface elevation in natural channels (which serve as the receiving waters) may be determined from flood insurance studies performed for the area. 2. If the pipe outlet is not submerged, and the design is performed manually, the HGL at the pipe outlet is computed as follows: a. If the tailwater at the pipe outlet is greater than (dc + D)/2, use the tailwater elevation as the beginning HGL elevation. b. If the tailwater at the pipe outlet is less than (dc + D)/2, use (dc + D)/2 plus the outlet invert elevation as the beginning HGL elevation. 3. If the pipe outlet is not submerged, and the design is performed using software, the tailwater elevation will be calculated based on the depth of flow in the pipe and the outlet invert elevation. Once the tailwater elevation is established, the friction loss in the pipe is calculated (major loss), and added to the minor losses. These major and minor losses are added to the tailwater elevation to arrive at the HGL which is experienced just inside the inflow pipe, and is compared with the depth of flow and the crown of the inflow pipe. If the inflow pipe is submerged by the depth of water in the drainage structure, open channel flow conditions will not exist in the inflow pipe, and this depth will be used to continue calculation of the HGL upstream. If the inflow pipe is not submerged, the depth of flow in the inflow pipe is used to continue calculation of the HGL upstream. Note, at this point, a new "tailwater elevation" has been calculated for the inflow pipe (which is the outflow pipe for the upstream drainage structure). This process is repeated for each pipe in the system.

10/22/09

8.7.5.3

8-88

HIGHWAY DRAINAGE

8.7.5.4 Outfall The outfall is the point at which stormwater discharges from the storm drainage system. If used, a ditch transfers stormwater from the storm drain outlet, to the point of release, termed the receiving waters. Otherwise, the storm drain outlet discharges directly to the receiving waters. The receiving waters should be either a natural channel or a man-made facility (e.g., a stream or a storage facility). Energy dissipation (e.g., a stone apron or stone lined channel) should be considered to protect the storm drain outlet from scour, to lower the velocity of water before discharge into a natural channel, thereby minimizing the turbidity in the receiving waters, and to minimize erosion of the stream bed and banks. 8.7.6 Drainage Structures Drainage structures provide support for grate inlets, and combination inlets, and serve as a point of connection for the storm drains. Sections 8.7.6.1 and 8.7.6.2 provide general guidance regarding the type and size of drainage structure to be specified. 8.7.6.1 Types of Drainage Structures The pay items in Section 604 of the standard specifications provide a number of alternatives for drainage structures including: 1. Rectangular drainage structure. This is the preferred pay item. Rectangular drainage structures are detailed on the Section M604 Standard Sheets. 2. Rectangular drainage structure with round option. This pay item should only be selected if shape is unimportant in the design and construction of the drainage system. Placement of round structures in lieu of rectangular structures may shift the centerline of the drainage structure as well as the centerline of pipe entries. This may cause construction problems or adversely affect adjacent features. 3. Round precast manhole. This pay item should be used to provide a structure for connecting pipelines on differing alignments where a drainage structure with a grate inlet is not necessary. 4. Special drainage structure. Regions which have established special drainage structure details shall include the details in the contract documents. When a top slab is used, the top slab should be as small as possible and yet provide adequate structural stability. Concrete block and mortar structures are not acceptable due to the damage they incur from salt and highway loads.

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8.7.5.4

HIGHWAY DRAINAGE

8-89

The following shall be specified in the Drainage Structure Table as necessary: 1. Precast drainage structures. These are preferred to cast in place by the construction industry and are usually more cost effective. Precast structures may not be economical in some Regions due to shipping costs. Contractors have the option of providing precast or cast in place drainage structures unless specified otherwise. Any requirements regarding precast versus cast in place drainage structures should be noted in the drainage structure table. 2. Scoops, formed inverts, and sumps (refer to Standard Sheet M604-5). A scoop, formed invert, or sump may be specified for the drainage structure. Each option has a specific function. A scoop should be specified for the upstream drainage structure beginning a trunk line or branch line. Formed inverts should be specified to reduce head losses and facilitate self cleaning when sumps are not specified. Sumps (termed catch basins in the references) require periodic cleaning to be effective, and may become an odor and mosquito nuisance if not properly maintained. In areas where site constraints dictate that storm drains be placed on relatively flat slopes, and where maintenance is provided, sumps can be specified to collect sediment and debris. The Regional Maintenance Group should be consulted before specifying sumps. 8.7.6.2 Size of Drainage Structures Drainage structures should be large enough to accommodate the inlet frame and grate, maintenance personnel, and connecting pipes. To avoid excessive head losses, structures should be no larger than necessary. Table 8-13 gives the inside dimensions of rectangular drainage structures (types A through U). Rectangular drainage structure types A through P utilize top slabs and accommodate a wide range of pipe sizes. Types Q through U do not utilize top slabs, are more economical, and are limited to the smaller pipe sizes. Tables 8-14 through 8-17 give the minimum internal rectangular drainage structure wall dimensions necessary for the various pipe sizes and pipe entry skew angles (). Tables 8-18 and 8-19 give the maximum size round pipe that can be accommodated by drainage structure types Q through U, also based on pipe size and . Tables 8-14 through 8-19 are based on the following relationships between , wall thickness of drainage structure (a = 200mm used), outside pipe diameter (d), and the knockout clearance (75 mm max.). 1. 2. 3. 4. b = a (tan) c = d/cos Knockout opening = b + c + 150 mm knockout opening # internal wall dimension

Figure 8-7 illustrates these terms.

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8.7.6.1

8-90

HIGHWAY DRAINAGE

Figure 8-7 Drainage Structure Pipe Entrance

Table 8-13 Inside Dimensions of Drainage Structures (Types A Through U)

STRUCTURE TYPE INSIDE DIMENSIONS (mm) WIDTH LENGTH STRUCTURE TYPE

1-4

INSIDE DIMENSIONS (mm) WIDTH LENGTH

A B C D E F G H I J K L
1. 2. 3. 4.

915 1220 1525 2030 915 1220 1525 2030 915 1220 1525 2030

915 915 915 915 1220 1220 1220 1220 1525 1525 1525 1525

M N O P Q R S T U

915 1220 1525 2030 865 (840) 865 (840) 610 (610) 660 (675) 865 (865)

2030 2030 2030 2030 915 (925) 1170 (1180) 815 (825) 1065 (1080) 965 (955)

Dimensions are taken from the Section M604 Standard Sheets. Surface Flow is always parallel to the length of a structure. Structures larger than 2030 mm x 2030 mm shall be designed on a case by case basis. Two sets of dimensions are shown for structure types Q through U. Dimensions outside the parenthesis are for precast structures, dimensions inside parenthesis are for cast in place structures.

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8.7.6.2

HIGHWAY DRAINAGE

8-91

Table 8-14 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Concrete and Smooth Interior Corrugated Polyethylene) 1
Skew Angle

Nominal Inside Pipe Diameter 300 915 915 915 915 915 915 1220 375 915 915 915 915 915 1220 1220 450 915 915 915 915 1220 1220 1525 525 915 915 915 1220 1220 1220 1525 600 915 1220 1220 1220 1220 1525 1525 750 1220 1220 1220 1525 1525 1525 2030 900 1525 1525 1525 1525 2030 2030 2030 1050 1525 1525 2030 2030 2030 2030 1200 2030 2030 2030 2030 2030 Special Design 1350 2030 2030 2030 2030 1500 2030 2030

0 7.5 15 22.5 30 37.5 45

1.

Dimensions are in millimeters.

Table 8-15 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Nominal Pipe Diameter (Metal) 1
Skew Angle

Nominal Inside Pipe Diameter 300 915 915 915 915 915 915 915 375 915 915 915 915 915 915 1220 450 915 915 915 915 915 1220 1220 525 915 915 915 915 1220 1220 1525 600 915 915 915 1220 1220 1220 1525 750 1220 1220 1220 1220 1220 1525 2030 900 1220 1220 1220 1525 1525 2030 2030 1050 1525 1525 1525 1525 2030 2030 2030 1200 1525 1525 2030 2030 2030 2030 Special Design 1350 2030 2030 2030 2030 2030 1500 2030 2030 2030 2030

0 7.5 15 22.5 30 37.5 45

1.

Dimensions are in millimeters.

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8.7.6.2

8-92

HIGHWAY DRAINAGE

Table 8-16 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Horizontal Elliptical Concrete Pipe Dimensions 1
Skew Angle 0 7.5 15 22.5 30 37.5 45 1. Pipe Rise x Span 490x770 1220 1220 1220 1525 1525 1525 2030 550x865 1220 1220 1525 1525 1525 2030 2030 610x960 1525 1525 1525 1525 2030 2030 670x1055 1525 1525 1525 1525 2030 2030 730x1150 1525 2030 2030 2030 2030 795x1250 2030 2030 2030 2030 2030 855x1345 2030 2030 2030 2030

Special Design

Dimensions are in millimeters.

Table 8-17 Necessary Internal Wall Dimensions For Type A Thru P Drainage Structures Based on Skew Angle and Metal Pipe Arch Dimensions 1
Skew Angle

Pipe Span x Rise

430x330 530x380 610x460 710x510 885x610 1060x740 1240x840 1440x970 1520x1170

0 7.5 15 22.5 30 37.5 45

1.

915 915 915 915 915 1220 1220

915 915 915 915 1220 1220 1525

915 915 915 1220 1220 1220 1525

915 1220 1220 1220 1220 1525 1525

1220 1220 1220 1525 1525 1525 2030

1525 1525 1525 1525 2030 2030 2030

1525 1525 2030 2030 2030 2030

2030 2030 2030 2030 2030

2030 2030 2030 2030

Special Design

Dimensions are in millimeters.

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8.7.6.2

HIGHWAY DRAINAGE

8-93

Table 8-18 Maximum Size Round Pipe (Concrete and Smooth Interior Corrugated Polyethylene) and Skew Angle For Type Q Thru U Drainage Structures1,2
Skew Angle Q Width 865 (840) 0 7.5 15 22.5 30 37.5 45 1. 2. 525 450 450 375 300 Length 915 (925) 600 600 525 450 375 300 R Width 865 (840) 525 450 450 375 300 Length 1170 (1180) 750 750 750 600 600 525 375 S Width 610 (610) 300 300 Length 815 (825) 525 450 450 375 300 T Width 660 (675) 375 300 300 Length 1065 (1080) 750 600 600 600 525 525 300 U Width 865 (865) 525 525 450 375 375 375 Length 965 (955) 600 600 525 450 375 375

Dimensions are in millimeters. Dimensions outside the parenthesis are for precast structures, dimensions inside parenthesis are for cast in place structures.

Table 8-19 Maximum Size Round Pipe (Metal) and Skew Angle For Type Q Thru U Drainage Structures1,2 Skew Angle Q
Width Length

R
Width Length

S
Width Length

T
Width Length

U
Width Length

865 (840) 0 7.5 15 22.5 30 37.5 45 600 600 525 450 375 300

915 (925) 600 600 600 525 450 375 300

865 (840) 600 600 525 450 375 300

1170 (1180) 900 900 750 750 600 600 450

610 (610) 375 375 300

815 (825) 600 525 525 450 375 300

660 (675) 450 375 375 300

1065 (1080) 750 750 750 600 600 450 375

865 (865) 600 600 525 450 375 300

965 (955) 600 600 600 525 450 375 300

1. Dimensions are in millimeters. 2. Dimensions outside the parenthesis are for precast structures, dimensions inside parenthesis are for cast in place structures.

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8.7.6.2

8-94

HIGHWAY DRAINAGE

8.7.7

Storage Facilities

Stormwater storage facilities are often referred to as either detention or retention facilities. For the purposes of this section, detention facilities are those that are designed to reduce the peak discharge and only detain runoff for a short period of time. These facilities are designed to completely drain after the design storm has passed. Recharge basins are a special type of detention basin designed to drain into the groundwater table. Two types of recharge may be proposed - surface or subsurface. Surface recharge basins should be designed in accordance with "Design Construction and Maintenance of Recharge Basins", Geotechnical Design Procedure GDP-8. Subsurface recharge can be accomplished through the use of leaching basins. "Design of Leaching Basins", Research Report 157, should be used as a source of information regarding leaching basin design. Retention facilities provide for storage of stormwater runoff, and release via evaporation and infiltration only. Retention facilities which provide for slow release of stormwater over an extended period of several days or more are referred to as extended detention facilities. In addition to extended detention facilities, retention facilities include infiltration basins, and swales. The need for and type of storage facility selected should be based on the following: 1. Site conditions. If a natural watercourse or body of water is not within reasonable proximity of the outfall, a recharge basin, leaching basin, or retention type storage facility should be provided to receive the collected stormwater. The specific type of storage facility selected should be based on right of way constraints, soil permeability, and Regional experience.
2. The legal aspects of highway drainage. The collection and diversion of surface waters

may result in discharges which create a flooding problem which did not exist prior to the project. A storage facility should be provided to mitigate the increased discharge resultant from the storm drainage system.
3. Environmental considerations. SPDES/NPDES permitting requirements may warrant a

retention type storage facility for peak flow attenuation, and first flush considerations. The decision to provide a storage facility and the type of retention facility proposed should be consistent with the guidance in Section 8.8.

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8.7.7

HIGHWAY DRAINAGE

8-95

8.7.8 Shared Costs Municipally collected storm water may be carried in the State highway drainage system if the municipality shares in the added cost of the state system resultant from municipal participation. The method used to calculate the Municipality's and State's share of the drainage work is based on funding (State versus Federal). The method outlined in Section 8.7.8.1 shall be used for 100% State funded drainage work. Federally funded work shall be calculated using one of the two methods outlined in Section 8.7.8.2. (Note: The methodologies presented in these sections applies to cost only. Refer to Chapter 21, Section 21.5, for guidance regarding establishment of quantities for entry into TrnsPort Estimator and the establishment of Engineering "shares".) Refer to Chapter 14 of this manual for guidance on, and an example of, the necessary resolution to be obtained by the Region from the municipality. 8.7.8.1 Additional Cost Method - State Funding The municipality's share of the estimated cost of the drainage system shall be based on the additional cost of pipe, excavation, drainage structures, and any other pertinent items which contribute to the added cost of the drainage system to accommodate the municipality. 8.7.8.2 Contributory Flow or Separate Flow - Federal Funding The Municipality's share in the cost of the drainage system should be calculated using either of the two methods presented in Sections A and B. A. Contributory Flow The formulas contained in Table 8-20 shall be used to calculate the municipality's share, and the State's share, of the drainage system when using this method: Table 8-20 Contributory Flow Formulas Municipality's Share 1 State's Share
1

Q1 TotalCost Q1 + Q 2

Q2 TotalCost Q1 + Q 2

1. Q1 = Municipality Flow, Q2 = State Highway Flow

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8.7.8

8-96 B. Separate Flow

HIGHWAY DRAINAGE

The formulas contained Table 8-21 shall be used to calculate the municipality's share, and the State's share, of the drainage system when using this method: Table 8-21 Separate Flow Formulas Municipality's Share 1 State's Share
1

X Z X +Y

Y Z X +Y

1. X = Estimated Cost of Separate Municipal System, Y = Estimated Cost of Separate State System, Z = Total Estimated Cost of Combined System 8.7.9 Maintenance Existing storm drainage systems should be reviewed to determine the need to clean the drainage structures and storm drains. Section 203 of the Standard Specifications contains a pay item for cleaning storm drains, and a separate pay item for cleaning drainage structures and manholes.

10/22/09

8.7.8.2

HIGHWAY DRAINAGE
8.8 EROSION AND SEDIMENT CONTROL AND STORMWATER MANAGEMENT

8-97

Various state and federal laws and regulations, including the State Environmental Quality Review Act (SEQRA), the National Environmental Protection Act (NEPA), and the Clean Water Act (CWA) require that erosion and sediment control be addressed as part of project development. The Federal Highway Administration (FHWA) requires that all federally-aided projects involving clearing and grubbing, grading, or excavation have formal erosion and sediment control plans (E&SC) included in the Plans, Specifications, and Estimate (PS&E). Additionally, erosion and sediment control is a concern to regulatory and resource agencies in the protection of threatened and endangered species; wild, scenic and recreational rivers; fish and wildlife resources; the control of non-point source pollution; the protection of coastal and inland waterways resources, and the protection of surface drinking water supply sources. It is a violation of State Water Quality Standards to cause turbidity that will result in a substantial visible contrast to natural conditions. On December 8, 1999, the United States Environmental Protection Agency (EPA) issued a Final Rule dealing with stormwater discharges to surface waters of the United States, including federal jurisdictional wetlands. Coverage under a non-point source State Pollutant Discharge Elimination System (SPDES) General Permit must be sought from the New York State Department of Environmental Conservation (NYSDEC) if any project involves a cumulative disturbance of 0.4 ha (legally 1.0 acre) or more of non-Tribal Indian land during the life of the contract by clearing and grubbing, grading, or excavation pursuant to a NYSDEC and New York State Department of Transportation (NYSDOT) Memorandum of Understanding (DEC/DOT MOU, 2003). If a project will disturb 0.4 ha (legally 1.0 acre) or more on Tribal Indian lands, coverage under a National Pollutant Discharge Elimination System (NPDES) Construction General Permit must be sought from EPA. 8.8.1

Determining the Need for an Erosion and Sediment Control Plan and SPDES/NPDES Stormwater Permits

The need for an erosion and sediment control (E&SC) plan, and coverage under SPDES/NPDES general permits, should be determined by following the guidance provided in steps 1 and 2 below. These steps are consistent with EPM Chapter 4.3. Step 1. Determine if the project involves clearing and grubbing, grading, excavation or fill. If the project does not involve clearing and grubbing, grading, excavation or fill, an E&SC plan is not necessary. If the project does involve clearing and grubbing, grading, excavation or fill, an E&SC plan shall be prepared consistent with the guidance in Section 8.8.2. Go to step 2 to determine the need for coverage under SPDES/NPDES general permits.

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Step 2. Determine if the project is subject to and requires coverage under the SPDES General Permit for Stormwater Discharges from Construction Activity, Permit No. GP-0-08-001 from the NYSDEC, or a NPDES Construction General Permit from the EPA, or both. a. A project is subject to and requires coverage under a NYSDEC SPDES General Permit if: 1. The project involves a cumulative disturbance of 0.4 ha (legally 1.0 acre) or more of non-Tribal Indian Land during the life of the contract by clearing and grubbing, grading, excavation or fill (excluding the area involved in routine maintenance activities, as per Appendix B, Section 2.3.1), and 2. The project could involve a stormwater discharge (for example, runoff from the 100-year, 24-hour storm event) to surface waters of the United States (see definition on next page), either indirectly through stormwater sewers or directly to waterways, and 3. The stormwater discharge is from sources other than a storm sewer covered by an existing SPDES (point source) permit. If the project requires coverage under the NYSDEC SPDES General Permit, refer to Section 8.8.3 and Appendix B. A project is not eligible for coverage under the NYSDEC SPDES General Permit after June 29, 2009 if there is a disturbance of two or more acres of land with no existing impervious cover and the Soil Slope Phase is identified as an E or F in the USDA County Soil Survey, and if these disturbances are within watersheds of AA or AA-s waterbodies. b. A project is subject to and requires coverage under an EPA NPDES Construction General Permit if the project: 1. Will result in a disturbance of 0.4 ha (legally 1.0 acre) or more total land area on Tribal Indian lands, and 2. Involves a stormwater discharge to surface waters of the United States, either indirectly through stormwater sewers or directly to waterways. If the project requires coverage under a NPDES Construction General Permit, refer to section 8.8.4.

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Definition - "Waters of the United States" means: 1. All waters which are currently used, were used in the past, or may be susceptible to use in interstate or foreign commerce, including all waters which are subject to the ebb and flow of the tide; 2. All interstate waters, including interstate "wetlands"; 3. All other waters such as interstate lakes, rivers, streams (including intermittent streams), mudflats, sandflats, wetlands, sloughs, prairie potholes, wet meadows, playa lakes, or natural ponds, the use, degradation, or destruction of which would affect or could affect interstate or foreign commerce including such waters: a. which are or could be used by interstate or foreign travelers for recreational or other purposes; b. from which fish or shellfish are or could be taken and sold in interstate or foreign commerce; or c. which are used or could be used for industrial purposes by industries in interstate commerce; 4. All impoundments of waters otherwise defined as waters of the United States under this definition; 5. Tributaries of waters identified in items 1 through 4 of this definition; 6. The territorial sea; 7. Wetlands adjacent to waters (other than waters that are themselves wetlands) identified in items 1 through 6 of this definition. Waste treatment systems, including treatment ponds or lagoons designed to meet the requirements of the Clean Water Act (CWA) are not waters of the United States. This exclusion applies only to man-made bodies of water which neither were originally created in waters of the United States (such as disposal areas in wetlands) nor resulted from the impoundment of waters of the United States.

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8.8.2 Erosion and Sediment Control Erosion and sediment control is any temporary or permanent measure taken to reduce erosion, control siltation and sedimentation, and ensure that sediment-laden water or wind does not leave the site. Guidelines for providing erosion and sediment control are discussed in Section 8.8.2.1. The E&SC plan resulting from these guidelines is discussed in Section 8.8.2.2. Note: The guidance in Sections 8.8.2.1 and 8.8.2.2 is based on Attachment 4.3.A of EPM Chapter 4.3 8.8.2.1 Erosion and Sediment Control Guidelines There are a number of publications and sources of guidance regarding erosion and sediment control and the preparation of an E&SC plan. This section discusses erosion and sediment control guidelines within the context of the NYS Standards and Specifications for Erosion and Sediment Control. Section 8.8.2.2 discusses the preparation of the E&SC plan. The following is recommended guidance: 1. 2. Preserve the existing vegetative groundcover on the project site as much as possible to protect the soil surface and limit erosion. Sediment control practices/measures, where necessary, should be designed to protect the natural character of rivers, streams, lakes, coastal waters, wetlands, or other waterbodies on-site and minimize erosion and sedimentation off-site from the start of land disturbance activities to establishment of permanent stabilization. a. The off-site impacts of erosion and sedimentation related to land clearing, grading, and construction activities should not be any greater during and following land disturbance activities than under pre-development conditions. b. Pursuant to Part 700 et seq. of Title 6, Chapter X of NYCRR: 1. Toxic and other deleterious substances shall not be discharged in amounts that will adversely affect the taste, color or odor thereof, or impair the waters of the state for their best (classified) usages, 2. Suspended, colloidal, and settleable solids shall not be discharged in amounts that causes substantial visible contrast to natural conditions, or causes deposition or impairs the waters for their best (classified) usages. Stream reaches on-site and downstream of construction areas should not have substantial visible contrast relative to color, taste, odor, turbidity, and sediment deposition from the reaches upstream of the construction area. Impacts such as these which result from construction or developmental activities are a violation of Part 700 Water Quality Standards and may be subject to enforcement actions.

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Erosion and sediment control measures shall be constructed in accordance with an E&SC plan, established during design phases I through VI, which is included in the contract documents. The plan shall not be left for construction personnel to develop. Refer to Section 8.8.2.2 for specific elements of the E&SC plan. 8.8.2.2 Erosion and Sediment Control Plan The complexity of the E&SC plan and the types, locations, and quantities of various erosion and sediment control measures will be dependent upon the: 1. 2. 3. Type of project (new construction; reconstruction; resurfacing, restoration, and rehabilitation (3R), etc.), Scope of the project (for example, 3R projects with resurfacing and minimal disturbance, versus a 3R project which disturbs a significant amount of soil during the construction of new or lengthened turning lanes), and Natural and man-made resources requiring protection.

The E&SC plan developed by the design team is intended to supplement, not replace, Section 209 of the Standard Specifications. An appropriately developed and detailed plan will help the Contractor understand the Department's expectations concerning the work required under Section 209 and should assist the Engineer-In-Charge (EIC) in assuring that erosion and sediment control is adequately provided. Consistent with Sections 209 and 107-12 of the Standard Specifications, EICs will still need to obtain the Contractor's schedule of operations and plans for temporary and permanent erosion and sediment control measures not otherwise addressed in the Departments E&SC plan. Note: The Contractor has to identify erosion and sediment control measures for their staging areas, borrow areas and work operations that the designer could not have foreseen in design. Contract provisions for these erosion and sediment control measures are included in Section 100 of the Standard Specifications. Payment should not be provided under Section 209.

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The design team should include an E&SC plan in the contract documents which identifies and shows the following, as appropriate: 1. The location of sensitive on-site and adjacent off-site natural and man-made resources requiring protection, including but not limited to, surface waterbodies, wetlands, special wildlife habitat areas, existing trees and other vegetation to remain, adjacent residential and commercial properties and public recreation facilities. When necessary, protection should include delineation with a fencing type barrier and signing to keep construction equipment from entering these zones, and/or measures such as silt fence, to protect the resources from sedimentation. Note: No standard specification exists for fencing type barrier. Item No. 615.0402 08 is an acceptable special specification which covers this work. Provisions for silt fence are contained in Section 209 of the Standard Specifications. The location of temporary and permanent structural and vegetative measures to be used for soil stabilization, runoff control, and sediment control for each stage of the project from land clearing and grubbing to project close-out (on large scale plans, drainage plans, or special plans). Provide dimensional details, size, and length for these measures, as necessary, on the miscellaneous details plan sheets or the special details plan sheets. Engineering and environmental judgement should be used to assure that only those erosion and sediment control practices that are necessary and effective are included in the contract documents. To that end, feedback is necessary and important between designers, EICs, Regional Landscape Architects, Regional Environmental Contacts/Regional Landscape Environmental Managers. Conversion of temporary controls to permanent controls. Identify temporary practices that will be converted to permanent facilities. Construction staging. Provide an implementation schedule for staging temporary erosion and sediment control practices, including the timing of initial placement and the duration that each practice is to remain in place. In addition, provide for the removal of temporary measures, when temporary measures are not to be converted to permanent measures. Disturbed soils without erosion control applied to these soils should not exceed 2.0 ha at any one time. It is acknowledged, however, that some construction activities require that more than 2.0 ha be disturbed at any one time. For contract work not covered under Section 209, a maintenance schedule should be provided in the body of specifications, or in a notes section on the E&SC plan sheet, to ensure continuous and effective operation of erosion and sediment control practices throughout construction. Note: Section 209 of the Standard Specifications contains maintenance requirements for the work covered by that section.

2.

3.

4.

5. 6.

7.

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A description of the temporary and permanent structural and vegetative measures incorporated into the contract documents that will be used to control erosion and sedimentation for each stage of the project, from land clearing to project close-out, should be included in the Drainage Report, or the Design Approval Document. 8.8.2.3 Erosion and Sediment Control Products

In addition to traditional erosion and sediment control practices, the Department has standard specifications for other practices that prevent or reduce erosion by adhering to the ground surface by stapling or spraying. They are not intended, however, for controlling slope instability. '713-07 Rolled Erosion Control Products and Soil Stabilizers identifies the slopes for which different Classes and Types may be used, and what shear stresses they will withstand. A. Rolled Erosion Control Products Rolled Erosion Control Products (RECPs) are commonly referred to as erosion control mats or blankets. An RECP is a temporary or long-term non-degradable material manufactured or fabricated into rolls. They are designed to reduce soil erosion on critical areas such as steep slopes, channels or shorelines by assisting in the growth, establishment and protection of vegetation. They are available in three Classes: short-term, intermediate, and permanent. The advantages of RECPs are that they effectively control erosion by dissipating the energy of raindrops, they can withstand concentrated flows, they aid in the establishment of vegetation, and no heavy equipment is required. The disadvantage is that the slope preparation can be very labor intensive, as the slope should be at or near final grade to ensure that the RECP has intimate contact with the soil. If the contact is not adequate, water can flow under the RECP, and rutting can occur. Permanent RECPs are Turf Reinforcement Mats (TRMs). TRMs are rolled erosion control products composed of nondegradable synthetic fibers, filaments, nettings, and/or wire mesh, processed into a permanent, three-dimensional matrix which may be supplemented with natural or fiber components (composite). In the past, RECPs and TRMs were combined in the same category. The industry has defined a clear difference and AASHTO National Transportation Product Evaluation Program is considering different testing for TRMs.

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TRMs are designed to enhance vegetation reinforcement during and after maturation. TRMs are typically used in critical hydraulic applications, such as high-flow channels, steep slopes, stream banks, and shorelines, where erosive forces exceed the limits of natural, unreinforced vegetation. TRMs need to be protected from concentrated flows of water until establishment of vegetation. To establish vegetation, the prepared seedbed and TRM should be protected using practices to divert the runoff away from the TRM, such as a top of slope berm, a temporary pipe (in the case of swales) or a pipe slope drain. Class III Type A and B TRMs are meant to be filled with topsoil immediately after installation and to be used in conjunction with a Class IV soil stabilizer, Class I or II RECP, or mulch. Class III Type C and D TRMs, which contain a composite, do not need to be filled with topsoil unless recommended by the manufacturer. Seeding is recommended on the topsoil for most TRMs. TRMs with a composite will require seed placement in contact with the soil. Payment for soil stabilizers, Class I or II RECPs, or mulch, are to be paid for separately when used with a TRM. B. Soil Stabilizers Soil Stabilizers (Class IV products) are short-term duration, hydraulically applied products that bind soil particles together to prevent erosion, and should be applied in accordance with the manufacturer=s recommendations. They form a protective covering that conforms to the ground surface and dry to form a breathable, high strength blanket. They are for use on slopes 1:2 or flatter, and are not to be used in channels. There are three types of Soil Stabilizers in '713-07 Rolled Erosion Control Products and Soil Stabilizers. 1. Type A is a soil binding system consisting of either a Bonded Fiber Matrix (BFM). or a Polymer Stabilized Fiber Matrix (PSFM). A. A Bonded Fiber Matrix is a continuous layer of elongated fiber strands held together by a water resistant bonding agent. It eliminates direct rain drop impact on soil, it allows no gaps between the product and the soil and it has a high water-holding capacity. It will not form an impermeable crust that can inhibit growth, and will biodegrade completely. BFMs last up to six months and require a cure time up to 48 hours without rain to develop intimate soil contact. Seed would be spread prior to BFM application. B. A Polymer Stabilized Fiber Matrix is a wood cellulose fiber mulch and stabilized polyacrylamide emulsion that works as a flocculent to control erosion. PSFMs last up to six months and require a cure time up to 24 hours.

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2. Type B is a polyacrylamide (PAM) and calcium solution intended to reduce the erodibility of bare soils during construction activities or to enhance the performance of mulching on permanent slopes. Polyacrylamides hold soils in place by ionically bonding them together to increase the particle size. This results in greater infiltration through the soil pores and increased resistance to erosive forces. 3. Type C has been added under Class IV. It is a soil binder made up of wood fibers, cotton fibers, interlocking fibers, polymer gels, and hydro-colloid tackifiers, a Flexible Growth Medium (FGM) or Cotton Fiber Reinforcement Matrix (C-FRM). It works similar to a Bonded Fiber Matrix. BFMs require up to 48 hrs. without rain to cure, whereas FGMs require no curing time to develop intimate soil contact. There is a slight cost difference with FGMs and C-FRMs being a little more expensive. BFMs provide protection up to six months. FGMs and C-FRMs are rated for up to a year, and require no cure time to develop intimate soil contact, so they provide protection as soon as applied. FGMs are the highest-performing, hydraulically applied technology and, according to Utah Water Research Laboratory tests, provide greater than 99 percent erosion control effectiveness when subjected to a 125 mm-per-hour rain event for durations of 60 minutes; to a 150 mm-per-hour rain event at TRI (Texas Research International) Environmental for 30 minutes; and to three consecutive, 50-year storm events at San Diego State University. Type A, B, and C soil stabilizers may be used alone and are approved for use with Class III, Types A and B TRMs where those products are used on slope applications.

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8.8.3

SPDES General Permit for Stormwater Discharges from Construction Activity, Permit No. GP-02-01

The SPDES General Permit provides for stormwater qualitative and quantitative control through requirements contained in the body of the general permit. Designs shall be progressed consistent with the permit wherever practicable. However, strict conformance may not always be possible because of the unique limitations placed on the Department by lineal, narrow rights of way, soil type, and existing adjacent development. See Appendix B, Section 2.1.4, for a discussion of additional constraints that may make conformance to the SPDES General Permit impractical. Where conformance with the General Permit cannot be achieved, the Regional design staff shall provide an explanation in the SWPPP, the project files (Drainage Report, or Design Approval Document, as appropriate) and shall also inform the NYSDEC Regional Permit Administrator or NYSDEC Regional Water Engineer at their regularly scheduled coordination meetings or at project level meetings prior to project lettings. Note: The Department, and NYSDEC, has entered into a Memorandum of Understanding (MOU) regarding implementation of the SPDES General Permit (GP-0-08-001) to help clarify permit applicability as it pertains to NYSDOT construction projects. Where the permit and the MOU differ, the MOU takes precedence. The SPDES General Permit and MOU can be found at: https://www.nysdot.gov/divisions/engineering/environmental-analysis/water-ecology/stormwatermanagement 8.8.3.1 Contents of SPDES General Permit The SPDES General Permit is divided into five parts as follows: Part I Part II Part III Part IV Part V Coverage under This Permit Termination of Coverage Stormwater Pollution Prevention Plans Monitoring, Reporting and Retention of Records Standard Permit Conditions

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The entire SPDES permit and the MOU should be read to establish familiarity with these documents and recognize the necessary coordination between the Construction, Maintenance, and Design groups to implement the permit requirements. 8.8.3.2 Stormwater Management Plans, Details, and Certifications Each SWPPP shall consist of erosion and sediment control plans and stormwater management plans. Refer to Appendix B, Section 2.4, for information that should be included in a SWPPP. In addition to plans, details, and notes that describe the proposed work, there are other components of a SWPPP to be addressed during the design phase: SPDES Design Phase Certifications Form (CONR 6). The SPDES Design Phase Certifications Pursuant to the SPDES Stormwater General Permit for Stormwater Discharges from Construction Activity must be signed by the Regional Director or designee. This form should not go into the Proposal, but must be in the SWPPP. This form is located in EPM Chapter 4.3, Attachment 4.3.B.4. Special Note. The Special Note for Stormwater Pollution Prevention Plans Made Pursuant to the SPDES Stormwater General Permit for Stormwater Discharges from Construction Activity is to be included in the Proposal by the designer. It is intended to indicate to the Contractor what portions of the contract documents are in the SWPPP, and to convey the Contractors obligations under the SPDES General Permit. This note is in EPM Chapter 4.3, Attachment 4.3.B.3. Contractor/Subcontractor SPDES Permit Certification Form (CONR 5). This form is to be included in the Proposal by the designer. All Contractors and Subcontractors will be expected to sign a copy of this form, agreeing to comply with the terms and conditions of the SWPPP. The Regional Design Group shall transmit to the Regional Construction Group, at or about the time of PS&E submittal to DQAB, the components of the SWPPP the Design Group produces.

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8.8.4 NPDES Construction General Permit Stormwater discharges from construction sites on Tribal Indian lands in New York State are permitted under the NPDES Construction General Permit issued by The United States Environmental Protection Agency (EPA). The NPDES Construction General Permit is in EPM Chapter 4.3, Attachment 4.3.C.1. The NYSDEC does not have jurisdiction over Tribal Indian lands in New York State under the SPDES Program, and the DEC/DOT MOU does not apply to Department projects on Indian lands. 8.8.4.1 Eligibility Coverage under the NPDES permit is required for all projects that will result in a disturbance of 0.4 ha (legally 1.0 acre) or more total land area on Indian lands in New York and involve a stormwater discharge to surface waters of the United States, either indirectly through stormwater sewers or directly to waterways. If the project involves a disturbance of less than 0.4 ha (legally 1.0 acre) on Indian lands and a 0.4 ha (legally 1.0 acre) or greater disturbance on non-Indian lands then coverage under the SPDES General Permit is required. If a 0.4 ha (legally 1.0 acre) disturbance occurs on both Indian and non-Indian lands, then coverage must be sought under both the NPDES Construction General Permit and the SPDES General Permit. 8.8.4.2 Authorization The NOI should be sent either electronically or via mail to the appropriate address in the NPDES Construction General Permit at the time the final PS&E package is submitted to DQAB. Permit number NYR10000I should be included on the NOI. Construction is authorized to commence seven calendar days after acknowledgement of receipt of the NOI is posted on the EPA NPDES website (http://cfpub2.epa.gov/npdes/stormwater/enoi.cfm) The NOI shall be signed by the Regional Director or official designee. 8.8.4.3 Storm Water Pollution Prevention Plans (SWPPP) A SWPPP shall be prepared, prior to submission of an NOI, for each construction project requiring coverage under the NPDES Construction General Permit. Contents of the stormwater pollution prevention plan are described in the NPDES Construction General Permit.

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8.8.5 MS4 Stormwater Outfall Inventory Mapping The NYSDEC SPDES General Permit for Stormwater Discharges from Municipal Separate Storm Sewer Systems (MS4) states that, An MS4 must, at a minimum must develop and maintain a map showing the location of all outfalls and the names and location of all Waters of the United States that receive the discharges from those outfalls. An outfall is any point where a separate storm sewer system discharges to either the Waters of the United States or to another MS4. Outfalls include discharges from pipes, ditches, swales, and other points of concentrated flow. This will not include pipe or box culverts which carry streams under a highway, cross culverts that convey drainage from ditch to ditch or culverts that discharge to groundwater. This outfall mapping is required only in designated urbanized areas and the Department has developed a methodology for identifying and documenting outfalls. Designers are required to complete the Stormwater Outfall Inventory (HC-107) form for any project which is located within the designated urbanized areas. Refer to EI 07-033 and Chapter 4.3 of the Environmental Procedures Manual for guidance on completing and implementing this form.

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8.9 DRAINAGE REPORT A Drainage Report should be provided when earthwork, modification of existing drainage features, or new drainage features are included in the project. The report should document the analysis performed to produce the final drainage design, and build upon the information included in Chapter 3, Section 3.3.3.4. and 3.3.3.7. of the Design Approval Document, when provided. Refer to Appendix 7 of the Project Development Manual for the complete format and content of design approval documents. The Drainage Report should be available for review when design approval is sought or when advance detail plans are complete, depending on the extent of the drainage work. Include a table of contents, an introduction, and sections which discuss the hydrologic analysis and hydraulic design for each type of drainage feature (open channels, culverts, storm drainage systems) included in the project. Other sections should be provided as needed to document the drainage design. 8.9.1 Introduction The introduction should provide an overview of existing drainage conditions, including known drainage problems, and proposed drainage conditions. 8.9.2 Hydrology Discuss the information used to perform the hydrologic analysis. State: 1. The methodology, design flood frequency, and basis therefore, used to calculate the discharge to be conveyed by each drainage feature. 2. Any adjustments to the runoff coefficient (C) made to account for future changes in land use or watershed urbanization. 3. The reference, method, and source of values used to compute the peak discharge, time of concentration, and rainfall intensity. 4. All assumptions, site observations, and other hydrologic information used in the analysis. 5. The drainage area and location map for each drainage feature. 6. Output from computer programs, or manual calculations used to compute the peak discharge.

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8.9.3 Open Channels Provide the design criteria and output from computer programs, or manual calculations, used to design the channel (cross section, dimensions, linings) and determine the capacity. Also include the velocity and depth of flow. All open channel systems meeting the requirements of the NYSDEC SPDES permits shall be noted as such in the contract documents should be provided to the Regional Maintenance Group. 8.9.4 Culverts Provide the design criteria and: 1. The output from computer programs, or manual calculations used to determine the size and shape. The output should include all of the factors which influence culvert performance as discussed in Section 8.6.3. 2. A table which compares the hydraulic and pipe design criteria with the culvert design. (i.e., for each culvert - state the allowable headwater and the design headwater, state the design life of the pipe material and the anticipated service life of pipe material specified.) 3. The selection of pipe material based on the economics of the various materials available shall be included as discussed in Section 8.6.2.4. The factors which have been considered in the pipe material selection decision as discussed in Section 8.6.2 shall also be included in the report. 4. A Culvert Inventory Coding Sheet for all new culverts. A copy should be provided to the Regional Maintenance Group to update the NYSDOTs statewide Culvert Inventory and Inspection System (CIIS) database. 5. All culverts design in accordance with the USACE Nationwide Permits for habitat connectivity shall be noted as such in the contract documents and should be provided to the Regional Maintenance Culvert Management Group. 8.9.5 Storm Drainage Systems Provide the design criteria and the output from computer programs, or manual calculations used to design and analyze gutter capacity, inlet capacity, storm drain capacity, the hydraulic gradeline, the outfall, and the receiving waters.

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The selection of pipe material based on the economics of the various materials available shall be included as discussed in Section 8.6.2.4. The factors which have been considered in the pipe material selection decision as discussed in Section 8.6.2 shall also be included in the report All storm drainage systems meeting the requirements of the NYSDEC SPDES permits shall be noted as such in the contract documents should be provided to the Regional Maintenance Group. 8.9.6 Erosion and Sediment Control and Stormwater Management Describe the erosion and sediment control and stormwater management practices that are part of the project. All Permanent erosion and sediment control measures which meet the requirements of the NYSDEC SPDES permits shall be noted as such in the contract documents should be provided to the Regional Maintenance Group. 8.9.7 Special Considerations Discuss any special considerations such as wetlands, stream temperature considerations, permits, etc., which influenced the drainage design. 8.9.8 References Include a list of all references which were used to design the proposed drainage features, and the erosion and sediment control and stormwater management measures. (Example, Highway Design Series Number 4, "Introduction to Highway Hydraulics" was used to design all roadside channels.)

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8.10 PLANS AND SPECIFICATIONS This section supplements the guidance presented in Chapter 21 of this manual. 8.10.1 Plans In general, plans should be prepared consistent with the guidance provided in Chapter 21, Section 21.2.2 A through Z The intent of this section is twofold: to illustrate that drainage information is presented to the Contractor in different sections of the plans, and to reiterate and build upon guidance contained in Chapter 21 regarding drainage. 8.10.1.1 Typical Sections Typical sections are discussed in Chapter 3 of this manual and the Comprehensive Pavement Design Manual. Roadside channels are the only drainage feature shown on the typical sections. The following information regarding roadside channels should be provided on the typical section: 1. Gutters (when used within the roadway section). Indicate gutter pay item number, and reference drainage details if applicable. When curbs are proposed, indicate pay item number. 2. Roadway ditches. Indicate lining material pay item number, cross section (width, depth, fore and back slopes), and distance from shoulder (i.e., "varies"). Refer to the drainage details, and ditch profile if applicable. 3. Toe-of-slope ditches. Indicate lining material pay item number, cross section (width, depth, fore and back slopes), and distance from shoulder (i.e., "varies"). 4. Intercepting ditches. Indicate lining material pay item number, cross section (width, depth, fore and back slopes), and distance from roadway ditch (i.e., "varies"). Refer to the drainage details if applicable. 5. Median swales (divided highways). Indicate lining material pay item number, and cross section (width, depth, fore and back slopes).

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8.10.1.2 Miscellaneous Tables 1. - Drainage Structures. Provide a Table of Drainage Structures. The table should include a summary of the work to be performed and should include relevant information which is not included elsewhere within the contract plans. The quantity breakout for each item should not be included in the table. This information should be made available to the contractors as supplemental information to bidders. 2. - Gutters. Provide a table for each type of gutter proposed, by pay item number. Include the station limits, offset (i.e. left or right, in the direction of increased stationing), and quantity. 3. - Curb. Provide a table for each type of curb proposed, by pay item number. Include the station limits, offset (i.e. left or right, in the direction of increased stationing), and quantity. 4. - Stone Filling. Provide a table for each type of stone filling proposed, by pay item number. Provide a separate entry for each location with the corresponding quantity. This table should refer to or be placed with the drainage detail(s) for this work which shows the pay limits. 8.10.1.3 Miscellaneous Details Provide any details which differ from the Standard Sheets (e.g., drainage structures) and designs not covered by the typical sections. Examples include: 1. Ditch designs which differ from the typical section, 2. Gutter sections which differ from the standard sheets, 3. Stone lined aprons, energy dissipators, or closed chutes (downspouts) which are necessary to provide permanent soil erosion and sediment control, and 4. Details of work before abandoning existing drainage structures. 5. Temporary soil erosion and sediment control details which differ from the standard sheets

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8.10.1.4 Special Plans The following items should be provided in this section of the plans as necessary: 1. Storm Water Management Plan. Provide a legend designating the type of temporary soil erosion and sediment controls to be used and note the location of these controls on the plan. Wetland mitigation areas may also be shown on this plan or on a separate plan as noted in item 2 below. 2. Wetland Mitigation Plan. This plan should include a tabulation of the species to be planted. Include item numbers, quantities, symbology, and other pertinent information deemed necessary by the Regional Landscape/Environmental Group. 3. Wetland Mitigation Details.

8.10.1.5 Plan 1:500 Scale or Larger 1.- Existing topographic features. Show culverts (size, material or type, and direction of flow), natural watercourses (streams), lakes, swamps, wetlands. 2. - Drainage. Show proposed drainage features - culverts, drainage structures, storm drains. Show control elevations for each drainage feature - culvert inlet and outlet invert elevation, invert elevations for storm drains connecting to drainage structures, top of grate (TG) or top of frame (TF) elevation. (Consider providing a note which states that the Contractor shall verify the TG or TF elevations.) Indicate locations to receive a stone apron. Reference drainage structure table or culvert table as appropriate. Depending on the type and scope of project, Regional preference, and adjacent development, the drainage information may be shown on Utility and Drainage Plans, a separate Drainage Plan, and/or on a 1:250 scale Intersection Plan. For every culvert conveying a live stream (a stream that shows as a blue line on a USGS map), the following information is to be shown in a box near the location of the culvert on the plan: 1. 100 year flood discharge, and high water elevation. 2. Design flood frequency, peak discharge, and high water elevation. (If the flood of record exceeds the 100 year flood, the plans should also indicate the peak discharge, high water elevation, and date of occurrence of the record flood.)

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There should be a design high water elevation shown for highway embankments encroaching into flood plains and rivers. 8.10.1.6 Profile 1. - Special ditches. Show the grade, starting elevation and station, ending elevation and station, and which side of the horizontal control line the ditch is to be located. 2. - Culverts and storm drainage systems. Show drainage structures and which side of the horizontal control line (HCL) the structure is located, and storm drains - indicate pipe diameter, material type, and which side of the HCL the pipe is to be located (if applicable). Show control elevations as discussed in Section 8.10.1.5, and reference the drainage structure table. 8.10.2 Specifications The following sections of the Standard Specifications are used to specify drainage work: 201 203 206 209 602 603 604 620 624 655 Clearing and Grubbing Excavation and Embankment Trench, Culvert and Structure Excavation Soil Erosion and Sediment Control Rehabilitation of Culvert and Storm Drain Pipe Culverts and Storm Drains Drainage Structures Bank and Channel Protection Paved Gutters Frames, Grates and Covers.

8.10.3 Special Notes Special notes should be provided to convey special directions, provisions, or requirements peculiar to the project. Refer to Chapter 21, Section 21.4 for additional guidance regarding the use and format of special notes. For all projects subject to the SPDES Stormwater General Permit, designers shall include the special note, contained in EPM Chapter 4, Section 4.3.B.3, in the PS&E package submitted to DQAB.

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8-117

8.11 DRAINAGE SOFTWARE This section provides guidance regarding drainage software to be used for highway drainage design and analysis. The following drainage software should be used for highway drainage design and analysis. Drainage Design and Analysis Highway Drainage Software Application 1 Hydrologic Analysis Culvert Design & Analysis Storm Drainage Systems Ditch Design & Analysis Stormwater Management Design & Analysis (Ponds, etc.)
1. 2. 3. 4.

Hydraulic Analysis HY-8 4

Design

&

WMS 2, TR-55 3 Storm & Sanitary, TR-55 Storm & Sanitary WMS, HydroCAD

Storm & Sanitary Storm & Sanitary HydroCAD

The listed software applications are available to Department personnel. WMS Watershed Modeling System (WMS) TR 55 Technical Release No. 55 developed by the National Resources Conservation Service (NRCS). Federal Highway Administration Culvert Analysis

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8.12 REFERENCES This section contains two lists of references. Section 8.12.1 lists all current references for Chapter 8. Section 8.12.2 lists all volumes and chapters in the "Highway Drainage Guidelines" and the "Model Drainage Manual" as a source for additional information. 8.12.1 References for Chapter 8 1. "Bank and Channel Protective Lining Design Procedures", Geotechnical Design Procedure-10, 2007, Geotechnical Engineering Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. Bicycle-Safe Grate Inlets Study Volume 1, "Hydraulic and Safety Characteristics of Selected Grate Inlets on Continuous Grades", June 1977, P. Burgi and D. Gober, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 2, "Hydraulic Characteristics of Three Selected Grate Inlets on Continuous Grades", May 1978, P. Burgi, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 3, "Hydraulic Characteristics of Three Selected Grate Inlets in a Sump Condition", September 1978, P. Burgi, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 4, "Hydraulic Characteristics of Slotted Drain Inlets", February 1980, C. Pugh, National Technical Information Service, Springfield, VA., 22161. Bicycle-Safe Grate Inlets Study Volume 5, "Hydraulic Design of General Slotted Drain Inlets", October 1980, C. Pugh, National Technical Information Service, Springfield, VA., 22161. "Comprehensive Pavement Design Manual", 2008 , Office of Technical Services, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. Computer Program for Project Formulation Hydrology, Technical Release 20, January 2005, United States Department of Agriculture, Natural Resources Conservation Service, Washington, D.C. "Design, Construction and Maintenance of Recharge Basins", Geotechnical Design Procedure-8, April 2007, Geotechnical Engineering Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232 "Design of Leaching Basins", Research Report 157, November 1992, Office of Technical Services, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232

2.

3.

4.

5.

6.

7. 8.

9.

10.

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11. 12. 13. 14.

8-119

"Drainage of Surface Waters", July 1995, Office of Legal Affairs, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Project Development Manual", Plan Sales Unit, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Environmental Procedures Manual", Office of Environment, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Estimates of Roughness Coefficients for Selected Natural Stream Channels With Vegetated Banks in New York", U.S. Geological Survey Open-File Report 93-161, William Coon, U. S. Geological Survey, Earth Science Information Center, Open-File Reports Section, Box 25286, MS 517, Denver Federal Center, Denver, CO., 80225. "Evaluation of Six Methods for Estimating Magnitude and Frequency of Peak Discharges of Urban Streams in New York", USGS Water-Resources Investigations Report 84-4350, David A. Stedfast, U. S. Geological Survey, Open-File Reports Section, Box 25425, Denver Federal Center, Denver, CO., 80225. "Fish Passage Through Culverts." FHWA-FL-90-006, 1990, C. Baker, and F. Votapka, Forest Service Technology and Development Center, San Dimas, California HEC-HMS "Hydrologic Modeling System", Hydrologic Engineering Center, U. S. Army Corps of Engineers, 609 Second Street, Davis, CA., 95616. "Highway Drainage Guidelines", 2007, American Association of State Highway and Transportation Officials, 444 North Capitol St., N.W., Suite 249, Washington, D.C., 20001. Federal Highway Administration Hydraulic Design Series and Hydraulics Engineering Circular are available electronically at:

15.

16. 17. 18. 19.

http://www.fhwa.dot.gov/engineering/hydraulics/library_listing.cfm x x x x x x x x x x Hydraulic Design Series No. 2, "Highway Hydrology". Hydraulic Design Series No. 3, "Design Charts for Open-Channel Flow". Hydraulic Design Series No. 4, "Introduction to Highway Hydraulics". Hydraulic Design Series No. 5, "Hydraulic Design of Highway Culverts". Hydraulic Engineering Circular No. 9, "Debris Control Structures Evaluation and Countermeasures" Hydraulic Engineering Circular No. 11, "Design of Riprap Revetment". Hydraulic Engineering Circular No. 12, "Drainage of Highway Pavements". Hydraulic Engineering Circular No. 14, "Hydraulic Design of Energy Dissipators for Culverts and Channels". Hydraulic Engineering Circular No. 15, "Design of Roadside Channels with Flexible Linings". Hydraulic Engineering Circular No. 22, Urban Drainage Design Manual.

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20. 21.

"Manual of Administrative Procedures", Audit and Civil Rights Division, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Metal-Loss Rates Of Uncoated Steel and Aluminum Culverts In New York", Research Report 115, Office of Technical Services, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Maximum Known Stages and Discharges of New York Streams, 1865-1989, with Descriptions of Five Selected Floods, 1913-85", 1993, R. Lumia, and P. M. Murray, U. S. Geological Survey, Open-File Reports-ESIC, Box 25425, Denver, CO., 80225. "Model Drainage Manual", 2005, American Association of State Highway and Transportation Officials, 444 North Capitol St., N.W., Suite 249, Washington, D.C., 20001. "New York State Standards and Specifications for Erosion and Sediment Control", August 2005, Division of Water, New York State Department of Environmental Conservation, 625 Broadway, Albany, N.Y., 12233. "NYSDOT Guidelines for the Adirondack Park", August 2008, Office of Environment, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "NOAA Technical Memorandum NWS HYDRO-35", June 1977, R. Frederick, V. Myers, E. Auciello, National Technical Information Service, Springfield, VA., 22161. "Policy and Standards for Entrances to State Highways", Plan Sales Unit, New York State Department of Transportation, 50 Wolf Road, Albany, N.Y., 12232. "Magnitude and Frequency of Floods in New York", USGS Scientific Investigations Report 2006-5112, 2006, R. Lumia, U. S. Geological Survey, Books and Open-File Reports Section, Box 25425, Denver, CO., 80225. "Technical Paper No. 40", May 1961, U.S. Department of Commerce, Weather Bureau, Washington, D.C. "Urban Hydrology for Small Watersheds", Technical Release 55, June 1986, United States Department of Agriculture, Soil Conservation Service, Washington, D.C.

22.

23. 24.

25. 26. 27. 28.

29. 30.

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31.

8-121

"Water Resources Data, New York, Water Year 2004, Volume 1, Eastern New York Excluding Long Island", 2006, United States Geological Survey Water Data Report NY-05-1, National Technical Information Service, Springfield, VA 22161 "Water Resources Data, New York, Water Year 2004, Volume 2, Long Island", 2005, United States Geological Survey Water Data Report NY-04-2, National Technical Information Service, Springfield, VA 22161 "Water Resources Data, New York, Water Year 2005, Volume 3, Western New York", 2005, United States Geological Survey Water Data Report NY-05-3, National Technical Information Service, Springfield, VA 22161

32.

33.

8.12.2 Topics Presented in the "Highway Drainage Guidelines" and the "Model Drainage Manual" 8.12.2.1 Highway Drainage Guidelines The "Highway Drainage Guidelines" consists of fifteen chapters as follows and includes a glossary of terms. Chapter 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Title Hydraulic Considerations in Highway Planning and Location Hydrology Erosion and Sediment Control in Highway Construction Hydraulic Design of Culverts The Legal Aspects of Highway Drainage Hydraulic Analysis and Design of Open Channels Hydraulic Analysis for the Location and Design of Bridges Hydraulic Aspects in Restoration and Upgrading of Highways Storm Drain Systems Evaluating Highway Effects on Surface Water Environments Highways Along Coastal Zones and Lakeshores Stormwater Management Training and Career Development of Hydraulic Engineers Culvert Inspection, Material Selection, and Rehabilitation Guidelines for Selecting and Utilizing Hydraulics Engineering Consultants

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8.12.2.2 Model Drainage Manual The "Model Drainage Manual" consists of twenty chapters as follows and includes a glossary of terms. Chapter 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Title Introduction Legal Aspects Policy Documentation Planning and Location Data Collection Hydrology Channels Culverts Bridges Energy Dissipators Storage Facilities Storm Drainage Systems Pump Stations Surface Water Environment Erosion and Sediment Control Bank Protection Coastal Zone Construction Maintenance of Drainage Facilities

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HIGHWAY DESIGN MANUAL

CHAPTER 9 - SOILS, WALLS, AND FOUNDATIONS

Revision 60

OCTOBER 29, 2010

This page is intentionally left blank.

CHAPTER 9 SOILS, WALLS, AND FOUNDATIONS Contents Page

9.1 INTRODUCTION................................................................................................................9-1 9.2 GEOTECHNICAL INVESTIGATIONS ................................................................................9-2 9.2.1 Geotechnical Reports ...............................................................................................9-2 9.2.2 Subsurface Explorations ..........................................................................................9-7 9.3 SOIL AND FOUNDATION CONSIDERATIONS ..............................................................9-18 9.3.1 Alignment ...............................................................................................................9-19 9.3.2 Resurfacing, Restoration, and Rehabilitation (3R) ..................................................9-20 9.3.3 Widening ................................................................................................................9-21 9.3.4 Settlement ..............................................................................................................9-22 9.3.5 Stability ..................................................................................................................9-26 9.3.6 Embankment Foundation .......................................................................................9-29 9.3.7 Geotechnical Design Guidance for Stormwater Management and Erosion and Sediment Control ................................................................................9-32 9.3.8 Underdrains and Edge Drains ................................................................................9-45 9.3.9 Cut Slopes .............................................................................................................9-51 9.3.10 Frost Heaves and Boulder Heaves .......................................................................9-59 9.3.11 Rock Excavation ..................................................................................................9-60 9.3.12 Excavation Protection and Support ......................................................................9-62 9.3.13 Design of Spoil Sites ............................................................................................9-63 9.3.14 Optional Borrow Areas .........................................................................................9-65 9.3.15 Geotextiles ...........................................................................................................9-68 9.3.16 Controlled Low Strength Material (CLSM) ............................................................9-73 9.4 RETAINING WALLS AND REINFORCED SOIL SLOPES AND WALLS ........................9-75 9.4.1 Definitions ..............................................................................................................9-75 9.4.2 Wall Types .............................................................................................................9-77 9.4.2.1 Externally Stabilized Cut Structures.....................................................................9-77 9.4.2.2 Externally Stabilized Fill Structures .....................................................................9-81 9.4.2.3 Internally Stabilized Fill Structures .......................................................................9-85 9.4.2.4 Internally Stabilized Cut Structures ......................................................................9-93 9.4.2.5 Miscellaneous .....................................................................................................9-94 9.4.3 Proprietary Retaining Wall Systems .......................................................................9-95 9.4.4 Wall Selection Process ...........................................................................................9-95 9.4.5 Wall Design & Detailing ..........................................................................................9-95 9.4.6 Aesthetic Treatments ...........................................................................................9-112 9.4.7 Sole Source .........................................................................................................9-114

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9.5 DEEP FOUNDATIONS ..................................................................................................9-115 9.5.1 Drilled Shafts ........................................................................................................9-115 9.5.2 Driven Piles ..........................................................................................................9-118 9.5.3 Micropiles .............................................................................................................9-120 9. 6 BUILDING CONDITION SURVEY AND VIBRATION MONITORING (NONBLASTING) ...........9-123 9.6.1 9.6.2 9.6.2.1 9.6.2.2 9.6.2.3 General ............................................................................................................9-123 Design Considerations .....................................................................................9-124 Adjacent Sensitive Structures ..........................................................................9-125 Consultation .....................................................................................................9-127 Action ..............................................................................................................9-128

9. 7 TRENCHLESS INSTALLATION OF CASING ..............................................................9-129 9.7.1 9.7.2 9.7.3 9.7.4 9.7.5 9.7.6 General ............................................................................................................9-129 Definitions ........................................................................................................9-129 Casing, Length, Type, and Size .......................................................................9-132 Design Development........................................................................................9-133 Submittal Process ............................................................................................9-137 Designer Guidance ..........................................................................................9-138

9. 8 CONTRACT INFORMATION ........................................................................................9-140 9.8.1 9.8.2 9.8.3 9.8.4 Earthwork Summary Sheet ..............................................................................9-140 Specifications ..................................................................................................9-141 Proposal ..........................................................................................................9-142 Plans ..............................................................................................................9-143

9.9 REFERENCES ..............................................................................................................9-146 APPENDIX 9A - PROPRIETARY WALL SYSTEM EVALUATION PROCESS ..................... 9A-1 9A.1 Procedure Overview .............................................................................................. 9A-1 9A.2 Definitions and Roles ............................................................................................. 9A-1 9A.3 Procedural Guidelines............................................................................................ 9A-3 9A.4 Steps in the PreApproval Process ......................................................................... 9A-4 9A.5 Related Official Issuances...................................................................................... 9A-6 Attachment 1 Instructions for Preparation of the Application Package ................................... 9A-7 APPENDIX 9B - PROJECT CHECKLIST FOR DETERMINING IF SUBSURFACE EXPLORATIONS ARE REQUIRED ........................................................ 9B-1 APPENDIX 9C - SUBJECT INDEX ....................................................................................... 9C-1

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CHAPTER 9 SOILS, WALLS, AND FOUNDATIONS LIST OF FIGURES Figure 9.2-1 a b c d e f g 9.2-2 a b 9.2-3 a b 9.2-4 a b c d e f g 9.2-5 a b 9.2-6 a b c d e f 9.2-7 9.2-8 9.2-9 a b c d 9.2-10 9.2-11 9.3-1 9.3-2 a b c d e f g Title Page Drilling in Roadway .....................................................................................9-7 Drilling in a Parking Lot ...............................................................................9-7 Drilling on Steep Terrain..............................................................................9-8 Drilling on Ice ..............................................................................................9-8 Drilling with All-Terrain Vehicle (ATV) Drill Rig ............................................9-8 Drilling on Soft Soils ....................................................................................9-8 Drilling off a Barge.......................................................................................9-8 Split Spoon Sampler .................................................................................9-10 Split Spoon Sampler Opened (Split) ..........................................................9-10 Drilling with Augers ...................................................................................9-10 Hollow-Flight Auger with Split Spoon Sampler ..........................................9-10 Undisturbed Sampling (Setting Sampler) ..................................................9-11 Undisturbed Sampling (Breaking Down Sampler)......................................9-11 Undisturbed Sampling (Sealing Sample with Wax)....................................9-11 Undisturbed Sampling (Capping Sample and Securing for Delivery to lab)9-11 Extracting Undisturbed Soil Sample ..........................................................9-12 Undisturbed Soil Sample Testing; Triaxial Test .........................................9-12 Undisturbed Soil Sample Testing: Consolidation Test ...............................9-12 Probe Hole (Progressed via Poyne Jar) ....................................................9-13 Probe Hole (Jack to Extract Rods) ............................................................9-13 Extracting Rock Core Sample ...................................................................9-14 Labeled and Boxed Rock Core..................................................................9-14 Point Load Test Set-Up .............................................................................9-14 Point Load Test (Testing a Rock Core) .....................................................9-14 Unconfined Compression Test ..................................................................9-14 Unconfined Compression Test (Instrumented Rock Core) .........................9-14 Typical Pore Water Pressure Monitoring Installation .................................9-15 Seismic Refraction ....................................................................................9-15 Collapsed Mechanical Cone Penetrometer Tip (Dutch Mantle Cone) (metric values) ..........................................................................................9-16 Extended Mechanical Cone Penetrometer Tip (Dutch Mantle Cone) (metric values) ..........................................................................................9-16 Collapsed Mechanical Friction-Cone Penetrometer Tip (Begemann Friction-Cone)(metric values) .................................................9-16 Extended Mechanical Friction-Cone Penetrometer Tip (Begemann Friction-Cone)(metric values) .................................................9-16 Retractable-Plug Sampling Equipment (Hammer, Drive Head, Tube, And Brass Sampling Tubes) ......................................................................9-17 Falling Weight Deflectometer (FWD) .........................................................9-17 Embankment Widening Utilizing Benching ...............................................9-21 Lightweight Fill- Expanded Polystyrene Blocks (EPS) ...............................9-22 Lightweight Fill- Expanded Polystyrene Blocks (EPS) ...............................9-22 Lightweight Foamed Concrete...................................................................9-22 Lightweight Foamed Concrete...................................................................9-22 Lightweight Fill- Tire Shreds ......................................................................9-23 Lightweight Fill- Tire Shreds ......................................................................9-23 Lightweight Fill- Pumice ............................................................................9-23

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CHAPTER 9 SOILS, WALLS, AND FOUNDATIONS Figure h i j 9.3-3 a b 9.3-4 a b 9.3-5 9.3-6 9.3-7 9.3-8 9.3-9 9.3-10 9.3-11 9.3-12 9.3-13 9.3-14 a b c d e f g h i j 9.3-15 9.3-16 9.3-17 9.3-18 9.3-19 9.3-20 9.3-21 a b c d e f g h i j k l m Title Page

Lightweight Fill- Pumice ............................................................................9-23 Lightweight Fill- Expanded Shale ..............................................................9-23 Lightweight Fill- Expanded Shale ..............................................................9-23 Surcharge of Approach Embankment (Additional Fill) ..............................9-24 Surcharge of Approach Embankment (Instrumentation of Fill)...................9-24 Wick Drain Installation (Layout of Drains) .................................................9-24 Wick Drain Installation (Instrumentation of Some Drains) ..........................9-24 Example of Data Collection from Settlement- Monitoring Devices .............9-25 Deep-Seated Slope Failure .......................................................................9-26 Stability Failure of an Embankment ...........................................................9-26 Embankment with Stabilizing Berm ...........................................................9-27 Constructed Stabilization Berm .................................................................9-27 Example of Earthwork Staging and Erosion Control Plan ..........................9-34 Example Sequence of Stabilized Earthwork Construction Operations .......9-35 Pipe Underdrain Bedding and Backfill Details for Trench Installations ......9-46 Edge-of-Pavement Drain: Curbed Section.................................................9-47 PGED with Stone Backfill Detail: Adjacent to Full Depth Asphalt Pavement .................................................9-48 PGED with Stone Backfill Detail: Adjacent to Concrete Pavement ............9-48 PGED with Existing Suitable Material Detail: Adjacent to Full Depth Asphalt Pavement .................................................9-49 PGED with Existing Suitable Material Detail: Adjacent to Concrete Pavement ................................................................9-49 PGED: Sample of Product .........................................................................9-49 PGED: Drain Unrolled ...............................................................................9-49 PGED: Drain Installed Through Guides .....................................................9-50 PGED: Drain Installed (Outer Side of Trench) ...........................................9-50 PGED: Granular Backfill Material (Pavement/ Inner Side of Trench) .........9-50 PGED: Capping Operation ........................................................................9-50 Large Scale Surface Slough .....................................................................9-51 Cut-Slope Failure and Benching Solutions ................................................9-52 Large Scale Rock Fall ...............................................................................9-53 Stone Slope Protection..............................................................................9-53 No Recharge Area Behind Slope ..............................................................9-54 Recharge Area Behind Slope ....................................................................9-55 Rock Scaling (Using Long Reach Excavator) ............................................9-56 Rock Scaling (Using Long Reach Excavator) ............................................9-56 Rock Scaling (Using Hoe Ram) .................................................................9-56 Rock Bolts .................................................................................................9-56 Rock Bolts .................................................................................................9-56 Wire Mesh Drape ......................................................................................9-57 Wire Mesh Drape ......................................................................................9-57 Wire Mesh Drape (Drape Connections) .....................................................9-57 Wire Mesh Drape (Anchor) ........................................................................9-57 Rock Buttress............................................................................................9-57 Rock Buttress............................................................................................9-57 Thrie Beam Railing/Corrugated Beam Rock Fence ...................................9-58 Thrie Beam Railing/Corrugated Beam Rock Fence ...................................9-58

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CHAPTER 9 SOILS, WALLS, AND FOUNDATIONS Figure n o 9.3-22 9.3-23 a b c d e f 9.3-24 9.3-25 9.3-26 9.3-27 a b c d 9.3-28 a b c d e a b c d e f g a b a b c a b c a b c d e f a b Title Page

9.3-29

9.3-30 9.4-1

9.4-2

9.4-3

9.4-4

9.4-5 9.4-6 a b

Wire Rope Catchment Fence (Medium Impact) .........................................9-58 Wire Rope Catchment Fence (Medium Impact) .........................................9-58 Boulder Heave .........................................................................................9-59 Rock Excavation- Drilling ..........................................................................9-60 Rock Excavation- Drilling ..........................................................................9-60 Rock Excavation- Drilling ..........................................................................9-60 Rock Excavation- Explosive Loading.........................................................9-60 Rock Excavation- Explosive Loading.........................................................9-61 Rock Excavation- Matting over Explosives ................................................9-61 Trench Box ...............................................................................................9-62 The ICON Group (Slide Rail System) ........................................................9-62 Suggested Spoil Sites ...............................................................................9-63 Optional Borrow Areas (Removing Median and/or Grade).........................9-65 Optional Borrow Areas (Excavating Oversize Ditches) ..............................9-66 Optional Borrow Areas (Shifting or Flattening Cut Slope) ..........................9-66 Optional Borrow Areas (Flattening Rock Slopes and Daylighting) .............9-66 Slit Film Woven (Mirafi 500X) ....................................................................9-68 Monofilament Woven (SI Geosolutions GEOTEX 104F)............................9-68 Combination Monofilament/Fibrillated Yarn Woven (WEBTEC Terra Tex HPG 16) ..................................................................9-68 Needle Punched NonWoven (SI Geosolutions GEOTEX 1001) ................9-68 Heatbonded NonWoven (BBA FiberWeb 3401G) ......................................9-69 Geotextile Testing (Grab Strength Test) ....................................................9-70 Geotextile Testing (Trapezoidal Tear Test) ...............................................9-70 Geotextile Testing (1/2 in. Puncture Test) .................................................9-70 Geotextile Testing (Wide Width Strength Test) ..........................................9-70 Geotextile Testing (Permittivity Test- Geotextile in Ring) ...........................9-71 Geotextile Testing (Permittivity Test) .........................................................9-71 Geotextile Testing (Apparent Opening Size Test)......................................9-71 Placement of CLSM ..................................................................................9-74 Placement of CLSM ..................................................................................9-74 Sheeting Wall Installation ..........................................................................9-77 Sheeting Wall (Permanent Timber Facing) ................................................9-78 Sheeting Wall (Permanent Timber Facing) ................................................9-78 Soldier Pile & Lagging Wall (Permanent Timber Lagging) .........................9-78 Soldier Pile & Lagging Wall (Permanent Precast Concrete Lagging) .........9-78 Soldier Pile & Lagging Wall (Cast-In-Place Finish) ....................................9-79 Sheeting Wall (Braced Excavation) ...........................................................9-80 Anchored Sheeting Wall ............................................................................9-80 Anchored Soldier Pile and Lagging Wall ...................................................9-80 Anchor (Sheeting Deadman) .....................................................................9-80 Anchor (Concrete Deadman).....................................................................9-81 Anchor (Soldier Pile Deadman) .................................................................9-81 Precast Gravity Wall (Foundation Construction) ........................................9-81 Precast Gravity Wall (Stone Facing)..........................................................9-81 Precast Concrete Cantilever Wall ..............................................................9-82 T-Wall: Plain Concrete Finish (Wall Construction) .....................................9-83 T-Wall: Plain Concrete Finish (Wall Construction) .....................................9-83

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CHAPTER 9 SOILS, WALLS, AND FOUNDATIONS Figure c d e f g h i j k l 9.4-7 a b 9.4-8 a b c d e f 9.4-9 a b 9.4-10 a b 9.4-11 a b c 9.4-12 a b 9.4-13 a b 9.4-14 a b c d 9.4-15 a b c d e f g h 9.4-16 a b c d e f Title Page

T-Wall: Exposed Aggregate Finish (Wall Construction) .............................9-83 T-Wall: Exposed Aggregate Finish (Wall Construction) .............................9-83 Stone Strong Wall (Wall Construction) ......................................................9-83 Stone Strong Wall (Wall Construction) ......................................................9-83 Stone Strong Wall (Use of EPS Backfill) ...................................................9-84 Stone Strong Wall (Use of EPS Backfill) ...................................................9-84 Evergreen Wall (Constructed Wall) ...........................................................9-84 Evergreen Wall (Plant Growth) ..................................................................9-84 Unilock Siena Stone 500 ...........................................................................9-84 Unilock Siena Stone 500: Back Face ........................................................9-84 Gabion Wall ..............................................................................................9-85 Gabion Wall ..............................................................................................9-85 MSES Wall (Reinforcement Layout) ..........................................................9-86 MSES Wall (Form Liner Finish) .................................................................9-86 Terraced MSES Wall .................................................................................9-87 MSES Wall (Temporary Stage Line Wall) ..................................................9-87 MSES Wall (Cast-In-Place Facing)............................................................9-87 MSES Wall (Cast-In-Place Facing)............................................................9-87 Mechanically Stabilized Wall System (Unilock Siena Stone 500 & Strata Grid 200) ............................................9-88 Mechanically Stabilized Wall System (Back Face) (Unilock Siena Stone 500 & Strata Grid 200) ............................................9-88 GRSS (Temporary Stage Wall) .................................................................9-90 GRSS (Temporary Stage Wall Section and Plan)......................................9-90 GRSS (Permanent Oversteepened Slope) ................................................9-91 GRSS (Permanent Oversteepened Slope) ................................................9-91 GRSS for Widening/Grade Change ...........................................................9-91 Geocell Faced GRSS ................................................................................9-92 Geocell Faced GRSS ................................................................................9-92 Timber Faced GRSS Wall .........................................................................9-92 Timber Faced GRSS Wall .........................................................................9-92 Soil Nail Wall (Temporary Shotcrete Facing) .............................................9-94 Soil Nail Wall (Permanent Shotcrete Facing) .............................................9-94 Soil Nail Wall (Cast-In-Place Facing).........................................................9-94 Soil Nail Wall (Stone Masonry Facing) ......................................................9-94 Section Through Wall ..............................................................................9-102 Section Foundation & Backfill Preparation...............................................9-103 Illustrative Example (Slightly Sloping Wall Elevation View) ...................9-104 Illustrative Example (Slightly Sloping Wall Plan View) ..........................9-104 Illustrative Example (Steeply Sloping Wall Elevation View) ..................9-105 Illustrative Example (Steeply Sloping Wall Plan View) ..........................9-105 Section Gravity Wall ................................................................................9-106 Layout Control .........................................................................................9-107 Textured Surface (Cast-In-Place MSES) .................................................9-112 Textured Surface (PWS) .........................................................................9-112 Exposed Aggregate (Open Modular Units) ..............................................9-113 Exposed Aggregate (Solid Blocks) ..........................................................9-113 Architectural Pattern (Open Modular Units) .............................................9-113 Architectural Pattern (Solid Blocks) .........................................................9-113

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CHAPTER 9 SOILS, WALLS, AND FOUNDATIONS Figure 9.5-1 a b c d e f g 9.5-2 a b c d 9.5-3 a b c d e f 9.6-1 a b c d 9.6-2 9.6-3 9.7-1 a b 9.7-2 a b 9.7-3 a b 9.7-4 9.7-5 a b 9.7-6 a b Title Page

Drilled Shaft Installation (Barge Set-Up) ..................................................9-116 Drilled Shaft Installation (Drilling & Excavation) .......................................9-117 Drilled Shaft Reinforcement (Rebar Cage & CSL Access Tubes) ............9-117 Drilled Shaft Installation (Concrete Pour) ................................................9-117 Drilled Shaft Layout .................................................................................9-117 Crosshole Sonic Log Testing (Ultrasonic Probe Installation) ...................9-117 Crosshole Sonic Log Testing (Mobile Test Lab) ......................................9-117 Pile Driving Operation .............................................................................9-119 Dynamic Pile Load Test Set-Up ..............................................................9-119 DPLT: Strain Transducer and Accelerometer Bolted to CIP Pipe Pile .....9-119 DPLT: Pile Driving Analyzer (Pile Dynamics, Inc.) ...................................9-119 Micropile Installation ................................................................................9-121 Micropile Installation (Down-The-Hole Hammer) .....................................9-122 Micropile Installation (Centralizer with Telltales) ......................................9-122 Micropile Installation (Footing Connection) ..............................................9-122 Static Pile Load Test of Micropile ............................................................9-122 Static Pile Load Test of Micropile ............................................................9-122 Vibration Monitoring Set-Up ....................................................................9-123 Instatels Blastmate III (Includes full keyboard and thermal printer) .........9-123 Vibration Monitoring (Microphone) ..........................................................9-123 Vibration Monitoring (Triaxial Geophone) ................................................9-123 Construction Vibrations as a Function of Distance, after Wiss (metric values) (1981) ............................................................9-125 Vibration Monitoring of Adjacent Suspect Building ................................9-127 Track-Type Auger boring System: Auger boring machine placed on a track system ....................................................................................9-129 Augers Lifted into Entrance Pit ................................................................9-129 Surface Launched Slurry Boring System .................................................9-130 Slurry Boring Entrance Point & Slurry Retrieval Pit ..................................9-130 Horizontal Directional Drilling Entrance Pit with Dewatering Sump ..........9-131 Horizontal Directional Drilling Entrance Pit ..............................................9-131 Classification Systems for Trenchless Methods ......................................9-132 Slurry Boring Tracking Equipment: Electromagnetic Down-Hole Navigational System: Tracer Wire Splice.................................................9-137 Slurry Boring Tracking Equipment: Electromagnetic Down-Hole Navigational System: Surface Cables .....................................................9-137 Horizontal Directional Drilling Tracking Equipment (Walk-Over Receiver): Vermeer Eclipse Drill Head Locator .......................................9-138 Horizontal Directional Drilling Tracking Equipment (Walk-Over Receiver): Vermeer Eclipse Drill Head Locator .......................................9-138

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CHAPTER 9 SOILS, WALLS, AND FOUNDATIONS LIST OF TABLES Table 9-1 9-2 9-3 9-4 9-5 9-6 9-7 9-8 9-9 9-10 Title Page

Example Table of Earthwork Staging to Minimize Unprotected Earth .........................9-36 Settling Velocities of Soil Particles In Still Water (metric values) .................................9-38 Permeability and Drainage Characteristics of Soils (metric values) ............................9-42 Coefficients of Permeability of Common Natural Soil Formations (metric values) .......9-42 Example of Type of Geotextile Information to be Included in Miscellaneous Tables ...9-72 Classification of Retaining Wall Systems ....................................................................9-76 Table of Proportions .................................................................................................9-108 Ground Conditions and Suitability of Trenchless Methods ........................................9-134 Trenchless Construction Techniques ........................................................................9-135 Productivity Rates, Limitations, and Estimated Costs for Trenchless Methods .........9-136

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SOILS, WALLS, AND FOUNDATIONS 9.1 INTRODUCTION

9-1

This chapter outlines the role of geotechnical engineering in the project development process. The designer should be aware that the entire highway system is supported by soil and rock, and that means for ensuring its adequate support must be considered in design. Soil and rock are the major construction materials used in the highway system, with about a fifth of construction costs spent on earthwork alone. Engineering properties of soils are more variable than any other material used in highway construction. Exploration programs thus are necessary to evaluate engineering properties of soil and rock that will be encountered, and to determine adequate and economical methods for using and dealing with them. The Geotechnical Engineering Bureau (in conjunction with the Office of Structures) designs foundations for all highway bridges. At the request of the Regional Geotechnical Engineer, the Geotechnical Engineering Bureau recommends cut slope and embankment foundation treatments, soil strength parameters, and assists in foundation design for other highway features, such as walls or culverts. Designers, in coordination with project managers, must give full consideration to soil exploration and testing requirements in determining resource and scheduling needs. The Regional Geotechnical Engineer and Geotechnical Engineering Bureau are equipped to explore and analyze soil and rock conditions in the project area, and provide the designer with specific recommendations compatible with those conditions. Since the relationship between soil conditions and design of a highway project often are profound, coordination by the designer with the Regional Geotechnical Engineer throughout the project development process is essential. The designer's responsibility is to solicit those recommendations in a timely manner, and incorporate solutions into the contract documents. Soil and rock problems occasionally require specialized explorations, laboratory testing, and design analysis for adequate solutions. The Geotechnical Engineering Bureau provides these services to the designer through the Regional Geotechnical Engineer. However, these services take time. It is essential that the Designer involve the Regional Geotechnical Engineer early in the design process to avoid any schedule conflicts. This chapter acquaints the designer with the soil exploration procedures used, soil conditions to consider in design, and some typical solutions. On occasion, certain aspects of the geotechnical portion of the plan development are performed by Consultant Engineers. The designer must consult with the Regional Geotechnical Engineer prior to delegating this work to the consultant to determine if this work can be performed in house. If the geotechnical services of a consultant are required, the Regional Geotechnical Engineer will advise the designer of the specific responsibilities of the State and the consultant in performing this assignment. To help the designer decide what information is needed and who should provide it, a list of soils-related task assignments can be found in the following Geotechnical Engineering Bureau publication available on the IntraDOT or through the Regional Geotechnical Engineer: Design Consultant Agreements: Soils-Related Task Assignments(4).

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9.1

9-2

SOILS, WALLS, AND FOUNDATIONS

9.2 GEOTECHNICAL INVESTIGATIONS

9.2.1 Geotechnical Reports These describe the engineering significance of soil and foundation conditions in a project area, and relate those conditions to the project's design. As the project progresses through various phases of development and design, these reports become more refined and precise and must include recommendations to deal effectively with particular local soil conditions. The following sections correspond with the procedural phases of a projects development outlined in the Departments Project Development Manual. Sections 9.2.1.1 through 9.2.1.5 describe the progression of geotechnical reports, and the participation of both Regional Geotechnical Sections and the Geotechnical Engineering Bureau in their preparation. Section 9.2.1.6 outlines the geotechnical program during a project's construction. 9.2.1.1 Project Initiation Stage Initial Project Proposal (IPP) 1. REGIONAL PLANNING AND PROGRAM MANAGEMENT GROUP Provides the Regional Geotechnical Engineer with draft of project management strategy and project objectives, and tentative identification of functional areas to be involved. Receives feedback from the Regional Geotechnical Engineer on activities, key products, final event, preliminary schedule, and resource requirements for project scoping. 2. REGIONAL GEOTECHNICAL SECTION Provides preliminary geotechnical information based on knowledge and experience with soil and rock conditions in the vicinity of the proposed project. Provides input to preliminary schedule for project scoping, including availability of additional resources (or possible need for them). Advises on preliminary estimates in the Initial Project Proposal (IPP). Provides generic costs [$/ft.2 or $/mi.] and preliminary schedule. Indicates special technical activities that may be needed. Alerts IPP preparer of potential geotechnical problems. 3. GEOTECHNICAL ENGINEERING BUREAU Provides technical assistance, when requested.

9.2

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SOILS, WALLS, AND FOUNDATIONS 9.2.1.2 Project Scoping Stage

9-3

1. REGIONAL DESIGN GROUP Project Manager Provides the Regional Geotechnical Engineer with a corridor location plan, a contour plan and/or project description, project schedule data and a completed checklist for determining if subsurface explorations are required (See Appendix 9B). Receives Terrain Reconnaissance Report or Preliminary Geotechnical Report. 2. REGIONAL GEOTECHNICAL SECTION Performs a thorough review of the project site, reviews the checklist for determining if subsurface explorations are required (See Appendix 9B), establishes the need for subsurface explorations and schedules all necessary subsurface explorations. Prepares a Preliminary Geotechnical Report which includes identification of major soil and rock deposits on the project or in each corridor. Evaluates the engineering significance of major deposits that could affect highway performance, construction costs, and schedules. Occasionally, right-of-way considerations may be influenced by soil and rock deposits. Maintains close communication with the project developer as project details evolve. a. Field reconnaissance. Evaluates performance of nearby facilities. Evaluates existing pavement and shoulder performance, and determines need for drainage improvements to existing facilities. b. Review of previous subsurface explorations. c. Preliminary subsurface exploration if needed for major problem evaluation. d. Coordinates with Geotechnical Engineering Bureau for technical assistance: Rock Slope Location and Identification Report. Rock Outcrop Map. e. Provides input to project management process: By participating in scoping meeting. By providing comments on scoping document. By providing input to Project Management Plan for design. 3. GEOTECHNICAL ENGINEERING BUREAU Provides technical assistance to the Region when requested. a. Terrain Reconnaissance Reports for major projects on new location when requested by Region. b. Assistance to Regional Geotechnical Section in preparing reports when requested. c. Engineering Geology Section reports when requested: Rock Slope Location and Identification Report. Rock Outcrop Map. d. Survey of existing geotechnical data: Agricultural soils maps. Geologic literature. Analysis of air photos.

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9.2.1.2

9-4

SOILS, WALLS, AND FOUNDATIONS

9.2.1.3 Project Design Stage - Preliminary Design (Design Phases I through IV) 1. REGIONAL DESIGN GROUP Provides Regional Geotechnical Engineer with plans, profiles, and typical sections of alternative designs. Receives Geotechnical Report for inclusion in Design Approval Document (or update of previously provided report, if necessary). 2. REGIONAL GEOTECHNICAL SECTION Prepares or updates Geotechnical Report for Design Approval Document. a. Identifies major soil and rock deposits for each alternative design and executes the subsurface exploration plan. Field reconnaissance: Performance of existing highway(s) and nearby facilities. Review of existing geotechnical data. Subsurface explorations progressed for bridges, walls, fills, cuts, culverts, dams, major problem areas and evaluation of economic and environmental considerations. b. Determines engineering significance of major soil and rock deposits that could affect highway performance or construction costs, influence of soil and rock deposits on location, alignment, and right-of-way considerations, and appearance of completed project c. Evaluates existing pavement and shoulder structure and foundation conditions and provide input to the Regional Materials Engineer for projects requiring a pavement evaluation. d. Assists in determining the location and types of retaining walls and any specialized cut slope, embankment, or foundation treatment that may be required. Soil parameters for retaining wall design, recharge basins, storm water management practices, and wetland creation sites. 3. GEOTECHNICAL ENGINEERING BUREAU Provides for subsurface exploration, special equipment, technical advisory service, and assistance in preparing drilling contracts. Geologic surveys: seismic and resistivity explorations to determine depth to rock surface, water level, etc., for cut slope design and earthwork quantity estimates. Data for recharge basin design, storm water management practices, and wetland creation sites.

9.2.1.3

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SOILS, WALLS, AND FOUNDATIONS Section 9.2.1.4 Project Design Stage - Advanced Detailed Plans (Design Phase V)

9-5

1. REGIONAL DESIGN GROUP Provides the Regional Geotechnical Engineer with plans, profiles, and generalized crosssections (Advance Detail Plan or "ADP"), all plan and profile changes in development, and project schedule data. Receives Geotechnical Report for Advance Detail Plans (or update of previously provided report if necessary). 2. REGIONAL GEOTECHNICAL SECTION Provides the following geotechnical information for Advance Detail Plans, as appropriate: Recommendations to provide designers necessary information to prepare plans and quantity and cost estimates for earthwork items. Confirms location, alignment, and right-of-way treatments, based on soil and rock conditions. Recommendations for treatment of embankment foundation problems and cut slopes, bank and channel protection. A determination that sufficient subsurface explorations have been progressed. Special earthwork specifications and typical sections, if required. Accurate location of all subsurface explorations, and coordinate data for plotting on plans. 3. GEOTECHNICAL ENGINEERING BUREAU Provides technical services and assistance to Regions, when required or as requested: Roadway foundation design: recommendations for treatment of embankment foundation soils in critical areas. Earth cut slope design: recommendations in critical soil and groundwater seepage areas. Retaining walls designed by Regions: recommendations for vertical and lateral earth pressure considerations. Roadway design: general assistance to Regional Geotechnical Engineer where required. Pipe design: unusual problems involving earth pressures and jacking procedures. Channel slope protection: involving stone fill, riprap, gabions, stapods, except near structures. Recommendations for Foundation Design Report. Boring Location Plan and Subsurface Profile. Special pavement design.

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9.2.1.4

9-6

SOILS, WALLS, AND FOUNDATIONS

9.2.1.5 Project Design Stage - Final Plans, Specifications and Estimate (Design Phase VI) 1. REGIONAL DESIGN GROUP Receives Final Geotechnical Report (or update of previously provided report if necessary). 2. REGIONAL GEOTECHNICAL SECTION Compiles package of all geotechnical data for examination by bidders, including boring logs, test results, rock outcrop maps, Terrain Reconnaissance Report, and any other project information available from the Geotechnical Engineering Bureau. 3. GEOTECHNICAL ENGINEERING BUREAU Provides technical services and assistance to Regions, when required, or as requested, including lab test result summaries and special reports prepared by the Geotechnical Engineering Bureau. 9.2.1.6 Project Construction Stage 1. REGIONAL CONSTRUCTION GROUP Requests the Regional Geotechnical Engineer to attend or provide: a. Preconstruction geotechnical meeting. b. Preblasting meeting. c. Sampling and testing of granular material. d. Advice on quality of stone fill and riprap. e. Earthwork inspector training and equipment (state-inspected contracts). f. Geotechnical construction advice. Receives requested test data, training, and equipment. 2. REGIONAL GEOTECHNICAL SECTION Requests technical assistance from the Geotechnical Engineering Bureau, when required; Provides requested test data, services, training, equipment, and reports to the Construction Division. 3. GEOTECHNICAL ENGINEERING BUREAU Provides: Test data (subbase, gravel, underdrain filter, compaction curves, topsoil). Project testing equipment, training and supplies (for state-inspected contracts). Technical assistance for constructing soils-related items. Services: Inspections, reports, pavement design. Stone filling and riprap evaluation. Presplitting and rock excavation inspection. Water-well installation. Instrumentation. Vibration monitoring. Recommendations on field construction problems. Length analysis of piles for structures. Analysis of pile-driving equipment. Inspection of rock foundations. Review of orders-on-contract. Preconstruction, preblasting meetings. 9.2.1.5 10/29/10

SOILS, WALLS, AND FOUNDATIONS 9.2.2 Subsurface Explorations

9-7

The subsurface exploration program is an integral part of any comprehensive geotechnical engineering program. Unlike working with materials such as steel and concrete, whose properties can be specified and controlled, designers and contractors are forced to work with the subsurface conditions present at the site. Soil strength, rock location, ground water conditions, susceptibility to settlement, and soil behavior under various conditions cannot be specified. Due to the fact that these properties can be highly complex and variable, they need to be accurately characterized. Subsurface explorations are progressed in order to determine the characteristics of the material that must be removed to complete the project or upon which the project will be supported. Prior to the practice of geotechnical engineering (Pre-1930s), civil engineering projects were constructed by trial and error, or over-designed so much that failure was impossible. With the advent of the science of soil mechanics, it became possible to design projects to be built in conditions that previously would not have permitted construction. However, it is imperative that the geotechnical engineer have an adequate knowledge of the subsurface conditions at the site to produce an appropriate design. Proposed structure locations, including retaining wall locations, require extensive exploration since the soil conditions have great influence on their foundation design. An initial investment into a subsurface exploration program will produce an appropriate, properly designed foundation saving costly failures or unnecessarily overly conservative designs. The quality of the subsurface exploration information has a direct bearing on the quality of the product produced by the geotechnical designer. In addition to quality, schedule needs often require a quick response. Geotechnical engineers need to have an understanding of the reliability of the information obtained from subsurface explorations. The subsurface exploration program includes borings, manual methods, and geophysical methods.

Figure 9.2-1a Drilling in Roadway

Figure 9.2-1b Drilling in a Parking Lot

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9.2.2

9-8

SOILS, WALLS, AND FOUNDATIONS

Figure 9.2-1c Drilling on Steep Terrain

Figure 9.2-1d Drilling on Ice

Figure 9.2-1e Drilling with an All-Terrain Vehicle (ATV) Drill Rig

Figure 9.2-1f Drilling on Soft Soils

Figure 9.2-1g Drilling off a Barge

9.2.2

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SOILS, WALLS, AND FOUNDATIONS

9-9

The value of proper subsurface explorations to the Department is to provide information to produce an economical, appropriate design that can be constructed quickly and safely while avoiding unanticipated subsurface conditions that would result in delays and orders-on-contract, or in extreme cases, premature distress or failure. All Regions, except Region 11, have assigned drilling titles to operate drill rigs. Drill rigs are purchased and maintained by the Office of Fleet Administration and Support. Supplies are purchased and provided by the Geotechnical Engineering Bureau. The Office of Design controls and allocates drilling titles. The subsurface exploration program is executed by Regional drill crews, and augmented by several different types of drilling contracts, including State-let, Consultant-let, Where-and-When, and Procurement. The knowledge, experience, and training of State drillers are essential to maintain quality assurance of contract drilling operations, as well as quality control of State drilling. The Geotechnical Engineering Bureau and Regional Geotechnical Engineers are knowledgeable in the types of contracts available, and can assist the designer in assessing the need for one, determining the most appropriate type, and assembling it. The Regional Geotechnical Engineer or consultant will prepare a log of the subsurface exploration. This log includes elevation and location data for this exploration. The Regional Geotechnical Groups utilize a Global Positioning System (GPS) receiver to obtain the location data for the log. In addition, the Regional Geotechnical Group will work closely with Regional survey forces to obtain information on bench marks in the area to establish the elevation for the subsurface exploration. If borings are done by contract, the consultant or contractor provides the elevation and location data to the Regional Geotechnical Engineer. Exploration methods are varied, including disturbed-sample (or split-barrel) and undisturbedsample drill holes, auger holes, probe holes, test pits, rock-core drilling, observation wells, geophysical exploration, the cone penetrometer, retractable-plug sampling, and falling weight deflectometer. Other methods of exploration, such as seismic survey, are also used in certain circumstances. Some methods of subsurface exploration, such as seismic survey, are performed by Geotechnical Engineering Bureau personnel. Other methods less commonly used will be obtained through contract. Obtaining subsurface explorations should be considered as early in the project development process as possible.

9.2.2.1 Split Spoon Sampling This is the most common type of exploration. Drilling and sampling basically involve three operations: (1) driving a pipe (casing) to a desired depth, while recording the effort used (by blow counts), (2) removing loosened material from inside the casing, and (3) sampling material below the casing with one of several tube-like samplers. The casing keeps the hole open for the sampler. When occasionally a casing pipe is not used, the hole is kept open by filling it with a slurry called driller's mud. The sampler is a cylindrical tube about 2 ft. long. Once the soil sample is entrapped in it, the sampler is removed from the hole. It is fabricated so that the cylindrical tube can be opened (split) longitudinally, exposing the sample for examination and removal. This method is called disturbed or split-barrel sampling, providing samples used for identification and classification.

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9.2.2.1

9-10

SOILS, WALLS, AND FOUNDATIONS

Additional information on the Standard Penetration Test (SPT) can be found in AASHTO T206 /ASTM D1586 Penetration Test and Split-Barrel Sampling of Soils(5e).

Figure 9.2-2a Split Spoon Sampler

Figure 9.2-2b Split Spoon Sampler Opened (Split) The term "driving" implies dropping a specific weight from a certain height onto the end of the casing or sampler. The effort or "blow counts" required to drive the sampler, as well as the casing, are evaluated by the Regional Geotechnical Engineer as indicators of soil properties. A variation of this process is the hollow-flight auger. The hollow-flight auger is a mechanically or hydraulically powered, helical instrument. Its core or stem is a hollow cylinder large enough in diameter to accept a disturbed or split-barrel sampler. The helix extends to the length of the hole and acts much like a casing. The sample is removed through the hollow stem. Unfortunately, although this method of progressing the exploration is often faster and easier than driving a casing, valuable casing blow data is not acquired.

Figure 9.2-3a Drilling with Augers

Figure 9.2-3b Hollow-Flight Auger with Split Spoon Sampler

9.2.2.1

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SOILS, WALLS, AND FOUNDATIONS 9.2.2.2 Undisturbed-Sample Drill Holes

9-11

The purpose of this type of exploration is to acquire a sample in as near an undisturbed condition as possible, and it is used primarily in deposits of cohesive soil. By obtaining an undisturbed sample and mimicking the in-situ, or in the original location, conditions, soil sample tests are used to enhance a subsurface profile, provide data on soil properties, and obtain parameters for empirical analysis and design applications. The method is similar to that for the drilling and sampling operation described in 9.2.2.1 Split Spoon Sampling, except for the sampling technique. The sample is taken by pressing a thin-walled tube sampler into the soil. The sample is then sealed into the tube, and tube and sample are sent to the Geotechnical Engineering Bureau laboratories. Samples are tested and analyzed to determine the soil's inherent strength and settlement characteristics. Additional information on undisturbed soil sampling can be found in AASHTO T207 /ASTM D1587 Thin-Walled Tube Sampling of Soils(5f).

Figure 9.2-4a Undisturbed Sampling (Setting Sampler)

Figure 9.2-4b Undisturbed Sampling (Breaking Down Sampler)

Figure 9.2-4c Undisturbed Sampling (Sealing Sample with Wax)

Figure 9.2-4d Undisturbed Sampling (Capping Sample and Securing for Delivery to Lab)

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9.2.2.2

9-12

SOILS, WALLS, AND FOUNDATIONS

Figure 9.2-4e Extracting Undisturbed Soil Sample in Lab

Figure 9.2-4f Undisturbed Soil Sample Testing: Triaxial Test

Figure 9.2-4g Undisturbed Soil Sample Testing: Consolidation Test 9.2.2.3 Auger Holes This is another common type of exploration, and involves drilling an auger into the ground, either manually or mechanically, and extracting a sample for identification and classification. The manual auger is similar to a post-hole digger and usually varies in diameter from 2 in. to 6 in. This type of exploration is limited by soil condition, groundwater level, and energy of the operator. A power auger hole is made by a solid-stem, helical auger. Soil samples are taken from the flights. Those thus acquired are very disturbed, and it is uncertain at what depth they were encountered.

9.2.2.3

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SOILS, WALLS, AND FOUNDATIONS 9.2.2.4 Probe Holes

9-13

This type of exploration consists of driving a rod into the ground until it is stopped by an obstruction, and is used primarily to determine if rock will be encountered during construction. However, samples are not acquired using this method, nor is it certain if refusal is actually caused by bedrock, a boulder, compact soil, or some other buried hard object.

Figure 9.2-5a Probe Hole (Progressed via Poyne Jar) 9.2.2.5 Test Pits

Figure 9.2-5b Probe Hole (Jack to Extract Rods)

These are simply manually or mechanically dug holes, often large enough for persons to work in, used to investigate subsurface strata, determine groundwater conditions, or sample granular material sources. They are particularly useful in examining characteristics of landfill deposits. Small test pits may be used as percolation test pits or holes. Basically, a small 1 ft. 3 or 2 ft.3 hole is dug and flooded with water. The percolation rate (or speed of the water level dropping in the hole) is related to the soil's permeability. 9.2.2.6 Rock Core Drilling This is done in conjunction with a drill hole. A cylindrical sample of rock is taken in a sampler fitted with a diamond-toothed cutting bit. The resulting rock core is examined by an Engineering Geologist who determines the type of rock, its structural condition, the slope to which it may be safely cut, and its bearing capacity.

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9.2.2.4

9-14

SOILS, WALLS, AND FOUNDATIONS

Figure 9.2-6a Extracting Rock Core Sample

Figure 9.2-6b Labeled & Boxed Rock Core

Figure 9.2-6c Point Load Test Set-Up

Figure 9.2-6d Point Load Test (Testing A Rock Core)

Figure 9.2-6e Unconfined Compression Test

Figure 9.2-6f Unconfined Compression Test (Instrumented Rock Core)

9.2.2.6

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SOILS, WALLS, AND FOUNDATIONS 9.2.2.7 Observation Wells and Piezometers

9-15

Occasionally holes are drilled to sample and/or measure depth to groundwater. Samples are sometimes tested for chemical or biological content. Both sampling and storage of samples must be carefully controlled. Since groundwater level fluctuates, the drill hole casing may be left in place, or a perforated tube may be left in the hole, for access in further monitoring of groundwater depth determinations on a predetermined schedule. This is commonly called a water observation well, but is more correctly referred to as an open-well piezometer.

Figure 9.2-7 Typical Pore Water Pressure Monitoring Installation The important distinction is that an open-well piezometer isolates the soil layer in question, and an observation well does not. Water observation wells are not recommended. More accurate measurements of pore water pressure are occasionally called for, requiring the installation of vibrating wire piezometers, which may be read remotely.

9.2.2.8 Geophysical Exploration Depth to rock may be determined remotely by seismic refraction methods. This consists of introducing an impulse of energy into the soil, and computing the velocity of this seismic energy wave through various earth and rock strata. Results should be monitored or verified with drill holes.

Figure 9.2-8 Seismic Refraction 10/29/10 9.2.2.7

9-16 9.2.2.9 Cone Penetrometer

SOILS, WALLS, AND FOUNDATIONS

This involves a two-piece probe consisting of a cylindrical sleeve with a separate conical tip. As the probe is pressed into the ground, pressure meters measure resistance to penetration by the sleeve and conical tip. These measurements correlate to strength of the soil, but no samples are acquired, and resistance of the soil to penetration can severely limit the depth of exploration.

Figure 9.2-9a(5g) Collapsed Mechanical Cone Penetrometer Tip (Dutch Mantle Cone) (metric values)

Figure 9.2-9b(5g) Extended Mechanical Cone Penetrometer Tip (Dutch Mantle Cone) (metric values)

Figure 9.2-9c(5g) Collapsed Mechanical Figure 9.2-9d(5g) Extended Mechanical Friction-Cone Penetrometer Tip Friction-Cone Penetrometer Tip Begemann Friction-Cone) (metric values) (Begemann Friction-Cone)(metric values)

9.2.2.9

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SOILS, WALLS, AND FOUNDATIONS 9.2.2.10 Retractable-Plug Sampling

9-17

This is a hand-driven tube fitted at its end with a pointed plug. When the tube (normally of 1 in. diameter) reaches the sampling depth, the plug is retracted and a thin-walled sampling tube is forced into the soil. The tube and entrapped sample are then removed. The device is highly portable, but severely limited and cannot be used in coarse soils or for deep explorations.

Figure 9.2-10 Retractable-Plug Sampling Equipment (Hammer, Drive Head, Tube, and Brass Sampling Tubes) 9.2.2.11 Falling-Weight Deflectometer The falling-weight deflectometer is a trailer-mounted device that exerts a load on the pavement and records the response of the pavement structure to this loading. The recorded data is analyzed to determine the competency of the existing pavement structure and to determine parameters, such as resilient modulus, to assist in pavement design. The falling-weight deflectometer testing is performed by the Highway Data Services Bureau.

Figure 9.2-11 Falling-Weight Deflectometer (FWD)

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9-18

SOILS, WALLS, AND FOUNDATIONS

9.3 SOIL AND FOUNDATION CONSIDERATIONS Investigations described in Section 9.2 define and analyze soil and pavement conditions, so that adequate and economical solutions for any soil- or rock-related problems may be incorporated into the design. Those encountered unexpectedly during or after a project's construction are more expensive and usually more difficult to solve than those identified and solved during design. Nearly every project involving a significant amount of earthwork will encounter a soilrelated problem. Most are relatively simple, requiring only a field evaluation and application of the proper solution. (Examples are underdrains, undercutting, or slope protection, as recommended by the Regional Geotechnical Engineer.) However, some are complex, requiring extensive exploration, testing, analysis, and construction control procedures. The Regional Geotechnical Engineer has direct access to the Geotechnical Engineering Bureau, which has testing facilities and engineers and geologists specially trained in soil and rock mechanics to solve these complex geotechnical problems. Obviously, critical soil-related situations should be avoided, but critical soil deposits are often hidden. Soil should be explored and analyzed as plans progress, to assure that all avoidable soil-related problems are exposed and avoided. The following sections describe some of the more common soil and foundation conditions, and some treatments that must be considered by the designer and Regional Geotechnical Engineer. Since most solutions affect other significant project design considerations, such as right-of-way requirements, they must be identified and resolved early in plan development.

9.3

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SOILS, WALLS, AND FOUNDATIONS 9.3.1 Alignment

9-19

A highway's profile has a major effect on project considerations. From a geotechnical perspective, the optimum section is generally a fill 6.5 ft. to 10 ft. high. A 6.5 ft. fill will usually bridge minor irregular soil deposits, by providing room to build a working platform on soft, unstable deposits. In addition, a 6.5 ft. profile is more likely to be free of subsurface drainage problems than a cut or profile that leaves the roadway near the level of the surrounding terrain. Except for extremely weak soil deposits, a 10 ft. fill will usually be stable, but this optimum profile may not be attainable because of other considerations, such as costs or effects on adjacent properties. If cuts must be made, they should be of significant depth, as opposed to skim cuts in the upper, more-variable horizons of the soil deposit. However, location of the water table must be considered and if possible avoided. Profiles involving shallow (skim) cuts and fills, with numerous cut-fill interfaces thus will usually result in numerous subsurface drainage and foundation problems. These are difficult and costly to correct and should be avoided, if at all possible. As a rule of thumb, side-hill cuts are not desirable from a geotechnical viewpoint. If other alignment considerations permit, it is preferable to locate a cut so its alignment cuts directly into the contours of the land, as opposed to being at a skew to them.

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9-20

SOILS, WALLS, AND FOUNDATIONS

9.3.2 Resurfacing, Restoration, and Rehabilitation (3R) A highway requires 3R work when its surface no longer performs its function in an acceptable manner. The cause of this malfunction may be merely its age, but it often results from inadequate drainage or poor subbase or subgrade conditions, rendering it incapable of adequately supporting traffic loads. A satisfactory roadway is founded on a properly drained, uniform, firm subbase and subgrade. Poor subbase or subgrade conditions must be corrected before resurfacing. Adequate pavement and shoulder drainage is necessary for the subbase and subgrade to function properly. Any deficiencies in such drainage should be corrected by cleaning, deepening, or constructing ditches (refer to Chapters 3 and 10 of this manual for desired details and location), or installing edge drains, or some combination of these treatments. Since these may constitute a significant portion of the total project cost, the project developer and/or designer should consult the Regional Geotechnical Engineer (RGE) early in development of the project. As appropriate, the RGE should also be included on the scope team. The Regional Geotechnical Engineer will work with the Regional Materials Engineer in preparing an evaluation of existing pavement and shoulder structures, and the foundation and drainage conditions necessary for the project's proper scoping and design.

9.3.2

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SOILS, WALLS, AND FOUNDATIONS 9.3.3 Widening

9-21

Pavements are often widened in conjunction with resurfacing. To avoid post-construction differential settlement between the old pavement and added portion of roadway, the additional pavement must be as firm as the existing pavement structure. Thickness of the existing pavement, including the existing subbase, should be determined by reviewing record plans, coring, or other suitable means. Pavement and subbase of the widening should be no thinner than the total existing pavement and subbase. The widening should not impede surface or subsurface drainage of the existing roadway. Crossslopes providing internal drainage of the existing pavement and subbase must continue across the widened portion. The entire new width of pavement and shoulders must have proper drainage. Where right-of-way or other restrictions preclude adequate ditches, edge drains or stone-filled trenches should be considered. To widen the pavement and/or raise the existing profile, the existing embankment often must be widened. Soil conditions in the area of this widening should be thoroughly explored in order to design measures avoiding potential problems of stability or settlement. Benching the existing embankment slope is also usually required, as shown on the standard sheet titled "Earthwork Transition and Benching Details."

Figure 9.3-1 Embankment Widening Utilizing Benching

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9.3.3

9-22 9.3.4 Settlement

SOILS, WALLS, AND FOUNDATIONS

Most highway settlement problems result from consolidation of foundation soil due to a static load, such as an embankment. This settlement is caused by both rearrangement of soil particles and extrusion of water from pores or voids in the soil mass. Two aspects of settlement must be considered -- quantity and time. The solution must resolve both quantity and duration of settlement in a practical manner. This settlement may be substantial (several feet) or may seem insubstantial (fractions of inches), but the designer should recognize the differential effects of even a small settlement adjoining a rigid object, such as a pile-supported structure. The most likely solution to a settlement problem is reducing the load by lowering the profile. If the profile cannot be adjusted, one method of reducing the amount of settlement is using lightweight fill. Available types and sources can be suggested by the Regional Geotechnical Engineer and the Geotechnical Engineering Bureau.

Figure 9.3-2a Lightweight Fill- Expanded Polystyrene Blocks (EPS)

Figure 9.3-2b Lightweight Fill- Expanded Polystyrene Blocks (EPS)

Figure 9.3-2c Lightweight Foamed Concrete

Figure 9.3-2d Lightweight Foamed Concrete

9.3.4

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SOILS, WALLS, AND FOUNDATIONS

9-23

Figure 9.3-2e Lightweight FillTire Shreds

Figure 9.3-2f Lightweight FillTire Shreds

Figure 9.3-2g Lightweight FillPumice

Figure 9.3-2h Lightweight FillPumice

Figure 9.3-2i Lightweight FillExpanded Shale

Figure 9.3-2j Lightweight FillExpanded Shale

Effects of consolidation on the finished project are sometimes reduced by a waiting period. This is a designed delay in construction sequence after building the embankment but before placing the pavement or structure. A surcharge is sometimes used in conjunction with the waiting period. By building the embankment higher than the final grade, a surcharge imposes a load on

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9.3.4

9-24

SOILS, WALLS, AND FOUNDATIONS

the underlying soil that exceeds the final embankment load. By selecting the appropriate surcharge load and duration of loading, most post-construction settlement may be eliminated.

Figure 9.3-3a Surcharge of Approach Embankment (Additional Fill)

Figure 9.3-3b Surcharge of Approach Embankment (Instrumentation of Fill)

As previously stated, some settlement is associated with extrusion of water from voids in the soil mass. Permeability of the soil and distance the water must travel determine the duration of settlement. The distance may be reduced by using sand or wick drains. Sand drains are vertical columns of porous sand constructed through the compressible layer at predetermined spacings. Wick drains are prefabricated continuous drainage elements pushed through the compressible layers to a specified elevation. Water collected by these drains is then allowed to flow away from the area by sand blankets and drainage ditches.

Figure 9.3-4a Wick Drain Installation (Layout of Drains)

Figure 9.3-4b Wick Drain Installation (Instrumentation of Some Drains)

These methods of solving settlement problems require detailed analysis and design, involving undisturbed sampling and laboratory testing. Settlement-monitoring devices, such as settlement stakes, surface and subsurface settlement gages, or piezometers are often required to determine if the treatment method is effective. Potential for settlement problems and their alleviation are specialties requiring the designer to consult the Regional Geotechnical Engineer during development of plans.

9.3.4

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SOILS, WALLS, AND FOUNDATIONS

9-25

Figure 9.3-5 Example of Data Collection from Settlement-Monitoring Devices

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9.3.4

9-26 9.3.5 Stability

SOILS, WALLS, AND FOUNDATIONS

When a load (such as is imposed by an embankment or structure) exceeds the soil's strength, the soil fails -- this is a stability problem.

Figure 9.3-6 Deep-Seated Slope Failure Figure 9.3-7 shows a classic embankment stability failure. Typically, failure movement is rotational around an imaginary point located somewhere above the embankment slope. The embankment to the left of this imaginary point of rotation forms the driving force and the material to the right is the resisting force. When driving force exceeds resisting force and natural shear strength of the soil, the mass rotates around the point of rotation until equilibrium is attained.

Figure 9.3-7 Stability Failure of an Embankment

9.3.5

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SOILS, WALLS, AND FOUNDATIONS

9-27

One practical solution to a stability problem is reducing the driving force by lowering the profile. Since a change in profile usually has a significant effect on other elements of highway design, it is important that maximum safe embankment height be established early in project design. Another solution is a stabilizing berm as shown in Figure 9.3-8. Resisting force is increased by the weight of the stabilizing berm. Normally, earth-fill slopes are no steeper than 1 vertical on 2 horizontal, and flattening the slope is a variation of this concept that sometimes suffices and may have traffic safety benefits.

Figure 9.3-8 Embankment with Stabilizing Berm

Figure 9.3-9 Constructed Stabilization Berm

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9-28

SOILS, WALLS, AND FOUNDATIONS

A third common solution is staged construction. The nature of most soil is that its strength will slowly increase under an imposed load, which occurs as water is squeezed out of the soil's pore spaces. Staged construction consists of raising the embankment to intermediate levels and delaying subsequent loading until the anticipated strength increase is realized. Sand drains or wick drains (described in Section 9.3.4 "Settlement") are sometimes used in conjunction with staged construction to accelerate the strength buildup and reduce the waiting time at the intermediate stages. These three solutions are common, but cannot be applied indiscriminately. Once the potential for failure is recognized, a thorough investigation is required, including field studies, extensive sampling, testing, and analysis. As noted at the beginning of this section, a problem's solution may have marked effects on the entire project. An actual failure is usually highly undesirable, as well as expensive to correct. Benching is steps cut into an existing sloping surface to discourage the imposed new embankment's tendency to slide down the slope. It may be required where embankments are placed against or on a sloping surface, such as a hillside or existing embankment slope. Crosssections should be reviewed to determine the need for benching. They are constructed as shown on the standard sheet titled "Earthwork Transition and Benching Details." Contract documents and highway cross-sections should indicate this work, and sufficient quantities of earthwork estimated for this purpose as indicated on the standard sheet.

9.3.5

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SOILS, WALLS, AND FOUNDATIONS 9.3.6 Embankment Foundation

9-29

9.3.6.1 Stripping (Topsoil Removal) Topsoil and sod removal is normally required beneath low embankments (where the final pavement grade is 6 ft. or less above the existing ground surface), for some structure foundations, and on earth cut areas before general excavation when excavated material is to be used for embankment construction. Although topsoil and sod are considered unsuitable materials for embankment construction, they are valuable natural resources. Topsoil excavated under an excavation item may be stockpiled for appropriate use on the project under Section 613 of the Standard Specifications. The Regional Geotechnical Engineer advises the designer and Regional Landscape Architect of the extent and estimated depths of topsoil removal (stripping) for each project. The quantities to be removed are shown on the highway crosssections and included in the highway estimate. Where bridge structures are placed on fills less than 10 ft. high (measured from the original ground surface to the theoretical gradeline), topsoil and sod must be removed. Lateral limits of removal are defined by a rectangular or trapezoidal area bounded by lines extending 1.6 ft. horizontally from the outer footing limits, or to the toe of the fill, whichever is less. The Regional Geotechnical Engineer may require removal of topsoil under structures when the fills are higher than 10 ft. Under certain circumstances, it is desirable to leave topsoil and sod in place beneath embankments less than 6 ft. high, as when a thin layer of topsoil overlays fine-grained material in areas with a high water table. Removal of sod and topsoil could create an unstable condition in the underlying soil. The Regional Geotechnical Engineer identifies these areas, which the designer must clearly delineate on the plans.

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9-30 9.3.6.2 Unsuitable Material

SOILS, WALLS, AND FOUNDATIONS

The term "unsuitable" as used here describes any material containing vegetable or organic matter (such as muck, peat, organic silt, topsoil, or sod) that is not satisfactory for use in embankment construction under 203-1.08 of the Standard Specifications. Certain man-made deposits of industrial waste, sludge, or landfill may also be found unsuitable, as well as soils contaminated with hazardous waste as determined by the Department of Environmental Conservation (NYSDEC). As a general rule, when unsuitable material is encountered, it is removed and replaced with suitable material as shown on the standard sheet titled "CONSTRUCTION DETAILS UNSUITABLE MATERIAL EXCAVATION AND BACKFILL. However, nature does not always adapt itself to a standard. The treatment method described by the standard sheet, although the most common, is not always the best for an unsuitable material deposit. Special treatment methods for organic deposits also include displacement and close-order excavation and backfill. The volume of unsuitable material to be removed and the required backfill must be determined during design. This information must be clearly presented with excavation and backfill payment lines in the contract documents. Reference should be made to the Standard Sheet entitled CONSTRUCTION DETAILS UNSUITABLE MATERIAL EXCAVATION AND BACKFILL. Various methods are acceptable for presenting this information such as contours showing the bottom of removal, or a table indicating depth of removal at each section or at each exploration location. Occasionally, construction has been necessary through or across landfills. By their nature, these deposits are variable and subject to extreme differential settlements. If this material is to be excavated, provisions should be made to ensure conformance with NYSDEC regulations regarding hazardous waste and to account for possible release of odorous gasses, spontaneous combustion, and pest control. Undercutting, dynamic compaction, and heavy rolling have been successful alternatives to complete removal. The deposit is undercut to provide a depth of at least 4 ft. between the final pavement surface and the landfill material. Heavy rolling of the landfill surface will usually accomplish some degree of uniformity by densifying its upper portion. Alternative technologies to heavy rolling exist, and should be evaluated by the Regional Geotechnical Engineer. This work is difficult, costly, and timeconsuming, usually requiring services of specialty contractors. If possible, the best technique is to avoid areas known or suspected of containing such unsuitable material. Any of these foundation treatments, including that outlined in the standard sheet just mentioned, require extensive exploration, analysis, and design by the Regional Geotechnical Engineer. The quantity of work must be clearly indicated on the plans.

9.3.6.2

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SOILS, WALLS, AND FOUNDATIONS 9.3.6.3 Unstable Material

9-31

"Unstable" defines soils requiring special consideration because of their moisture content. They contain large portions of fine sand, silt, or clay, and are usually located at or below the groundwater level. These soils are suitable for embankment construction if their moisture content is reduced. An unstable foundation is most efficiently treated by raising the profile to avoid disturbing the wet, fine-grained material. If construction on unstable material cannot be avoided, special measures should be provided. Ditches may provide adequate drainage to stabilize the soil sufficiently. On advice of the Regional Geotechnical Engineer, temporary ditches may be required to expedite construction, and may or may not be incorporated into the final work. On occasion, unstable soil conditions are encountered at the subgrade surface. In this situation the soil is usually fine-grained, inorganic, and saturated. It is incapable of supporting normal construction operations and would result in poor pavement performance if the pavement could be constructed. Along with the ground water level that results in the saturated soil condition, the instability may also be the result of liquefaction of the fine-grained soils by the action of vibrating compaction equipment. Unstable material may have to be undercut to provide a stable foundation. This involves removing and replacing it with a more granular material less susceptible to the negative effects caused by water or excessive moisture content. In some cases, undercutting may be eliminated or reduced by using a geotextile or geogrid that allows water to pass through but retains the soil particles. There are several methods for treating the unstable condition. Drain the area by means of ditches or underdrains to reduce the degree of saturation of the soil. Unfortunately, the terrain topography is frequently low and flat, precluding this option. Raise the profile to place the subgrade sufficiently above the unstable materials so that an adequate working platform can be constructed. Constraints such as design criteria and right of way may limit this option. Horizontal realignment to avoid the site of the unstable soil is even more subject to the constraints of design criteria and right of way, and is rarely viable. The most common treatment of an unstable subgrade is to undercut and replace some of the unstable material with granular material that will be stable in the wet environment. Undercuts of 2 ft. are common. Geotextiles are usually placed at the bottom of the undercut to act as a separator. This depth of removal and replacement (determined by trial and error) may be reduced substantially by the use of geogrids. The Regional Geotechnical Engineer should be consulted for the appropriate method of treating an unstable material, with such measures incorporated into the plans.

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9.3.6.3

9-32 9.3.7

SOILS, WALLS, AND FOUNDATIONS Geotechnical Design Guidance for Stormwater Management and Erosion and Sediment Control

Soil erosion and sedimentation are natural results of surface water flow wearing away unprotected soil and then depositing it, usually at a lower elevation. See Chapter 8 for information the designer must consider in designing surface drainage facilities to minimize and control soil erosion and sedimentation both during construction, with the implementation of erosion and sediment control items, and on the completed project, with the construction of stormwater management practices. Refer to the Regional Landscape Environmental Manager for information relating to appropriate management practices, including landscape design and ground cover as erosion control measures. To comply with the SPDES General Permit for Stormwater Discharges from Construction Activity GP-02-01, the Department will develop Stormwater Pollution Prevention Plans (SWPPPs) for all applicable projects in accordance with the New York State Stormwater Management Design Manual(8d). All SWPPPs will contain Erosion and Sediment Control (E&SC) Plans in accordance with the New York State Standards and Specifications for Erosion and Sediment Control(8c).

9.3.7.1 Erosion and Sedimentation Control Construction activities involving soil disturbances require erosion and sediment control measures. Section 209 of the Standard Specifications(2) provides specification provisions. See Chapter 4 (Section 4.3) of the Environmental Procedures Manual for information on procedures for determining the need for Erosion and Sediment Control Plans and coverage under stormwater general permits.

9.3.7.1.1 Stormwater Diversion The designer should determine how runoff will drain from the site. Natural drainage channels should not be altered or relocated without proper approvals. The design of the E&SC plan shall emphasize erosion control as the main component and sediment control subsequently. Diversion of surface water away from exposed soils provides the most economic and effective erosion control possible since it is more advantageous to control erosion at the source than to design controls to trap suspended sediment. The reduction of soil loss decreases the cost and maintenance of sediment control practices, reduces the risk of degrading natural resources and improves the overall appearance of the construction site.

9.3.7

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SOILS, WALLS, AND FOUNDATIONS 9.3.7.1.2 Project Segmenting

9-33

The Contractor is required to perform all construction operations using any and all methods at his/her disposal to minimize erosion and ensure sedimentation control on the project. Various E&SC practices are outlined in the New York State Standards and Specifications for Erosion and Sediment Control(8c). As stated in the manual, the best way to protect the soil surface and limit erosion is to preserve the existing vegetative groundcover. For large-scale earthwork projects adjacent to sensitive waterbodies, an additional technique available is called Project Segmenting. Project segmenting breaks-up the extent of the projects exposed surface into segments thereby minimizing disturbance to the existing, extensive vegetative groundcover and limiting potential erosion to more controllable areas. Project segmenting is a restrictive process and, if chosen, should be analyzed in conjunction with the projects overall proposed schedule. These segments, broken up into identified disturbed areas, are shown on the drawings and individually identified as one of the three following types: Balanced: In general, the earthwork needs of these segments are balanced within the segments themselves. Spoil Location Segment (Embankment Segment): These segments require additional embankment to be brought in from other locations. Borrow Source Segment (Excavation Segment): These segments provide excess material to be used for the construction of embankment locations. These areas are considered sources of borrow for embankment segments.

If this technique is chosen, the designer will develop an Earthwork Staging Diagram identifying each construction stage and a sequence of stabilized earthwork construction operations. The Contractor will be limited to the construction of only two (2) segments at any one time. The two segments may be a combination of two of the three types indicated above. At no time shall two of the same type of segments be allowed to be constructed at the same time. The Table of Earthwork Staging will provide a listing of the build segments within a construction stage. Build segments are a listing of segments (Balanced, Embankment or Excavation) by stationing, appropriate for the construction stage.

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9-34

SOILS, WALLS, AND FOUNDATIONS

Figure 9.3-10 Example Earthwork Staging and Erosion Control Plan

9.3.7.1.2

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SOILS, WALLS, AND FOUNDATIONS

9-35

Figure 9.3-11 Example Sequence of Stabilized Earthwork Construction Operations

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SOILS, WALLS, AND FOUNDATIONS

Table 9-1 Example Table of Earthwork Staging To Minimize Unprotected Earth

Table of Earthwork Staging To Minimize Unprotected Earth
Construction Stage Build Segment Disturbed Area (ft2) Stations Borrow or Waste Borrow Source Segment Borrow Source Disturbed Area (ft2) Waste Location Segment Waste Source Disturbed Area (ft2)

Detours D-1 & F-1 Mainline Shift 1 Mainline Shift 3 1A S8

16145 39288 73195 272327

S3+720 to S4+140 N7+380 to N7+930 S5+880 to S6+280 and Ramp A S4+700 to S5+140 S6+280 to S6+600 N3+700 to N4+280

Balanced Borrow Waste Borrow

Mainline Shift 3

73195 Mainline Shift 1 39288

N5 N14 S4

61892 53281 215278 S8 N2 N2 272187 226042 226042

S4 S9 N2 1B N1 Route X Detour Detour C-1 S3

215278 61354 226042

Waste Waste Borrow

S4 S9 S3 S3

215278 61354 151233 151233 N2 Route X Detour S1 226042 12379 189983

73733 12379 12379 151233

N3+280 to N3+700

S4+380 to S4+700

Balanced Borrow Balanced Waste

S1 S2 S6 S7 S5

189983 85573 129167 78038 126476

S3+580 to S4+100 S4+100 to S4+380 S5+380 to S5+640 S5+640 to S5+880 S5+140 to S5+380

Borrow Balanced Borrow Borrow Waste

S3 Offsite S5 S5

151233

1C

126476 126476 S6 S7 S12 129167 78038 141545

S12 S13 S10 S11 2A Northbound Crossover N7 Detour B-1

141545 37674 115174 40903 5167 31215 2476

N7+490 to N7+800 and Ramp F N7+800 to N8+200 S6+600 to N7+340 and Ramps C & D N7+340 to N6+100

Borrow Waste Borrow Balanced Borrow

S5

126476 S10 115174

S13 Route Y N4

37674 18299 181372

N5+900 to N6+100

Balanced Borrow N4 181372

2B (continues)

N10 Detours G-1 & E-2

69427 43056

N6+960 to N7+230

Borrow Balanced

N4

1181372

9.3.7.1.2

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9-37

The Contractor will not be allowed to begin earthwork operations (including clearing and grubbing) of a new segment until the current working segments are completed. A segment will be considered complete based on the following criteria: a. Embankment Segments: i. Embankment constructed to subgrade. ii. All slopes are trimmed, topsoiled, seeded, mulched, and erosion control blankets (when required) are installed. iii. Subbase course installed. (Note: Drainage structures are to be installed to final roadway grade. Runoff across the subbase course is to sheet flow to slopes, or is to be collected in temporary swales and diverted to sediment control structures). b. Excavation Segments: i. Excavated slopes are to be constructed to permanent payment lines from top of slope, down. (Note: It is not required that excavation segments be constructed to subgrade if the segment is not considered a build segment in the earthwork staging.) ii. All slopes are trimmed, topsoiled, seeded, mulched, and erosion control blankets (when required) are installed. iii. Top surface (non-slope) to be graded to drain to temporary swales and runoff diverted to sediment control structures. c. Balanced Segments: i. All disturbed areas are trimmed, topsoiled, seeded, mulched, and erosion control blankets (when required) are installed. ii. Excavation and/or embankments within the balanced segment are completed as stated in a. Embankment Segment and/or b. Excavation Segment as appropriate.

9.3.7.1.3 On-Site Material The erosion hazard for the soils within each project segment should be identified. An excellent resource available to categorize the erosion hazard is the Soil Survey produced by the Natural Resources Conservation Service (NRCS). The erosion hazard, as defined by the NRCS, is the probability that erosion can occur as a result of site preparation or cutting where the soil is exposed along roads. The erosion hazard ratings are based on the percent of the slope and are available from the descriptions of soil types as defined by the NRCS: Slight: A rating of slight indicates that no particular prevention measures are needed under ordinary conditions. Moderate: A rating of moderate indicates that erosion control measures are needed in certain activities. Severe: A rating of severe indicates that special precautions are needed to control erosion in most activities.

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9-38

SOILS, WALLS, AND FOUNDATIONS

The erosion hazard and type of soil are significant elements in influencing the turbidity of construction runoff. The SPDES General Permit states that there shall be no increase in turbidity that will cause a substantial visible contrast to natural conditions; there shall be no increase in suspended, colloidal and settleable solids that will cause deposition or impair the waters for their best usages and; there shall be no residue from oil and floating substances, nor visible oil film, nor globules of grease. Turbidity, defined as the measure of clarity of an otherwise clear liquid by using colorimetric scales, is noted as the cloudy or hazy appearance of a waterway caused by a suspension of colloidal particles and/or fine soil/ solid particles. This limit on turbidity has been set because high turbidity may interfere with disinfectant efficiency, may stimulate growth of microorganisms and may also adversely affect fish. The result of sediment settling out into the streambed often suffocates eggs and leaves the streambed unsuitable for future egg incubation. In addition, turbidity reduces the food supply for fish and their ability to find food. The suspended particles can also clog or damage fish gills, directly killing or harming fish. The rate at which eroded soil particles settle out of solution as sediment is largely determined by the size of the particle. Typical soil particle sizes are provided in the Geotechnical Test Procedure (GTP-2) manual published by the Geotechnical Engineering Bureau. Table 9-2(8g) Settling Velocities Of Soil Particles In Still Water (metric values)

Table 9-2(8g) is a chart presenting settling rates for various particle sizes. Larger particles, which typically weigh more, will settle out faster than a smaller particle. Extremely small particles form colloidal suspensions. A colloidal suspension is defined as an intimate mixture of two substances, one of which, called the dispersed phase (colloid or in this case the eroded soil particle), is uniformly distributed in a finely divided state through the second substance, called the dispersion medium (in this case the waterway). As noted in the chart, colloidal particles will remain in suspension for years or centuries.

9.3.7.1.3

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9-39

Discussion of the soil types and erosion hazard during the design phase may lead to revisions to the E&SC plan not only due to appropriateness but practicality. It is important for designers to identify the erosion hazard rating for a particular segment on the erosion and sediment control plans to provide field personnel with the appropriate information to promptly analyze any Contractors modification to the earthwork sequencing. By knowing the potential duration of the Contractors operation, impending weather conditions and the erosion hazard and type of soil in the segment in question, the Engineer will be able to direct the Contractor appropriately.

9.3.7.1.4 Material Sequencing Concerning off-site activities, NYSDOT contractors routinely use sites outside of the project limits to conduct operations relative to the highway project. Surplus material (spoil) disposal areas, borrow areas, equipment staging areas, and temporary concrete batch plant operations established for the duration of a construction project and having no proposed permanent feature shall be considered temporary construction activities and will require only temporary controls during construction, provided they are stabilized at the end of construction and that they do not exacerbate fluctuations in water quantity leaving the site. The landowners of these sites will be the Operators as defined by the SPDES General Permit, and will be required to obtain permit coverage. NYSDOT will notify contractors of the need for permit coverage in such areas. NYSDOT will not include sites outside of the state right-of-way (except for easements, occupancies, and releases) in its permit coverage, but may include sites outside of the contract limits if the site is within the state right-of-way. Although the overall project may be a spoil or borrow job, each construction stage, including individual segments, should be analyzed to determine how the material from each segment will be utilized and if there is a need to identify additional spoil or borrow areas into the contract. As an example, a project may have large cuts (rock cuts) and large fills and the job may balance out. However, there are limitations to some construction operations such as material top size in the subgrade area. If the Contractor is pulling from a rock cut at the time he/she is to finish an embankment section, will he/she will be directed to borrow appropriate sized material or crush the material on-site (an additional operation not expected in an overall balance job). If the segments are not analyzed, these decisions will have to be made in the field which will result in extra material costs, filing of additional permits, and an overall delay claim.

9.3.7.2 Post Construction Stormwater Management Stormwater management practices are installed to minimize and control soil erosion and sedimentation on completed projects. See Chapter 8 of this manual for information regarding the design and implementation of acceptable permanent stormwater management practices and the development of Stormwater Pollution Prevention Plans (SWPPPs).

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SOILS, WALLS, AND FOUNDATIONS

9.3.7.2.1 Sizing of Stormwater Management Practices To compute water quantities to develop the size of a stormwater management practice, the New York State Stormwater Management Design Manual requires the use of the NRCS Technical Release TR55 Urban Hydrology for Small Watersheds. The designer shall review the appropriate Soil Survey of the watershed area to determine the category(s), or soil description(s), for the terrain to identify the appropriate Hydrologic Soil Group (A-D). The Hydrologic Soil Group, as defined by the NRCS, refers to soils grouped according to their runoff-producing characteristics. The chief consideration is the inherent capacity of soil bare of vegetation to permit infiltration. The slope and kind of plant cover are not considered but are separate factors in predicting runoff. Soils are assigned to four groups: Group A: Group A soils have a low runoff potential and high infiltration rates even when thoroughly wetted. They consist chiefly of deep, well to excessively drained sand or gravel and have a high rate of water transmission (greater than 0.30 in/hr). Group B: Group B soils have moderate infiltration rates when thoroughly wetted and consist chiefly of moderately deep to deep, moderately well to well drained soils with moderately fine to moderately coarse textures. These soils have a moderate rate of water transmission (0.15-0.30 in/hr). Group C: Group C soils have low infiltration rates when thoroughly wetted and consist chiefly of soils with a layer that impedes downward movement of water and soils with moderately fine to fine texture. These soils have a low rate of water transmission (0.05-0.15 in/hr). Group D: Group D soils have high runoff potential. They have very low infiltration rates when thoroughly wetted and consist chiefly of clay soils with a high swelling potential, soils with a permanent high water table, soil with a claypan or clay layer at or near the surface, and shallow soils over nearly impervious material. These soils have a very low rate of water transmission (0-0.05 in/hr).

If there is a question or concern expressed by the designer, the geotechnical engineer shall review the site. The geotechnical engineers site investigation, in addition to the above, should include an analysis of the surrounding soils to be compared with their research of the Soil Surveys. Their analysis may be based on visual observation of the soils within the watershed area or, if available, a review of any historical or recently progressed subsurface explorations. The geotechnical engineer will notify the designer of the appropriate Hydrologic Soil Group to be used in design of the features for the SWPPP.

9.3.7.2.1

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SOILS, WALLS, AND FOUNDATIONS 9.3.7.2.2 Design of Stormwater Management Practices

9-41

An associated design criterion for stormwater management practices is the analysis of the subsurface conditions. The New York Standards and Specifications for Erosion and Sediment Control recommends that the design of a sediment basin shall be designed and constructed to conform to NRCS Standard And Specification No. 378 for Ponds in the National Handbook of Conservation Practices and the NYSDEC, Guidelines for the Design of Dams. The NRCS Standard And Specification No. 378 for Ponds states under Geological Investigations that pits, trenches, borings, review of existing data or other suitable means of investigation shall be conducted to characterize materials within the embankment foundation, auxiliary spillway and borrow areas. The NYSDEC Guidelines for the Design of Dams states under Geological Investigations: Foundations, subsurface explorations (drill holes, test pits and/or auger holes) should be located along the centerline of the dam, at the proposed service and auxiliary spillway locations, and in other critical areas. It continues to describe recommendations concerning the depth of the borings. In addition, for even the smallest low hazard dams, at least three explorations should be made along the centerline of the dam, one in the deepest part of the depression across which the dam will be built and one on each side. In addition to sediment basins and/or permanent pools, the New York Stormwater Management Design Manual recommends for the design of stormwater infiltration practices that to be suitable for infiltration, underlying soils shall have an infiltration rate (fc) of at least 0.5 in. per hour, as initially determined from NRCS soil textural classification, and subsequently confirmed by field geotechnical tests (outlined in an Appendix). The minimum geotechnical testing is one test hole per 5000 ft2, with a minimum of two borings per facility (taken within the proposed limits of the facility). Soils shall also have a clay content of less than 20% and silt/clay content of less than 40%. If infiltration practices are chosen, the designer will need an understanding of the groundwater elevation or the presence of a protected aquifer and the soil gradation below the bottom of the feature or the presence of bedrock at the proposed site. In addition to these, if there is knowledge of springs in the area, it is important that this information be addressed in design as it will increase the overall water treatment volume. The designer and geotechnical engineer shall discuss the proposed stormwater treatment practices and the appropriateness, location and quantity of subsurface explorations. One essential element in the analysis of the subsurface conditions to be defined for these practices is permeability. Permeability is the capacity of a porous rock, soil, or sediment for transmitting a fluid without damage to the structure of the medium (also known as conductivity; perviousness). An additional term used to describe movement of water through the soil surface into the ground is infiltration. The Pond Conservation Practice Standard states under Geological Investigations that seepage control is to be included if (1) pervious layers are not intercepted by the cutoff, (2) seepage could create swamping downstream, (3) such control is needed to insure a stable embankment, or (4) special problem require drainage for a stable dam. The Guidelines for the Design of Dams states under Geological Investigations: Foundations, whenever feasible, seepag e under the dam should be controlled by means of a complete cutoff trench extending through all pervious foundation soils into a relatively impervious soil layer. It continues to describe recommendations concerning the cutoff or key trench.

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9-42

SOILS, WALLS, AND FOUNDATIONS

Table 9-3(8h) Permeability and Drainage Characteristics of Soils (metric values)

Table 9-4(8h) Coefficients of Permeability of Common Natural Soil Formations (metric values)

9.3.7.2.2

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SOILS, WALLS, AND FOUNDATIONS

9-43

If subsurface explorations are progressed, the following additional test procedures are available to provide the designer with an understanding of the coefficient of permeability and/or infiltration rate at the site: Specific Surface Analysis: The Geotechnical Engineering Bureau has a test procedure to determine the specific surface of soil solids from grain size distribution data, GTP-5 Test Procedure for Specific Surface Analysis. The specific surface of solids, along with the porosity, may be used in determining the saturated permeability of a cohesionless granular material. The soil from the jar samples (of appropriate elevations) obtained from the subsurface exploration is tested. The test method involves (1) performing a grain size analysis of the soil specimen, (2) examining the shape characteristics of the grains contained in each sieve interval, and (3) an arithmetic or computer calculation of the specific surface. Limitations: There is a limitation on the test procedure. If the soil sample contains more than 5% passing the No. 200 sieve, the specific surface analysis is not performed. In addition, even though the value for the specimen may be correct, the results of the tests may differ from the actual field permeability for reasons explained in the appendix of GTP-5. Drill Hole Infiltration Test: Conduct a drill hole infiltration test in accordance with Appendix D of the NYS Stormwater Management Design Manual. Additional information on drill hole permeability tests are described in Soil Mechanics DM 7.1. The factors affecting the performance and applicability of the drill hole permeability test include; (1) position of the water level, (2) type of material (rock or soil), (3) depth of the test zone, (4) permeability of the test zone, and (5) heterogeneity and anisotropy of the test zone. To account for these factors, it is necessary to isolate the test zone. The determination of the test zone is critical to the design of the stormwater treatment feature. Typically, to identify the subsurface strata, two subsurface explorations would be progressed within 5 ft. of each other. The first subsurface exploration would identify the soil strata by progressing the hole and obtaining continuous samples. The hole should be progressed to a sufficient depth to locate and determine the extent and properties of all soil and rock strata that could affect the performance of the feature. Typically, the minimum depth of the exploration should be 10 ft. or equal to the proposed height of the features berm, whichever is greater. However, if the feature is proposed to be excavated, the depth of the exploration should be extended to identify the possibility of exposing pervious foundation layers. The initial subsurface exploration should then be compared to the proposed stormwater feature design and the test zone identified. The second subsurface exploration would be progressed to perform the drill hole permeability test. The hole would be progressed to a sufficient depth to isolate the test zone. Methods to isolate the test zone are also provided in the Soil Mechanics DM 7.1. Limitations: Attempt to conduct the drill hole permeability test in clement weather. If there is heavy rain, snow, ice or freezing rain, the test will be re-scheduled. The subsurface explorations will be progressed with a drill rig. The designer should contact the Regional Geotechnical Engineer to determine the scheduling limitations. As with all subsurface explorations, the locations are to be identified and cleared as per 16 NYCRR Part 753 Protection of Underground Facilities.

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SOILS, WALLS, AND FOUNDATIONS

If subsurface explorations are not proposed and/or the following equipment is obtainable, a more common way of determining the coefficient of permeability at the site is a percolation test: Percolation Test: Percolation is defined as the gravity flow of groundwater through the pore spaces in rock or soil. A percolation test is typically used as a test to determine the suitability of a soil for the installation of a domestic sewage-disposal system, in which a hole is dug and filled with water and the rate of water-level decline is measured. The Department utilizes percolation data to determine infiltration rates. To provide national consistency, the NRCS Soil Surveys evaluated percolation rates of about 900 soils to define permeability classes (Uhland and ONeal (1951)). As the surveys evolved, the NRCS transitioned from permeability to the term saturated hydraulic conductivity. The NRCS recommended that the term saturated hydraulic conductivity be used for data expressed as a velocity and obtained by analysis using Darcys Law on saturated cores. The percolation test involves, as described in Soil Mechanics DM 7.1, digging a hole (generally 2 ft. square), or drilled (4 in. min.) to a depth of the proposed absorption trench, cleaned of loose debris, filled with coarse sand or fine gravel over the bottom 2 in., and saturated for a specified time. To eliminate any smearing during the excavation, the sidewalls should be scratched or scarified to provide open, natural soil which water may percolate. The percolation rate measurement is obtained by filling the hole to a prescribed level (usually 6 in.) and then measuring the drop over a set time limit (usually 30 minutes). In sandy soils, the time limit may be only 10 minutes. Limitations: Attempt to conduct the percolation test in clement weather. If there is heavy rain, snow, ice or freezing rain, the test will be re-scheduled. Typically, depending on the depth, the absorption trenches are dug with a backhoe. The scheduling to obtain the equipment and hauling to the site should be a consideration. The depth of the absorption trench needs to be evaluated to determine its safe and practical based on site constraints. Typically, a limit on the depth of an absorption trench is 5 ft. (4 ft. test pit with a 1 ft. infiltration test hole). As with all subsurface explorations, the locations are to be identified and cleared as per 16 NYCRR Part 753 Protection of Underground Facilities. The designers communication with the geotechnical engineer shall include discussion on the design approach for the stormwater management practices and the factors of safety in their design. Also, the geotechnical engineer shall point out to the designer the limited extent of the information obtained (breadth of visual review, size of a subsurface exploration or Soil Survey test pit vs. extent of the watershed) and the potential for encountering an undefined soil deposit or identifying a misrepresented extent of a soil deposit assumed in design within a stormwater management practice. Considering this and the particular design practice, the geotechnical engineer and designer should discuss the need to implement construction controls that can be interpreted so action can be taken to modify the design during construction if necessary.

9.3.7.2.2

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SOILS, WALLS, AND FOUNDATIONS 9.3.8 Underdrains and Edge Drains

9-45

Underdrains and edge drains are perforated, slotted or porous pipes, installed in trenches and surrounded by underdrain filter material that is both pervious to water and capable of protecting the pipe from infiltration of the surrounding soil. Underdrains are used to lower the groundwater level, drain slopes, help stabilize cut slopes, and prevent water from entering the pavement section from below. Edge drains remove water from the pavement section. Underdrains and edgedrains remove water by means of gravity flow. To function, they thus must be continuously sloped to an outlet, such as a drainage channel or a closed drainage system, to ensure that no intercepted water is allowed to accumulate and that any transported sediments do not settle out and block low points. Underdrains Underdrain efficiency depends on the soil's permeability and the depth to which the groundwater level must be lowered. The Regional Geotechnical Engineer must be consulted if it is proposed to lower the groundwater level by means of underdrains. Locations along the highway where future concentrations of water may require underdrains are sometimes difficult to predict during design, but some obvious locations for underdrains are areas of existing springs where a new highway is to be located, or where the pavement is located at the base of a side-hill cut, or on very long downhill grades where flow from infiltrated runoff and seepage zones tend to follow the direction of the pavement. For design purposes, it is recommended that quantities be estimated to provide for such underdrains. The Regional Geotechnical Engineer should be consulted to locate underdrains during design. Because underdrains are relatively expensive, good engineering requires discriminate application. Ideally, the invert of the underdrain should be at least 4 ft. lower than the nearest edge of pavement. In areas where this can not be accomplished, considerations should be given to filling the ditch with stone which may then be surfaced with a geotextile and soil or topsoil. Installation details for underdrains are shown in HDM Figure 9.3-12 [formerly shown on the Standard Sheets titled Installation Details for Circular and Elliptical Reinforced Concrete and Other Rigid Pipes superseded by EB03-010, and Installation Details for Corrugated Metal and Structural Plate Pipe and Pipe-Arches].

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9-46

SOILS, WALLS, AND FOUNDATIONS

Note: Consult with the Regional Geotechnical Engineer to determine subgrade soil type, effectiveness of underdrains and required depth to pipe invert. Figure 9.3-12 Pipe Underdrain Bedding and Backfill Details for Trench Installations

Edge drains Edge drain design for NYSDOT pavements extends 12 in. into the subgrade, functioning as an underdrain too, so underdrain items are specified for edge drains. Edge drain details depend on the highway geometry (e.g. superelevated, sag, etc.) as well as pavement section (e.g. curbing, permeable base, etc). For an edge drain to provide subsurface drainage of the pavement section, it must intercept the water-bearing layer as near as possible to the point of major concern. For instance, damage to conventional pavements because of subsurface water is usually most severe at the edge of traveled way. The edge drain thus should normally be placed at the pavement's vertical interface with the shoulder or curb (Figure 9.3-13).

9.3.8

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SOILS, WALLS, AND FOUNDATIONS

9-47

Figure 9.3-13 Edge-of-Pavement Drain: Curbed Section

In addition, the edge drain should intercept water from the highest water-bearing layer of the pavement section. In flexible pavements, this water is usually encountered in the asphalt base course. In rigid pavements, it is usually found between the concrete and subbase course. Typical edge drain installations for rehabilitation and restoration of conventional pavements are shown in the Comprehensive Pavement Design Manual (CPDM) Figures 7-6 & 7. In pavement sections that include permeable base, the edge drain should be in contact with the permeable base at the low points of its cross-section. That would include the lower sides of superelevated sections and both sides of normal sections. CPDM Figures 7-1, 2 & 3 show edge drain details for full-depth PCC over permeable base. CPDM Figures 7-4 & 5 show edge drain details for full-depth HMA with permeable base. Edge drains must be provided with lateral outlets to the roadway ditch or to appropriate structures in a closed storm-drain system. In practice, edge drains are normally placed in a trench dug after subbase construction. This method requires removing subbase and subgrade material, but it is used for ease of construction because it achieves uniform compaction of the roadway section, and adequately confines the underdrain filter material. For edge drain outlet installation details see CPDM Appendix 9A. These figures are not standard and may be modified, but the criteria described here should be considered.

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9.3.8

9-48

SOILS, WALLS, AND FOUNDATIONS

Preformed edge drains are also available, usually consisting of a ribbon of corrugated or dimpled plastic sheathed in an underdrain geotextile. The ribbons, referred to as Prefabricated Geocomposite Edge Drains (PGED) may be 2 ft. to 3 ft. wide or wider. PGED are installed by a machine that excavates a slit-trench, places the edge drain, and backfills and compacts the trench in one pass. PGED are particularly advantageous where an open trench is not wanted, and have also been used to provide drainage behind walls. Figures 9.3-14a through 9.3-14d show installation details for PGED. Complete guidance for PGED installation and use is contained in CPDM subsection 9.4.2.

Figure 9.3-14a PGED with Stone Backfill Detail: Adjacent to Full Depth Asphalt Pavement

Figure 9.3-14b PGED with Stone Backfill Detail: Adjacent to Concrete Pavement

9.3.8

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SOILS, WALLS, AND FOUNDATIONS

9-49

Figure 9.3-14c PGED with Existing Suitable Material Detail: Adjacent to Asphalt Pavement

Figure 9.3-14d PGED with Existing Suitable Material Detail: Adjacent to Concrete Pavement

Figure 9.3-14e PGED: Sample of Product

Figure

9.3-14f

PGED:

Drain

Unrolled

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9-50

SOILS, WALLS, AND FOUNDATIONS

Figure 9.3-14g PGED: Drain Installed Through Guides

Figure 9.3-14h PGED: Drain Installed (Outer side of Trench)

Figure 9.3-14i PGED: Granular Backfill Material (Pavement/Inner side of trench)

Figure 9.3-14j PGED: Capping Operation

As always, appropriate methods of pavement drainage should be discussed with the Regional Geotechnical Engineer.

9.3.8

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SOILS, WALLS, AND FOUNDATIONS 9.3.9 Cut Slopes

9-51

Cut-slope problems are perhaps the most troublesome of major geotechnical difficulties encountered in highway construction, and the hardest to anticipate during design. There are two failure types: shallow-seated and deep-seated. 9.3.9.1 Soil Slopes Shallow failures show up as sloughing or erosion of surface material on the cut slope.

Figure 9.3-15 Large Scale Surface Slough Solutions to earth-cut problems may require no more than regrading and reseeding, or in extraordinary circumstances applying a slope-protection blanket of granular material or a slope drain (see the standard sheet titled "Installation Details for Granular Fill -- Slope Protection"). However, one difficulty is predicting location of the failure. Normal methods of subsurface exploration do not usually indicate a potential shallow cut-slope problem. Accuracy of prediction depends largely on the experience of the Regional Geotechnical Engineer. It is thus essential that the designer consult the Regional Geotechnical Engineer to determine if this problem may be a critical design factor. For cut slopes where need for slope protection is obvious during design, based on subsurface investigation or observation of existing conditions, excavation required for placement of the stone blanket can be performed during normal excavation operations. However, in most cases actual need for the slope-protection blanket does not become apparent until after finishing normal excavation. In that case, excavation for the blanket is more specialized.

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9.3.9

9-52

SOILS, WALLS, AND FOUNDATIONS

Underdrains are also a means of stabilizing a cut slope. If a cut is made through a perched water table, an underdrain pipe may be installed to intercept perched groundwater before it causes damage to the cut slope. Design of a pipe-drain slope protection installation requires extensive subsurface exploration to determine location of the perched water table. Economics generally dictates that a slope-protection blanket be used instead of a pipe underdrain, where the perched water table is near the highway grade or the impervious stratum is discontinuous or poorly defined. Installation is described on the standard sheet titled "Installation Details for Granular Fill -- Slope Protection." "Deep-seated" soil-cut failures often occur along circular arcs, similar to the embankment foundation shear failures previously described (Section 9.3.5 "Stability"). In effect, the cut reduces the natural resisting force, causing a weak stratum to fail in shear. A common solution for a deep failure is to make the slope flatter than a 1 vertical on 2 horizontal slope. Slope flattening has the effect of reducing the driving force of the material at the top of the slope. Another solution is to use a toe berm, which increases the resisting force, as shown in Figure 9.3-8. These or other solutions to cut-slope problems will probably have significant influence on the project, and it, thus, is essential that they be addressed early in the design process.

Figure 9.3-16 Cut-Slope Failure and Benching Solutions

9.3.9.2 Rock Slopes Rock slopes are also subject to failures. The rock in New York State is highly variable. Some failures may be caused by weathering when rock breaks down into small pieces that accumulate as talus at the toe of the slope. This talus may clog ditches and cause flooding of the roadway. Rock-slope failures may also take the form of rock slides or rock falls, where many larger blocks, or individual blocks, detach from the rock mass and fall or roll into the highway.

9.3.9.1

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9-53

Figure 9.3-17 Large Scale Rock Fall 9.3.9.3 Slope Protection for Soil Slopes The purpose of applying a blanket of slope protection on a given slope is to prevent shallow surface failures or sloughing due to erosion. The cause of erosion can be either from the surface or from groundwater seepage from the cut slope itself.

Figure 9.3-18 Stone Slope Protection 10/29/10 9.3.9.2

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SOILS, WALLS, AND FOUNDATIONS

The need for slope protection is difficult to predict unless surface sloughing has occurred in the past. On slopes to be recut, or in the case of a new cut slope, groundwater elevation needs to be accurately determined in the initial subsurface investigation. The most troublesome slopes are those in which perched groundwater or seepage occurs along well defined zones or layers. The presence of perched groundwater is difficult to determine from conventional borings unless varying soil deposits are well defined or are thickly bedded. Thin, less-permeable soil deposits may be missed during standard 5 ft. sampling intervals. Erosion of soil from seepage through the slope generally occurs in sand and silts where seepage forces actually carry soil particles from the slope face. Where the soils consist of silt or silty sand, the slope protection should be underlain by a geotextile (see Standard Specifications Section 207, Geotextile Slope Protection) to prevent migration of fine particles through the stone. In cases where saturated sands are present, a well-graded, slope-protection stone can be used which will create a natural filter with time allowing only water to pass through. Cut slopes consisting of dense glacial tills with appreciable amounts of fines are also susceptible to surface sloughing when continually or periodically saturated. Saturation can occur either from perched groundwater flowing from a more pervious soil deposit above the till, natural moisture content, precipitation, or snow melt. Fine particles within the till face tend to retain moisture and after one or more freeze-thaw cycles the slope face becomes unstable and sloughs. Slope protection in this case provides both erosion and frost protection. There are basically five (5) types of slopes which might be encountered: 1. Slopes that do not need slope protection at all. 2. Slopes which need only minimal slope protection during construction. This would be the case where fresh cut slopes will drain themselves more quickly. There is no recharge area behind the cut such as a crest of a hill. 3. Slopes that need protection for a period of time to allow the groundwater surface to recede into the slope. Generally this applies to granular uniform deposits with or without a recharge area behind the slope.

Figure 9.3-19 No Recharge Area Behind Slope 4. Slopes which need permanent protection due to continual or even seasonal seepage. Deposits are usually layered with perched groundwater and have a large recharge area above or behind the slope.

9.3.9.3

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9-55

Figure 9.3-20 Recharge Area Behind Slope 5. Slopes which may have potential for deep-seated failures at proposed slope inclinations. Slope protection will not stabilize a deep-seated slope failure. The need for slope protection can be difficult to predict during the design phase of a project and in many cases, the need is discovered during construction when slopes are initially cut. For this reason there are two items for slope protection: Item 203.0801 SELECT GRANULAR FILL, SLOPE PROTECTION-TYPE A Item 203.0802 SELECT GRANULAR FILL, SLOPE PROTECTION-TYPE B Type A is used at locations where we are confident that it is needed and is therefore shown on the contract plans. Type B is used when exact location and/or limits are not known. For this item we include an estimated quantity in the contract. It is to be placed at locations specified by the Engineer-In-Charge, typically with guidance from the Regional Geotechnical Engineer. 9.3.9.4 Slope Protection for Rock Slopes The Geotechnical Engineering Bureau provides rock slope recommendations which consider major items in designing slopes for a proposed rock cut: stability and cost. Although rockfalls rarely cause injury and only occasionally cause property damage, when they occur they draw considerable public attention. Rock slope recommendations for creating a new slope or trimming an existing slope include cut angles and ditch catchment dimensions. Recommended cut angles are the steepest angles which will provide the steepest, low maintenance slope. Catchment ditches prevent falling rock from reaching the roadway. Other methods of mitigating an existing slope may include rock scaling, rock bolts, slope mesh, buttresses, and rock fall barriers. The designer must consult a Department Engineering Geologist (through the Regional Geotechnical Engineer) to determine an appropriate rock-slope treatment consistent with other aspects of the design such as safety, right-of-way availability, utilities, etc. (refer to Geotechnical Design Procedure for Preparing Rock Slope Recommendations (GDP-13)).

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9-56

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Figure 9.3-21a Rock Scaling (Using Long Reach Excavator)

Figure 9.3-21b Rock Scaling (Using Long Reach Excavator)

Figure 9.3-21c Rock Scaling (Using Hoe Ram)

Figure 9.3-21d Rock Bolts

Figure 9.3-21e Rock Bolts

9.3.9.4

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Figure 9.3-21f Wire Mesh Drape

Figure 9.3-21g Wire Mesh Drape

Figure 9.3-21h Wire Mesh Drape (Drape Connections)

Figure 9.3-21i Wire Mesh Drape (Anchor)

Figure 9.3-21j Rock Buttress 10/29/10

Figure 9.3-21k Rock Buttress 9.3.9.4

9-58

SOILS, WALLS, AND FOUNDATIONS

Figure 9.3-21l Thrie Beam Railing/ Corrugated Beam Rock Fence

Figure 9.3-21m Thrie Beam Railing/ Corrugated Beam Rock Fence

Figure 9.3-21n Wire Rope Catchment Fence Figure 9.3-21o Wire Rope Catchment Fence (Medium Impact) (Medium Impact)

9.3.9.4

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SOILS, WALLS, AND FOUNDATIONS 9.3.10 Frost Heaves and Boulder Heaves

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Both these phenomena are caused by a combination of three conditions: frost-susceptible soils, a source of water, and freezing temperatures. The most susceptible soils for frost heaves are fine sands and silts. Frost heaves can also occur in areas where the top of bedrock is 4 ft. or less below the top of pavement. As the ground freezes, water forms ice lenses, and as low temperatures persist and more water freezes, the lenses continue forming and increasing in quantity and size. This expansion is reflected at the pavement surface as bumps and cracks. In spring, as ice lenses melt from the top, the upper subsurface strata become supersaturated and will not support traffic loads. This lack of support results in the deformations and potholes that are frequently experienced in late winter and spring. Boulder heaves are caused by freeze-thaw of soil around boulders. As soil water freezes and expands, it elevates the boulder. As it thaws, loosened soil adjoining the void beneath the elevated boulder partially fills the void and supports the boulder in a raised position. With time, these solid objects may actually be forced to the pavement surface, causing very abrupt surface distortions. Eliminating the bump created by a boulder heave requires physically removing the boulder and replacing it with material similar to that formerly surrounding the boulder. Frost and boulder heaves may be relieved by removing at least one of the three essential components: water, frost-susceptible soils, or freezing temperatures. The water component may sometimes be eliminated by proper drainage. The soil or bedrock component is minimized by undercutting the susceptible material and replacing it with granular material. The freezingtemperature component is inherent to our climate and cannot be eliminated from the soil.

Figure 9.3-22 Boulder Heave

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SOILS, WALLS, AND FOUNDATIONS

This is considerably more difficult and usually more expensive than excavation of earth. Unlike earth excavation, rock must first be broken up before its removal, but the designer should be aware of certain advantages to rock excavation and should not avoid rock cuts without considering them. Rock-cut slopes are usually steeper than earth-cut slopes; right-of-way requirements thus may be reduced. Rock excavation and placement may be conducted through the winter, increasing available construction time. Good-quality rock may be used for production of granular material such as subbases, underdrain filters, stone fill-items, or underwater backfill.

Figure 9.3-23a Rock Excavation- Drilling

Figure 9.3-23b Rock Excavation- Drilling

Figure 9.3-23c Rock Excavation- Drilling

Figure 9.3-23d Rock ExcavationExplosive Loading

9.3.11

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Figure 9.3-23e Rock ExcavationExplosive Loading

Figure 9.3-23f Rock Excavation- Matting over Explosives

Rock in New York State is of variable quality, and rock-cut slopes and/or their special treatment depend on composition and structure of the rock encountered. As indicated in Section 9.3.9.2, rock-cut slopes and any required special treatments will be recommended by the Geotechnical Engineering Bureau. As noted before, early coordination and decisions are important to permit timely determination of right-of-way requirements. Normal blasting and rock excavation techniques and requirements with which the designer should be familiar are included in Standard Specifications Section 107-05, Section 203, and Geotechnical Engineering Manual (GEM-22) Procedures for Blasting. After the initial rock slope design has been provided by the Geotechnical Engineering Bureaus Engineering Geology Section, the designer should check the design to ensure that it meets the requirements of Context Sensitive Solutions (CSS). Designers, as the Departments representatives, need to be aware of the effects that compromises on rock slope design made to conform to CSS goals have on safety and liability. Designers should work closely with the Engineering Geologists to understand these effects and risks, thus enabling them to make an informed decision.

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9-62

SOILS, WALLS, AND FOUNDATIONS

9.3.12 Excavation Protection and Support Consideration for excavation protection and support shall be given when specifying excavation type work (e.g., unclassified excavation and disposal, trench and culvert excavation). Standard Specification(2) provisions are provided for unclassified excavation and disposal, trench and culvert excavation, and support and protective systems. Refer to Section 4 of the Bridge Manual(11b) for guidance regarding excavation protection and support (e.g., when a separate pay item is needed for excavation protection and support).

Figure 9.3-24 Trench Box

Figure 9.3-25 The ICON Group (Slide Rail System)

9.3.12

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SOILS, WALLS, AND FOUNDATIONS 9.3.13 Design of Spoil Sites

9-63

Disposal of construction-and-demolition (C&D) waste and debris is regulated by NYSDEC under Title 6 of the Official Compilation of Codes, Rules and Regulations (6NYCRR) Part 360-7, or (for Nassau and Suffolk Counties) Part 360-8. Burning solid waste, which is defined as "disposal" by 6NYCRR Part 360, is prohibited except at a facility permitted by NYSDEC. Burning material of any kind, including that generated by clearing and grubbing, is prohibited on Department projects. Disposal of spoil from Department projects is exempt, under certain conditions, from Part 360 regulations if it occurs on property under Department jurisdiction -- that is, on the highway right-of-way. These regulations are identified to the contractor in 107-10 Managing Surplus Material and Waste, 107-11 Air Quality Protection, and 107-12 Water Quality Protection of the Standard Specifications. For these reasons, disposal sites for material not marketable or recyclable should (where feasible) be designed into each project. Figure 9.3-26 indicates suggested sites and categorizes them in order of preference.

Figure 9.3-26 Suggested Spoil Sites In selecting or designing disposal sites, special consideration must be given to environmental consequences and potential impact on the area's ecology. No excess or unsuitable material, wood, or other debris from clearing and grubbing, excess earth, or any other waste materials from the project may be disposed of in environmentally sensitive areas, either on or off the rightof-way, such as at the edges of lakes, ponds, rivers, streams, flood plains, marshes, or wetlands of any kind, or closer than 100 ft. to a state-designated wetland, without the necessary state permit. Such disposal must also be in conformance with Title 6 regulations concerning disposal of construction and demolition debris. As Figure 9.3-26 shows, the preferred location is on the highway right-of-way by flattening slopes, filling gore areas, etc. Where disposal of such materials is contemplated near a wetland and/or other body of water, all necessary precautions must be taken to control erosion and minimize their intrusion through proper location, grading, drainage, and cover. In addition, appropriate federal regulatory agencies must be contacted and their requirements satisfied.

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9-64

SOILS, WALLS, AND FOUNDATIONS

Note that Locations III and IV in Figure 9.3-26 are within the embankment and require special design consideration. Disposal in these locations may be advantageous in areas of limited right-of-way or high fills. Since these locations provide a certain amount of support to the entire embankment, they must be evaluated individually. It is important for the designer to anticipate use of these disposal areas during design, and specify the desired method of disposal in the contract documents. These disposal methods are to be designed in cooperation with the Geotechnical Engineering Bureau. As noted previously, early coordination and decisions are important to permit timely determination of right-of-way requirements.

9.3.13

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SOILS, WALLS, AND FOUNDATIONS 9.3.14 Optional Borrow Areas

9-65

Existing laws on Mined Land Reclamation and the Adirondack Park Agency, as well as other state and local laws and ordinances, may delay or sometimes even prohibit contractors from obtaining local borrow material. These regulations are identified to the contractor in 107-08 Protection and Restoration of Property and Landscape, B. Outside the Right of Way, of the Standard Specifications. Legal restrictions have had the effect of increasing NYSDOT earthwork costs. The Department's policy is to make optional borrow areas within the highway right-of-way available to Contractors wherever practicable, and to show all such areas on the plans. When an optional borrow area is designated, the Contractor will be permitted to excavate material, subject to any state-imposed restrictions and conditions. Designation of optional borrow areas should have the effect of reducing earthwork cost and minimizing hauling of materials over local roads outside the project limits. Projects requiring borrow should be carefully examined by the designer to determine if optional borrow areas can be designated without detriment to project objectives. Some ideas are illustrated in Figures 9.327: Removing mounded medians and gores. Excavating oversize ditches. Flattening or lateral shifting of cut slopes. Flattening rock-cut slopes, and daylighting hill cuts. Constructing drainage retention basins.

Figure 9.3-27a Optional Borrow Areas (Removing Mounded Medians and Gores)

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SOILS, WALLS, AND FOUNDATIONS

Figure 9.3-27b Optional Borrow Areas (Excavating Oversize Ditches)

Figure 9.3-27c Optional Borrow Areas (Shifting or Flattening Cut Slope)

Figure 9.3-27d Optional Borrow Areas (Flattening Rock Slopes and Daylighting)

9.3.14

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SOILS, WALLS, AND FOUNDATIONS

9-67

If one or more of these concepts appears beneficial and does not adversely affect esthetic or environmental conditions, a designer should: 1. Consult the Regional Geotechnical Engineer or other appropriate functional unit representative. 2. Include sketches or other appropriate details in the plans. This information should be tailored to the particular project location. The objective should be to establish the limiting conditions under which an appropriate borrow source can be used. 3. To make these optional borrow areas compatible with the specifications, a note similar to the following must be included in the contract: "The Contractor's written request to use the optional borrow area(s) designated in the contract plans and/or proposal for this project will be approved by the Regional Geotechnical Engineer under the following conditions: 1. The Contractor designates the locations and limits of the intended use. 2. The Contractor agrees to conform to the requirements of 107-08 Protection and Restoration of Property and Landscape and 107-12 Water Quality Protection in Section 100 of the Standard Specifications in using these areas. 3. No royalty will be required from the Contractor by the State for material obtained from areas designated in the contract documents. 4. Payment will be made for such additional excavation beyond the design slope only when the extra material qualifies, and is used, as borrow for a project item that is paid for in its original position. No payment for excavation will be made when the material is used for an item paid for in its final compacted position. 5. Cost of any additional grading, seeding, mulching, drainage appurtenances, guide railing, fencing, or other items of work related to the closing of the optional borrow areas to conditions satisfactory to the Engineer shall be borne by the Contractor." As noted previously, early coordination and decisions are important to permit timely determination of right-of-way requirements.

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9-68 9.3.15 Geotextiles

SOILS, WALLS, AND FOUNDATIONS

Geotextiles are sheets of porous fabric or plastic. In general, they are intended to allow water to pass through them while preventing the passage of solid particles. They must also be strong enough to withstand tearing and the pressure of the retained solids. There are two basic types of fabrics manufactured: woven and nonwoven. The woven fabric manufacturing process results in a weave of distinct threads of plastic intersecting at roughly 90. The threads of a nonwoven fabric intersect in an irregular and random pattern. The nonwoven fabrics are usually thicker than the woven.

Figure 9.3-28a Slit Film Woven (Mirafi 500X)

Figure 9.3-28b Monofilament Woven (SI GeoSolutions GEOTEX 104F)

Figure 9.3-28c Combination Monofilament/ Figure 9.3-28d Needle Punched NonWoven Fibrillated Yarn Woven (SI GeoSolutions GEOTEX 1001) (WEBTEC Terra Tex HPG 16)

9.3.15

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Figure 9.3-28e Heatbonded NonWoven (BBA FiberWeb Typar 3401G) Standard Specifications Section 207 provides five geotextile payment items and uses: Geotextile Bedding, Geotextile Separation, Geotextile Drainage, Geotextile Slope Protection, and Geotextile Stabilization. Each of these has distinct permeability, filtration, and/or strength requirements. A brief discussion of each is provided below: Geotextile Bedding is used beneath stone fill where it must be strong enough to withstand the load of the stone placement, allow the passage of water and prevent the movement of fine particles from the underlying soil. Geotextile Separation provides permeability while preventing the passage of fine particles. It is usually used in conjunction with undercut operations in unstable subgrade situations. Geotextile Drainage is used as a filter to protect a draining medium from being clogged by the filtration of fines. Geotextile Slope Protection is used in areas where cut slope excavations have encountered a phreatic surface that is causing erosion of the slope surface. The Geotextile Slope protection is placed between the cut-slope surface and the Select Granular Fill Slope Protection to prevent migration of in-situ fine soil particles. Geotextile Stabilization acts as a filter and is relatively strong. It is frequently used to reduce or replace the need for undercut in unstable subgrade conditions. The strength, permeability and filtration characteristics of most of the manufactured geotextiles have been determined by extensive testing. Based upon the strength testing, the Department has divided the geotextiles into three strength classes: Class 1 being the strongest class, Class 2 of lesser strength and Class 3, the least strong.

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9-70

SOILS, WALLS, AND FOUNDATIONS

Figure 9.3-29a Geotextile Testing (Grab Strength Test)

Figure 9.3-29b Geotextile Testing (Trapezoidal Tear Test)

Figure 9.3-29c Geotextile Testing (1/2 in. Puncture Test)

Figure 9.3-29d Geotextile Testing (Wide Width Strength Test)

The permeability and filtration characteristics have been grouped to be compatible with the soil material being drained. These are grouped according to apparent opening size (AOS) class as follows: Class A is compatible with coarse material (0%-15% passing No. 200 sieve). Class B, with average material (15%-50% passing No. 200 sieve). Class C, with fine soil (greater than 50% passing No. 200 sieve).

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Figure 9.3-29e Geotextile Testing (Permittivity Test- Geotextile in Ring)

Figure 9.3-29f Geotextile Testing (Permittivity Test)

Figure 9.3-29g Geotextile Testing (Apparent Opening Size Test) Designers must show the quantities, location/limits, geotextile type, strength class and AOS class for all geotextiles. The bidders use this information in conjunction with the Materials Bureaus Approved List to work up their bid prices. An example table (which should be provided in the Miscellaneous Tables section of the plans) identifying the type of information that should be for each geotextile type, is shown below:

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SOILS, WALLS, AND FOUNDATIONS

Table 9-5 Example of Type of Geotextile Information to be Included in Miscellaneous Tables Geotextile Item Number 207.20 Application Location Limits (Sta. To Sta.) 1+000 to 3+200 Strength Class and Description
Class 2 Monofilament OR Class 1 Combination Monofilament Fibrillated Woven

Apparent Opening Size (where appropriate) B

Estimated Quantity (ft2) 9548

Bedding

207.21 207.22 207.23 207.24

Separation Drainage Slope Protection Stabilization

3+210 to 7+125 1+000 to 25+000 4+025 to 5+025 6+070 to 8+125

2 2 1 1

___ B B ___

12,917 7825 10,872 5565

The designer should contact the Regional Geotechnical Engineer for guidance on how to select the proper geotextile.

9.3.15

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SOILS, WALLS, AND FOUNDATIONS 9.3.16 Controlled Low-Strength Material (CLSM)

9-73

CLSM consists of cement, water and, at the Contractors option, fly ash, aggregate, or chemical admixtures in any proportions such that the final product meets the strength and flow consistency requirements included in the specification. The mix is proportioned to be self leveling and does not require compaction. Mix designs are approved based on a certified compressive strength. In addition, quality assurance samples for each batch are obtained for evaluation by the Geotechnical Engineering Bureau. It is much lower in strength than concrete, making future excavation possible. After set, CLSM has the characteristics of compact, undisturbed soil. Specification provisions for CLSM are provided in Standard Specification Section 204. The flowability characteristic of the CLSM makes it an ideal material to fill voids in inaccessible areas, such as bedding under curb sections, and for cutoff walls (i.e., to separate water mains from storm sewers). Due to the self-compacting properties of the material, CLSM is used as a replacement for compacted soil backfill in sites where obtaining compaction is difficult and labor intensive. In addition to backfill around pipes and drainage structures, CLSM is used as backfill behind abutments and around thrust blocks. When specifying CLSM as backfill material, the designer should always consider the equivalent fluid pressure exerted on structures by the CLSM before setup has occurred. Because the CLSM is self compacting, construction personnel and equipment are not required in the trenches for compaction operations. Without workers in the trench, the width of excavation can be reduced, often eliminating laid back slopes and reducing the need for lane closures and flagging operations. Specify a minimum soil cover to prevent CLSM from eroding. For short-term conditions (<3 months), use a minimum soil cover of 6 in. For longer than 3 months, use a minimum soil cover of 12 in. The typically rapid setup time of the CLSM allows pipe crossings under roadways to be completed in very short time periods, usually between the morning and evening rush hours. Steel plates can span the narrower trenches, allowing almost immediate access across the excavation. Note that each additional foot of lift thickness can add 3-4 hours to the initial set time, unless accelerators are used. Wet soil conditions will increase the set time, while dry soil conditions will reduce the set time. The designer should consider the need to specify a set time in the plans. If CLSM is used as backfill around lightweight pipes, flotation of the pipes may occur as the CLSM is placed. Appropriate notes should be included in the plans to inform the contractor of this possibility (See the appropriate Standard Sheet for placement of CLSM). Methods for weighting the pipes include anchors, straps and gravel bags, and partially filling watertight pipes with water. Caution is advised with the use of anchors, straps and gravel bags, as arching between the anchor points can occur. The designer should consider the maximum lift thickness that can be placed to avoid flotation, as well as the maximum vertical deflection and lateral displacement that the pipe can tolerate.

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9-74

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Do not place CLSM in contact with aluminum pipe, including connections, fixtures, etc., unless the aluminum has been coated with an approved primer. Do not place CLSM containing fly ash in contact with cast iron pipes. Refer to the Construction Inspectors Manual, the Standard Sheet titled CONTROLLED LOW STRENGTH MATERIAL (CLSM) INSTALLATION DETAILS FOR CIRCULAR AND ELLIPTICAL CORRRUCATED METAL PIPES, STRUCTURAL PLATE PIPES AND PIPE ARCHES, AND REINFORCED CONCRETE AND OTHER "RIGID" PIPES for CLSM placement, and the Regional Geotechnical Engineer for additional guidance on the use of CLSM.

Figure 9.3-30a Placement of CLSM

Figure 9.3-30b Placement of CLSM

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SOILS, WALLS, AND FOUNDATIONS 9.4 RETAINING WALLS AND REINFORCED SOIL SLOPES

9-75

Retaining walls and reinforced soil slopes are used in areas where free-standing (natural) earth slopes are undesirable, usually because of space restrictions. These walls have, in the past, normally been poured reinforced concrete (gravity or cantilever), timber, steel, or precast concrete cribbing, stone-filled wire-basket gabions, timber or steel sheeting, or steel soldier pile and lagging walls, all of which provide external support to the retained soil mass. Several innovations in types of retaining walls have become available, including using inherent characteristics of retained or reinforced soil as part of the support system. Inadequate drainage of the backfill material can result in unsatisfactory long-term performance of the retaining wall system. A subsurface drainage system is typically installed simultaneously with the erection of the wall to ensure a continuous, uninterrupted system to serve to prevent the accumulation of destabilizing water pressure on the wall. Regional Designers should consult with the Regional Geotechnical Engineer during the retaining wall design phase (see Section 9.4.4 Wall Selection Process). Good, long term performance of any wall is dependent on the use of well-compacted, good quality backfill. It is not possible to adequately compact backfill in below-freezing temperatures, unless special material that does not require water for compaction (i.e. crushed stone) is used. 9.4.1 Definitions There are three categories of support systems based on their intended functional life: permanent, temporary, and interim. 1. Permanent: A permanent system provides a structural support function for the life of the facility. 2. Temporary: A temporary system is designed to provide structural support during construction, and is removed when construction is complete. 3. Interim: An interim system is identical to a temporary system in function, except it remains in place (although it no longer provides a structural function) because its removal would be detrimental to the finished work. The classification of retaining wall systems is based on the basic geotechnical mechanism used to resist lateral loads and the construction method used for the installation of the wall. The following are definitions used to classify retaining wall systems: 1. Externally Stabilized Structures: Externally stabilized structures rely on the integrity of wall elements (with or without braces, struts, walers and/or tiebacks or anchors) to both resist lateral loads and also prevent raveling or erosion of the retained soil. 2. Internally Stabilized Structures: Internally stabilized structures rely on friction developed between closely-spaced reinforcing elements and the backfill to resist lateral soil pressure. A separate, non-structural element (facing, erosion control mat and/or vegetation) is attached to prevent raveling or erosion of the retained soil. 3. Fill Type Retaining Walls: Retaining structures constructed from the base of the wall to the top (i.e. bottom-up construction). 4. Cut Type Retaining Walls: Retaining structures constructed from the top of the wall to the base (i.e. top-down construction). An overview of the classification of retaining wall systems is provided in Table 9-6. The table provides a breakdown of available retaining wall systems, its associated method of construction, means of stability, design requirements and constraints (e.g. typical height range, maximum wall height).

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Table 9-6 Classification of Retaining Wall Systems(14m)

Wall Class Wall Type Wall Construction 1 Type Cut Wall Cut Wall Wall Group Cantilever Cantilever Deadman Anchors Anchored Walls (Sheeting or Soldier Pile & Lagging Walls) Cut Wall Grouted Tiebacks Braced Walls Primarily Fill Wall. May be installed as a Cut wall. Precast Cantilever Wall CIP Cantilevered Wall Gabion Externally Stabilized Fill Structures Primarily Fill Wall. May be installed as a Cut wall. Design Designed & detailed in contract. Designed & detailed in contract. Designed & detailed in contract. Detailed in contract. Designed by Contractors Design Consultant. Designed & detailed in contract. Designed & detailed in contract. Designed & detailed in contract. Designed & detailed in contract. Constraints Typical Height Range: 6 ft. to 15 ft. Maximum Wall Height= 15 ft. Typical Height Range: 6 ft. to 15 ft.

Sheeting Walls Soldier Pile & Lagging Walls

Externally Stabilized Cut Structures

Typical Height Range: 15 ft. to 65 ft.

Typical Height Range: 6 ft. to 30 ft. Typical Height Range: 6 ft. to 30 ft. Maximum Wall Height = 30 ft. Typical Height Range: 6 ft. to 20 ft. Maximum Wall Height = 20 ft.

Cantilever Wall

Gravity Wall

CIP Mass Gravity

Designed & detailed in contract.

Typical Height Range: 3 ft. to 10 ft. Maximum Wall Height = 23 ft.

Primarily Fill Wall. May be installed as a Cut wall. Fill Type Retaining Wall Internally Stabilized Fill Structures Geosynthetically Reinforced Soil System (GRSS) Internally Stabilized Cut Structures
1

Prefabricated Wall System (PWS) Mechanically Stabilized Earth System (MSES) Mechanically Stabilized Wall System (MSWS)

Detailed in contract. Designed by Contractors Designer (Proprietary Wall). Detailed in contract. Designed by Contractors Designer (Proprietary Wall). Detailed in contract. Designed by Contractors Designer (Proprietary Wall). Designed & detailed in contract. Detailed in contract. Designed by Contractors Design Consultant

Typical Height Range: 3 ft. to 50 ft.

Fill Wall

Typical Height Range: 10 ft. to 65 ft.

Fill Wall

Typical Height Range: 6 ft. to 65 ft. Typical Height Range: 6 ft. to 65 ft.

Fill Wall

Soil Nail Wall System

Cut Wall

Typical Height Range: 10 ft. to 65 ft.

Cut wall construction refers to a wall system in which the wall is constructed from the top of the wall to the base (i.e., top -down construction). Fill wall construction refers to a wall system in which the wall is constructed from the base of the wall to the top (i.e., bottom-up construction).

9.4.1

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SOILS, WALLS, AND FOUNDATIONS 9.4.2 Wall Types

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9.4.2.1 Externally Stabilized Cut Structures The mechanism for stability of an externally stabilized cut structure is obtained by installing a structural wall of sufficient strength to resist the overturning and sliding forces generated by the lateral stresses from the retained soil behind it. Externally stabilized cut structures include sheeting walls, soldier pile and lagging walls, and anchored walls. A. Sheeting Sheeting members of a shoring system are structural units which, when connected one to another, will form a continuous wall. The wall continuity is usually obtained by interlocking devices formed as part of the manufactured product. In New York State, the majority of the sheeting used is made of steel, with timber and concrete used less often. Sheeting is driven to a depth sufficient for the passive pressure exerted on the embedded portion to resist the lateral active earth pressures acting on the cantilevered section. To achieve the required passive earth pressure resistance, embedment depths can often be quite high. Therefore, due to limitations on the availability of certain section moduli and the associated costs, cantilevered sheeting walls are usually restricted to a maximum height of 15 ft. When the height of excavation exceeds 15 ft., or if the embedment depth is limited (e.g., the presence of boulders or bedrock), it becomes necessary to investigate the use of additional support for the wall system. Additional support may be provided by grouted tieback anchors, anchors to a deadman or struts, braces or rakers.

Figure 9.4-1a Sheeting Wall Installation

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Figure 9.4-1b Sheeting Wall (Permanent Timber Facing)

Figure 9.4-1c Sheeting Wall (Permanent Timber Facing)

B. Soldier Pile and Lagging Walls Soldier piles used as part of a shoring system are vertical structural units, or members, which are spaced at set intervals. Soldier piles in a soldier pile and lagging wall system are typically spaced at 6 ft. to 10 ft. intervals. A lagging material is placed between the soldier piles to complete the shoring system. In New York State, the majority of the soldier piles used are made of steel, with concrete or timber used less often. A soldier pile and lagging wall derives its resistance from the embedded portion of the wall. The lagging material is usually selected based upon the design life of the wall. A temporary wall will usually incorporate untreated timber lagging, with steel sheeting used less often. A permanent wall will usually incorporate treated timber lagging or concrete lagging with an architectural finish. Because of the higher available section moduli, greater excavation depths can be supported by soldier piles and lagging as compared to those supported by sheeting. Cantilevered soldier piles are usually practical for excavations up to approximately 15 ft. in height.

Figure 9.4-2a Soldier Pile & Lagging Wall (Permanent Timber Lagging) 9.4.2.1

Figure 9.4-2b Soldier Pile & Lagging Wall (Permanent Precast Concrete Lagging) 10/29/10

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Figure 9.4-2c Soldier Pile & Lagging Wall (Cast-In-Place Finish) C. Anchored Walls Anchors have been used where it is difficult to attain sufficient embedment to provide cantilever support for a retaining wall. The wall is anchored to stable earth or bedrock by wire strand or steel bar tendons. Anchors receive their resistance either by being attached to a deadman, or by being grouted in soil or rock. Deadman anchors are attached to an object that is constructed or already exists, located outside the zone of influence. A deadman may be an existing abutment or wall, a length of driven sheeting, a section of cast concrete, or any other member that is buried in the soil. For a deadman to provide maximum resistance, the passive failure wedge for the deadman has to be outside the active failure wedge of the wall to be supported. A more common type of treatment is similar to deadman anchors, but is more versatile which allows their use under more diverse site and loading conditions. This commonly used category of anchor is called a grouted tieback. These anchors may be used to support temporary, permanent, or interim walls. They are most often used to augment soldier pile and lagging walls and sheeting walls. A tieback consists of a steel tension element called a tendon (may be multistrands or a bar) that transfers tensile forces from the ground to a structural element. Typical uses for tiebacks include supporting retaining walls (either temporary or permanent), stabilizing abutments, and increasing down force on dams. Because the tendons extend behind the wall, it is necessary to make sure the Department has the legal right to the property directly above the tiebacks. It may be necessary to obtain temporary or permanent easements or ROW. To design tiebacks, the Geotechnical Engineering Bureau designer determines the loads on the wall for each maximum depth of excavation. The designer then shows the loading on the tiebacks, tieback spacing, angle of declination, minimum free length, soil parameters, and other design assumptions on the contract plans. It is the Specialty Contractors responsibility to design the tendon size, tendon type, and bond length, and use appropriate installation procedures and equipment to properly install the tiebacks.

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It is also a good idea for the designer to come up with a table or graph that relates excavation height to tieback design load for various spacings. This is not very time consuming to complete during the design stage, when the designer is familiar with the demands of the project, and it may save a lot of time later. Quite often, the Subcontractor adjusts the tieback spacing and recalculates the loads to suit his/her own operations and expertise.

Figure 9.4-3a Sheeting Wall (Braced Excavation)

Figure 9.4-3b Anchored Sheeting Wall

Figure 9.4-3c Anchored Soldier Pile & Lagging Wall

Figure 9.4-3d Anchor (Sheeting Deadman)

9.4.2.1

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Figure 9.4-3e Anchor (Concrete Deadman) 9.4.2.2 Externally Stabilized Fill Structures

Figure 9.4-3f Anchor (Soldier Pile Deadman)

The mechanism for stability of an externally stabilized fill structure is obtained by gravity providing the righting moment and base friction to resist overturning forces. Externally stabilized fill structures include cast-in-place/precast cantilever/gravity walls, prefabricated wall systems (PWS), and gabions. Externally stabilized fill structures are best constructed in fill situations. Although they can be constructed in cut situations, doing so requires a strategy for dealing with the cut slope, and may even require temporary walls, all at additional cost in money and construction time. A. Cast-in-place/ Precast Cantilever/Gravity Walls - General A cast-in-place/precast gravity wall is an externally stabilized fill structure comprised of a mass of concrete, including leveling pads, earth backfill, and a subsurface drainage system to reduce hydrostatic pressure on the wall system. A gravity wall is a massive structure, usually economical only for small heights. Stability of the gravity wall is achieved by the weight of the wall system to resist lateral soil pressure.

Figure 9.4-4a Precast Gravity Wall (Foundation Construction)

Figure 9.4-4b Precast Gravity Wall (Stone Facing)

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A cast-in-place/precast cantilever wall is an externally stabilized fill structure comprised of reinforced concrete, including leveling pads, earth backfill, and a subsurface drainage system to reduce hydrostatic pressure on the wall system. A cantilever wall is formed by a thin, reinforced stem cantilevered from a base slab. Stability of the cantilever wall is achieved by the weight of the wall system and the weight of the backfill above the heel projection of the base slab to resist lateral soil pressure.

Figure 9.4-5 Precast Concrete Cantilever Wall B. Prefabricated Wall Systems (PWS) A PWS is an externally stabilized fill structure comprised of prefabricated face units & coping units, including leveling pads, unit infill, earth backfill, joint filler material and geotextile, and a subsurface drainage system to reduce hydrostatic pressure on the wall system. The prefabricated face units may either be (1) a series of open face units assembled to form bins, which are connected in unbroken sequence or (2) a combination of solid face units with a characteristic alignment and connection method. Stability of the PWS is achieved by the weight of the wall system elements and the weight of the infill to resist lateral soil pressure. As indicated, the bin volume is infilled (if applicable) with backfill material to supplement the face unit geometry, adding to the stability of the system. Supplemental information regarding the proprietary standing of PWS is discussed in Section 9.4.3. PWS are most applicable when constructed in new fills, such as embankment widenings. Solid face units are typically small in size and weight which results in limited wall heights. However, open face units are larger in size, incorporating infill to add to the weight of the units. This results in an increased height range for these systems. An important consideration in determining the use of these systems is the space required for the size of the units, most notably the base unit. A guide in determining the preliminary base unit length is to use 70% of the proposed PWS wall height. The installation of the units will sometimes require cutting and benching adjacent fills. A list of approved PWS systems is maintained on the Departments Approved List.

9.4.2.2

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Figure 9.4-6a T-Wall: Plain Concrete Finish (Wall Construction)

Figure 9.4-6b T-Wall: Plain Concrete Finish (Wall Construction)

Figure 9.4-6c T-Wall: Exposed Aggregate Finish (Wall Construction)

Figure 9.4-6d T-Wall: Exposed Aggregate Finish (Wall Construction)

Figure 9.4-6e Stone Strong Wall (Wall Construction)

Figure 9.4-6f Stone Strong Wall (Wall Construction)

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Figure 9.4-6g Stone Strong Wall (Use of EPS Backfill)

Figure 9.4-6h Stone Strong Wall (Use of EPS Backfill)

Figure 9.4-6i Evergreen Wall (Constructed Wall)

Figure 9.4-6j Evergreen Wall (Plant Growth)

Figure 9.4-6k Unilock Siena Stone 500

Figure 9.4-6l Unilock Siena Stone 500: Back Face

9.4.2.2

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SOILS, WALLS, AND FOUNDATIONS C. Gabions

9-85

Gabions are an externally stabilized fill structure comprised of twisted or welded wire baskets that are divided by diaphragms into cells, including basket infill consisting of stone fill. Stability of these systems is achieved by the weight of the stone-filled baskets resisting the overturning and sliding forces generated by the lateral stresses from the retained soil. Gabions are most applicable when constructed in new fills, such as embankment widenings. Gabions blend very well with natural surroundings and can sustain differential settlements without serious distress. However, this inherent flexibility can be a disadvantage as overlying facilities may distort. An important consideration in determining the use of these systems is the space required for the size of the baskets, most notably the base basket. A guide in determining the preliminary base basket length is to use 70% of the proposed gabion wall height. The installation of the baskets will sometimes require cutting and benching adjacent fills.

Figure 9.4-7a Gabion Wall

Figure 9.4-7b Gabion Wall

9.4.2.3 Internally Stabilized Fill Structures The mechanism for stability of an internally stabilized fill structure is obtained by improving the strength of the backfill soil by placing tensile reinforcing elements (inclusions) in the backfill to create a reinforced mass. The weight of the reinforced soil mass resists the overturning and sliding forces generated by the lateral stresses from the retained soil. It should be noted that, since internally stabilized fill structures rely on a reinforced mass of soil for stability, these wall systems may not be appropriate where it may be necessary to gain future access to underground utilities by cutting or disturbing the reinforcing elements. Internally stabilized fill structures include Mechanically Stabilized Earth Systems (MSES), Mechanically Stabilized Wall Systems (MSWS), and Geosynthetically Reinforced Soil Systems (GRSS).

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9-86

SOILS, WALLS, AND FOUNDATIONS

A. Mechanically Stabilized Earth Systems (MSES) MSES are internally stabilized fill structures comprised of natural select granular backfill (reinforced backfill), precast concrete panels (facing), subsurface drainage system, and high-strength, metallic or polymeric inclusions (reinforcement) to create a reinforced soil mass. The reinforcement is placed in horizontal layers between successive layers of granular soil backfill. Each layer of backfill consists of one or more compacted lifts. A freedraining, nonplastic backfill is required to ensure adequate performance of the retaining wall system. Each reinforcement is connected to the facing with a mechanical connection. Load is transferred from the backfill soil to the metallic or polymeric inclusion by shear along the interface and/or through the passive resistance on the transverse members of the inclusion. Stability of these systems is achieved by the weight of the reinforced soil mass resisting the overturning and sliding forces generated by the lateral stresses from the retained soil behind the reinforced mass. Supplemental information regarding the proprietary standing of MSES is discussed in Section 9.4.3. MSES walls are most applicable when constructed in new fills, such as embankment widenings. An important consideration in determining the use of these systems is the space required for embedment of the reinforcing. A guide in determining the preliminary embedment lengths is to use 70% of the proposed MSES wall height. To install the reinforcing to the required embedment lengths it will sometimes require cutting and benching adjacent fills. In addition, MSES walls should not be used in areas where utilities other than highway drainage must be constructed within the reinforced zone where future access for repair would require the reinforcement layer to be cut. Final selection of this wall type depends on the corrosiveness of the soil mass to be retained, and its effect on buried members, such as steel straps. A list of approved MSES systems is maintained on the Departments Approved List. Inspection guidance for the construction of MSES walls is summarized in a manual published by the Geotechnical Engineering Bureau(17a).

Figure 9.4-8a MSES Wall (Reinforcement Layout)

Figure 9.4-8b MSES Wall (Form Liner Finish)

9.4.2.3

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9-87

Figure 9.4-8c Terraced MSES Wall

Figure 9.4-8d MSES Wall (Temporary Stage Line Wall)

Figure 9.4-8e MSES Wall (Cast-In-Place Facing)

Figure 9.4-8f MSES Wall (Cast-In-Place Facing)

B. Mechanically Stabilized Wall Systems (MSWS) MSWS are Prefabricated Wall Systems (PWS) which, when constructed beyond wall heights exceeding the maximum allowable unreinforced height, relies on reinforcing elements within the backfill to provide stability. The reinforcement is connected to the facing either with a mechanical or friction connection, depending on the system. By using internal reinforcing, previously limited wall heights can be increased to meet nearly any highway fill application. Systems like these are similar in function and construction to a permanent GRSS system, however they utilize the PWS face units as a permanent facing. Supplemental information regarding the proprietary standing of MSWS is discussed in Section 9.4.3. Allowable PWS face units used to construct these systems can be found on the Departments Approved List.

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SOILS, WALLS, AND FOUNDATIONS

Figure 9.4-9a Mechanically Stabilized Wall System (Unilock Siena Stone 500 & Strata grid 200)

Figure 9.4-9b Mechanically Stabilized Wall System (Back Face) (Unilock Siena Stone 500 & Strata grid 200)

9.4.2.3

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SOILS, WALLS, AND FOUNDATIONS C. Geosynthetically Reinforced Soil Systems (GRSS)

9-89

It is very common to use geosynthetics to reinforce a soil mass, to allow the construction of embankments with very steep and even vertical slopes. These systems are called Geosynthetically Reinforced Soil Systems (GRSS). Simply put, a GRSS is a non-proprietary version of an MSES. Temporary GRSS systems are very commonly used for staged construction, as they are inexpensive and easy to construct. GRSS slopes or walls can also be constructed with an engineered facing, enabling these systems to serve a permanent support function. These systems are typically designed in-house by the Geotechnical Engineering Bureau. Depending on the aesthetic conformity of the available facing systems, a GRSS is a more economical alternative to other fill type retaining walls. These systems can be used to construct permanent and temporary over-steepened slopes and permanent and temporary vertical embankment fills. They are most applicable when constructed in new fills, such as a raise in grade between stages, embankment widenings, or when constructed within the backfill where the proposed abutment is located in front of the existing abutment. An important consideration in designing these systems is the space required for embedment of the reinforcing. A guide in determining the preliminary embedment lengths is to use 70% of the proposed GRSS wall height. To install the reinforcing to the required embedment lengths will sometimes require cutting and benching adjacent fills. This should also be accounted for when determining available space for GRSS construction. GRSS should not be used in the top 6 ft. of a fill if significant future utility work is expected. Since its development, many applications for GRSS have evolved. These are briefly described below:

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9.4.2.3

9-90

SOILS, WALLS, AND FOUNDATIONS C.1 GRSS Stage Walls One of the major considerations during design of a structure replacement is the work zone traffic control during construction. When detours are not feasible, the new structure is typically constructed in stages using part of the existing structure for stage one traffic. This often requires design and construction of temporary retaining walls such as steel sheeting or soldier pile and lagging walls to support the roadway between stages. The GRSS wall was originally developed as a more economical wall system for this application where new backfills will be placed in front of the existing abutment in stages.

Figure 9.4-10a GRSS (Temporary Stage Wall) The construction procedure for a vertical GRSS wall is simple. A 18 in. by 18 in. L-shaped welded wire mesh is placed on the leveled foundation soil to act as a form for the backfill. (This method to form the face is the default method in the specification. However, the specification allows the Contractor the option of submitting an alternate compaction aid. Regardless of the method used, the face should be constructed with a relatively uniform slope.) Sheets of geosynthetic reinforcing of the required embedment lengths are then placed perpendicular to the face of the wall. A geotextile wrap is laid along the bottom of the welded wire form and up around the face to retain the backfill. The select granular backfill is then placed and compacted. Once the backfill reaches the top of the form, the geotextile wrap is pulled back over the top of the backfill. The next welded wire form is placed and the process is repeated until the final design height is reached.

Figure 9.4-10b GRSS (Temporary Stage Wall Section and Plan)

9.4.2.3

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SOILS, WALLS, AND FOUNDATIONS C.2 GRSS Slopes

9-91

Another typical application for GRSS is to reinforce over-steepened slopes. In many cases, roadway improvements require widening embankments. These widenings are often restricted by R.O.W. limits, environmental constraints such as wetland areas or at culvert locations. Retaining walls or culvert extensions were typically used to overcome these restrictions. These widenings can be accommodated more cost effectively and timelier by constructing steeper embankment side slopes with GRSS while maintaining the same toe of slope. The GRSS slopes can be constructed without forms and seeded at slopes of 1V on 1H or flatter. The requirements for the backfill material for a GRSS slope are less strict as compared to those for a GRSS wall. The requirements for both situations are provided in the specification.

Figure 9.4-11a GRSS (Permanent Oversteepened Slope)

Figure 9.4-11b GRSS (Permanent Oversteepened Slope)

Figure 9.4-11c GRSS for Widening/Grade Change

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C.3 Vegetated Face Vertical GRSS For realignment or new embankment construction, retaining walls are sometimes required to minimize impact on wetlands or R.O.W. The vegetated-face GRSS wall is an economical alternate, especially in environmentally sensitive areas. The construction of the vegetated-face GRSS is similar to the temporary GRSS for staged construction. However, this green wall incorporates a geocell facing. Geocells are listed as an available facing system in the specification. A geocell is a three-dimensional, High Density Polyethylene (HDPE) cellular confinement unit which is infilled. The outer cell is typically filled with topsoil to provide for plant or turf establishment.

Figure 9.4-12a Geocell Faced GRSS C.4 Timber Faced Vertical GRSS

Figure 9.4-12b Geocell Faced GRSS

Another option for realignment or new embankment construction is a timber faced GRSS wall. Timbers are listed as an available facing system in the specification. Construction methods are similar to the temporary GRSS for staged construction except that the timbers act as a form and the welded wire mesh forms are not required. Other facings, such as gabions, can be incorporated into GRSS walls.

Figure 9.4-13a Timber Faced GRSS Wall

Figure 9.4-13b Timber Faced GRSS Wall

9.4.2.3

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SOILS, WALLS, AND FOUNDATIONS 9.4.2.4 Internally Stabilized Cut Structures

9-93

The mechanism for stability of an internally stabilized cut structure is obtained by improving the strength of a soil by placing tensile reinforcing elements (inclusions) in the soil to create a reinforced mass. The weight of the reinforced soil mass resists the overturning and sliding forces generated by the lateral stresses from the retained soil. It should be noted that, since internally stabilized cut structures rely on a reinforced mass of soil for stability, these wall systems may not be appropriate where it may be necessary to gain future access to underground utilities. Internally stabilized cut structures include the Soil Nail Wall System. A. Soil Nail Wall Soil nailing is an operation in which the soil is reinforced by steel to increase its tensile strength, thus forming a gravity retaining mass. This treatment requires highly specialized construction techniques. Soil nails are steel bars or tendons installed to reinforce or strengthen the existing ground. They are used to support the existing soil for a cut situation. Soil nails are installed into a slope or excavation as construction proceeds from the existing ground surface to the proposed bottom of excavation. The soil nailing process creates a reinforced section that is itself stable and able to retain the ground behind it. Soil nails are similar in construction but different in function from a grouted tieback. Specifically, soil nails are passive reinforcements which develop their reinforcing action through nail-ground interactions as the ground deforms during and following construction. Soil nailing provides some advantages over grouted tiebacks as they improve construction flexibility where overhead access is limited, reduce right-of-way requirements by being typically shorter than tiebacks and, by eliminating soldier pile/sheeting installation, they reduce construction time and improve construction flexibility in heterogeneous soils with cobbles and boulders. They should not be used where the water table elevation is above the bottom of the excavation for the soil nail wall. Design and construction guidelines for soil nail walls are summarized in a manual published by the Geotechnical Engineering Bureau(19c).

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SOILS, WALLS, AND FOUNDATIONS

Figure 9.4-14a Soil Nail Wall (Temporary Shotcrete Facing)

Figure 9.4-14b Soil Nail Wall (Permanent Shotcrete Facing)

Figure 9.4-14c Soil Nail Wall (Cast-In-Place Facing)

Figure 9.4-14d Soil Nail Wall (Stone Masonry Facing)

9.4.2.5 Miscellaneous Fencing to protect pedestrians should be provided where appropriate. This would usually be required when a wall is retaining a cut slope. In urban areas, a 6 ft. chain link fence should be used unless there is community sensitivity and the Department agrees to the use of a suitable alternate material. In rural areas where few pedestrians are anticipated and fencing is not provided at the right of way line, woven wire fencing would be satisfactory. When a wall is retaining a fill and it is located at the outside edge of a shoulder, bridge rail should be used to protect vehicles and, if at the outside edge of a multi-use path, an appropriate railing.

9.4.2.5

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SOILS, WALLS, AND FOUNDATIONS 9.4.3 Proprietary Retaining Wall Systems

9-95

Proprietary retaining wall systems are systems that are protected by specific patents that make them unique from other retaining wall systems. The term proprietary is really a misnomer today because many of the vendor-designed retaining wall systems that are used no longer have patents attached to them. In essence, many retaining walls could be designed using component parts from various systems, utilizing proper design procedures. For all but the simplest structures, however, this is impractical, and now, vendor-designed and supported retaining wall systems are considered proprietary retaining wall systems. The proprietary retaining wall systems now used by the Department fall within three categories; mechanically stabilized earth systems (MSES), mechanically stabilized wall systems (MSWS), and prefabricated wall systems (PWS). These walls are all considered to be fill walls. A generic specification entitled Fill Type Retaining Walls combines these proprietary retaining wall systems and allows for a competitive bidding process. Under the FHWA regulation 23 CFR 635.411 "Material or Product Selection", the FHWA may participate in the costs of a proprietary product under Competitive Bidding, provided under 23 CFR 635.411(a)(1). This states the proprietary product is obtained through competitive bidding with other suitable proprietary and non-proprietary products from multiple manufacturers. The Departments specification is geared towards a competitive bidding process by placing a widerange of proprietary systems on an Approved List. All acceptable systems are shown on the Departments Approved List and the Contractor shall choose an appropriate system based on the maximum wall height shown in the contract documents. 9.4.4 Wall Selection Process Personnel from the Geotechnical Engineering Bureau, together with the Regional Geotechnical Engineer, are responsible for visiting proposed project sites and then discussing and providing Regional designers and construction personnel with the appropriate selection and design for the various wall system(s) chosen for the project. Selection of a retaining wall category for a particular site is based on the criteria established in FHWA publication Geotechnical Circular No. 2, Earth Retaining Structures, FHWA-SA-96-038.(14m) In general, selection is based primarily on whether a wall is going to be placed in a cut or fill section, whether a wall should or must be externally stabilized, internally stabilized, or a gravity type, and whether the wall will be permanent, temporary, or interim. Other factors such as aesthetics, economy, etc., come into play to make the final decision. All these treatments have particular advantages and disadvantages. The designer should consult the Regional Geotechnical Engineer when wall systems are under consideration. 9.4.5 Wall Design & Detailing Once a wall type is chosen, proper details shall be provided in the contract documents. A. Cut Type Retaining Walls As identified in 9.4.1 Definitions, cut type classification refers to the construction method used for the installation of the wall. Cut type retaining walls are retaining structures constructed from the top of the wall to the base (i.e. top-down construction). Cut type retaining walls are further classified according to the basic mechanism of lateral load

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support. These classifications include internally stabilized cut structures and externally stabilized cut structures. The following is an outline of the detailing requirements for cut type retaining walls: A1. Sheeting, Soldier Pile & Lagging Wall, or Anchored Walls Sheeting, soldier pile and lagging walls, or anchored walls shall be designed and detailed in the contract documents. These systems may be designed by Regional designers or Consultants and reviewed by the Geotechnical Engineering Bureau. Design requirements for sheeting, soldier pile and lagging walls, or anchored walls are summarized in a manual published by the Geotechnical Engineering Bureau(16a). Regional Geotechnical Engineers are very familiar with the requirements for a cut type retaining wall design and can work with the Regional designer to obtain the necessary information for the development of the design. Regional designers will prepare a layout of the proposed wall. The details include a plan view, elevation view and section view including top and toe of cut system, maximum height, minimum embedment below bottom of excavation, minimum section modulus of cut system, existing and final grade profiles in front of (bottom of excavation) and behind the wall, location of wales and/or bracing, minimum section modulus of wales and/or size of bracing, location and size of deadman/raker blocks, grouted tieback loads and grouted tieback free length, right-of-way lines, temporary easements, and potential interferences (utilities). The Regional designer should also include a Table identifying the soil parameters used to design the cut system. An example Table is provided in Chapter 4 of the Bridge Manual(16e). The items for a sheeting or soldier pile and lagging wall are located in Section 552 Support and Protection Systems of the Standard Specifications. Once the details of a wall have been completed, the aesthetics or visual impact of the system can be addressed. The designer should consult the Regional Landscape Architect to address the need for an aesthetic treatment. For these systems, a permanent facing may consist of attaching timber to hide a sheeting system, incorporating a textured precast concrete lagging into the soldier pile and lagging system, or installing a cast-in-place stem in front of an anchored system. The details should include connection of the permanent facing, required reinforcement (if necessary), and all other appropriate items pertinent to the desired permanent facing. A2. Soil Nail Walls Soil nail walls are designed by the Contractors Consultant during the construction submittal process. However, it is recommended to perform a feasibility analysis during design to identify potential impacts. Design and construction guidelines of soil nail walls are summarized in a manual published by the Geotechnical Engineering Bureau(19c). Regional designers will prepare a general layout of the proposed wall for bidding purposes. The details are to provide sufficient information for a Contractor to bid the wall and for the Contractors Consultant to perform an engineering analysis and final detailing of the wall. Typically, the general layout includes a plan view, elevation view and section view including existing and final grade profiles in front of and behind the wall, right-of-way lines, temporary easements, and potential interferences (utilities).

9.4.5

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The items for a soil nail wall are located in Section 211 Internally Stabilized Cut Structures of the Standard Specifications. Once the details of a wall have been completed, the aesthetics or visual impact of the system can be addressed. The designer should consult the Regional Landscape Architect to address the need for an aesthetic treatment. The specification for the soil nail wall encompasses the soil nail mass out to the temporary shotcrete face. The permanent facing is paid for separately and additional details should be provided. The details should include connection of the permanent facing, required reinforcement (if necessary), extension of internal and external drainage systems, and all other appropriate items pertinent to the desired permanent facing. Regional Geotechnical Engineers are very familiar with the above process and work very closely with the Regional design and construction personnel to ensure that it is followed closely. B. Fill Type Retaining Walls As identified in 9.4.1 Definitions, fill type classification refers to the construction method used for the installation of the wall. Fill type retaining walls are retaining structures constructed from the base of the wall to the top (i.e. bottom -up construction). Fill type retaining walls are further classified according to the basic mechanism of lateral load support. These classifications include internally stabilized fill structures and externally stabilized fill structures. These systems are further divided based on patents, or which systems are proprietary retaining wall systems. The following is an outline of the detailing requirements for fill type retaining walls: B1. Cast-in-place/ Precast Cantilever/ Gravity Walls Figures 9.4-15a through 15h (at the end of this subsection) are intended to divide CIP/ precast cantilever/ gravity walls into two categories: Standard design structures which can be detailed completely from these sheets and; Special design structures which require site-specific designs. The purpose of establishing two separate categories of structures is to identify the more expensive and the more structurally critical structures for careful review. Special design structures are those which must be designed independently (not by these Figures) and then reviewed by both the Geotechnical Engineering Bureau and the Office of Structures. Standard structures are defined as those which may be designed and detailed entirely from Figures 9.4-15a through 15h and do not require review beyond the Region level. Figure 9.4-15a gives details for cantilever walls. Figures 9.4-15b through 15h gives details for both gravity and cantilever walls. These standard designs were developed with three (3) specific goals in mind. First, the standards are developed in order to provide the Regions with the capability to generate contract plans from the standards without the need to refer to any outside organization. Second, criteria are to be provided for making quick preliminary cost estimates, and for converting the theoretical individual designs into practical overall wall details. These details are to emphasize simplicity and standardization. Third, costs are minimized by the use of low pressure wall designs, made possible by a limited amount of soil preparation beneath the footing.

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9-98

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To achieve the capability of performing complete designs at the Regional office, it is necessary to involve the skills of the Regional Geotechnical Engineer, as well as those of the structure designer. Standard designs shall not be used unless both the designer and the geotechnical engineer agree that they are applicable to the individual case. The tabulated designs include soil pressures as low as 1 tsf and sliding friction coefficients down to 0.35. These values enable the use of a spread footing design for almost any site. The function of the geotechnical engineer is to determine the design parameters for the soil at all footing locations along with recommended bottom of footing elevations. In the event that undercutting of unstable material beneath the proposed spread footing is required to provide a stable foundation, this undercut shall be limited to 6 ft. maximum for cantilever walls (Figure 9.4-15b) and 4 ft. maximum for gravity walls (Figure 9.4-15g). Greater depths of soil removal require careful analysis and review by the Office of Structures and the Geotechnical Engineering Bureau to determine the feasibility of using standard design as compared to special pile-supported (or other) designs. Standard designs are restricted to the use of spread footings. They are available up to a maximum stem design height of 24 ft. Separate tables for level surcharge and sloping surcharge are provided to enable the designer to compensate for varying earth pressures due to backfill conditions. Whenever soil conditions dictate the use of a pile foundation, the design stem height exceeds 24 ft., or a railroad live load surcharge may be applied to the retaining wall, a special design is required. Standard cantilever wall designs may be used at any wall location. Walls required for the retention of highway fills (not connected with a major structure) may be either of cantilever or gravity design. When highway fills are high enough to require the use of retaining walls which exceed 12 ft. in height, other wall types should be considered. B1a. Cantilever Walls B1ai. BASIS OF DESIGN These walls have been designed by means of computer program No. B5000 as maintained by the Structures Design Systems Unit of the Structures Subdivision. Some of the assumptions and input data for these designs are listed below: 1. 2. 3. 4. 5. 6. 7. Unit weight of earth: 120 pcf Unit weight of concrete: 150 pcf Active earth pressure of soil behind wall = 30 psf for level surcharge only. Calculated by program for a 1 on 2 sloping surcharge = 46 psf maximum. Earth fill behind wall was assumed with the top of finished ground 9 in. below the wall coping. A 1 ft. depth of surcharge was applied above the toe of the footing. No passive earth pressure was applied. A 2 ft. depth of surcharge, simulating the effect of live load, was applied above the heel when level surcharge was used. No provision for Railroad live load surcharge was included. No loads, vertical or horizontal, other than that caused by the earth backfill and surcharge were imposed on the wall. The designs were developed with the absence of hydrostatic pressure behind the wall. The material placed behind the retaining wall is a select, free-draining granular material and the walls are to be detailed with weep holes as identified in the notes.

8. 9.

9.4.5

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10. The placement of backfill was assumed to extend full depth behind the wall. No sheeting or intervening rock which would limit the effect of the backfill upon the wall was considered to exist. 11. All the cantilever walls are supported by 2 ft. thick footings except for certain walls with a stem design height of 20 ft. or greater which have a sloping surcharge imposed on them. All walls have stems which measure 18 in. at the coping. The exposed face of wall is vertical and the face against which earth is placed is battered at 24 vertical on 1 horizontal starting at the coping and extending to the footing. 12. Reinforcement is designed based on a 3 in. concrete cover over footing steel and a 2 in. cover over the stem steel. 13. Allowable concrete stress: 1200 psi. 14. Allowable reinforcing bars stress: 24000 psi. 15. Ratio of elastic moduli (n): 10. 16. Allowable shear in concrete: 90 psi. 17. Allowable bond stress for reinforcement: 300 psi 18. Factor of safety, sliding: 1.5. 19. Factor of safety, overturning: 2.0. The following input values were varied over a range to produce the family of designs from which the tables were extracted: 1. Stem height: 6 ft. to 24 ft. 2. Soil pressure: 2 ksf to 10 ksf 3. Sliding friction coefficient: 0.35, 0.50, 0.65. B1aii. METHOD OF DESIGN The program checks the wall for both permanent loadings and temporary loadings during construction except that wind forces during the construction are not analyzed. Since no restrictions were placed on either toe projection or heel projection, the design is accomplished by incrementing both toe and heel until a width of footing is attained which will meet the design criteria. In cases where the projection of the footing must be limited, a special design or review should be requested from the Office of Structures if the toe or heel projection given by Table 9-7 exceeds the allowable. The program calculates the required areas of steel for stem steel and footing steel and the required perimeter for bond. The reinforcement shown in the table was chosen in accordance with a collated summary of these values. Calculated values of soil pressure and safety factors are also listed in the output. These values were the basis for the selection of the individual designs to be included in the table. Separate designs for footings with shear keys were automatically computed but were discarded as being less desirable than other designs which were offered. Table 9-7 is the result of editing over 1,500 designs to provide a complete coverage of soil conditions. The 7 ksf thru 10 ksf pressure designs were eliminated because the extra soil capacity was not required for reasonable economical design. The 0.35 sliding friction coefficient will satisfactorily represent designs in the 0.30 to 0.44 range, the 0.50 sliding friction coefficient designs are accurate within the 0.45 to 0.59 range, and the 0.65 sliding friction coefficient designs pertain to the 0.60 to 0.70 range. It remains then for the Regional Geotechnical Engineer to classify soils as either being in the LOW sliding resistance range, the NORMAL sliding resistance range, or in the HIGH sliding resistance range in accordance with these ranges of values.

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9-100

SOILS, WALLS, AND FOUNDATIONS The concrete unit quantity column was added by means of an independent computation. The sole purpose of this value is to provide a means for making comparative estimates when preparing preliminary plans. B1aiii. DESIGN AND DETAILING SEQUENCE 1. Locate retaining wall in plan by offsets from adjacent center line of improvement or base line. 2. Plot boring holes in plan. 3. Regional Geotechnical Engineer shall be consulted to ascertain from the borings the required depth of excavation, bearing value of the soil, and sliding friction coefficient of the soil. 4. The bottom of footing elevations should be tentatively set at various points along the wall. A 4 ft. minimum earth cover below final grade should be maintained and an effort made to place the proposed footing subgrade in a consistent band of subsoil. 5. Wall should be subdivided into separate footing segments (pours) between footing expansion joints and into the individual wall panels between stem contraction joints. Stem panel lengths should not exceed 30 ft. Footing segments should not exceed 90 ft. 6. At appropriate intervals along the wall (not exceeding 100 ft. even stations), the height of wall required to retain the earth fill should be calculated from profile and topographic data. 7. From the raw data now available, the bottom of footing elevations shall be finally set and the top of wall profile established forming a smooth, aesthetic profile rather than a series of straight line connections to computed theoretical points. Footing segments (pours) on rock or hardpan should be stepped as necessary in 2 ft. minimum step increments. Footing segments in earth cut or on fill should not be stepped, but the footing segment lengths should be limited such that the height of fill over the toe of the footing does not vary by more than 8 ft. The coping shall protrude above the earth fill a minimum of 9 in. 8. Compute the height of wall at the joints between each stem panel. If the wall height within the panel varies by 6 ft. or less, select the height of the higher third point as the design height for the panel. For panels of more than 6 ft. variation in height, the greatest height must be used for one design height and a second design height may be selected from the height of the lower third point if the panel is long enough to warrant more accurate design. 9. Enter the Table of Proportions with the appropriate stem height, allowable soil pressure and sliding friction coefficient, and list the design values for all design sections. 10. If either toe or heel projection is limited by clearance requirements, the footing dimensions which have been listed should be checked for interference. A special design will be prepared by the Office of Structures in cases of unavoidable interference. 11. Design values of toe and heel projections should be plotted about the respective points along the layout control line at which the design sections were taken. 12. Actual footing dimensions, extrapolated from the required theoretical dimensions, are next determined for each footing segment. Variations in either toe or heel projections of less than 18 in. may be neglected in order to maintain a constant toe or heel dimension. In such cases, the designer should use the larger design projection.

9.4.5

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9-101

13. Once the concrete dimensions are fixed, the footing reinforcement must be decided upon. If the footing segment is of constant cross-section, the maximum required heel and toe reinforcement must be carried throughout the length of the footing segment. If the footing is trapezoidal in shape, heel and toe reinforcement should be varied in accordance with the respective design section values. 14. Relatively level panels, which have been designed on the basis of a higher third point design height, shall carry the design dowel reinforcement for the entire length of the stem panel. Those steeply sloped panels, which are designed on the basis of the greatest height in the panel, should use two dowel sizes in the panel. More than two dowel sizes will not be economical except in walls with the most extreme (1 vertical on 2 horizontal) slopes. The variation in the dowel size may be extracted from the table in accordance with the stem height. 15. Main stem reinforcement shall be detailed as follows: Use #7 bars at 18 in. centers for all stem heights above 20 ft. Use #5 bars at 18 in. centers for all portions of wall where the stem height is 20 ft. or less. 16. In using the concrete volume figures for steeply sloping walls, a sufficiently accurate preliminary estimate may be arrived at by assigning a corresponding length of wall to each different volume figure. 17. The designer should develop scoring details and patterns appropriate to enhance the aesthetic quality of the retaining walls especially if wall heights exceed 8 ft. of exposed stem and the walls can be readily viewed by the public. The aesthetic attributes of the final product need to be clearly stated in the Contract Plans, through the use of a vivid description or a detailed series of sketches, or both. All descriptions should make use of industry-standard terminology.
B1b. Gravity Walls

Gravity walls are designed by manual calculations. They are intended to provide a low cost alternative to the cantilever designs where design heights do not exceed 12 ft. Provided the appearance of the gravity wall is suitable to the overall site plan, a gravity design may be used to retain highway fills more economically than the corresponding cantilever wall.

B1c. Cantilever and Gravity Wall Figures and Table of Proportions

B1ci. GENERAL NOTES: 1. Walls which cannot be designed within the range of designs listed must be referred to the Office of Structures for review. The applicability of the wall designs to a given situation shall be determined within the Region by the concurrence of both the structures designer and the geotechnical engineer. In cases where doubt exists as to the relative economy of alternate designs, approval to vary from the standard wall design shall be requested from the Deputy Chief Engineer (Structures). 2. Two weep holes shall be provide in every panel, located at the quarter points. 3. The invert of the weep hole at the front of the wall shall be located 6 in. above the finished grade or 6 in. above low water for stream bridges, whichever is higher. 4. Waterstops: In accordance with BD-MS3 R1, use Type E or Type D Waterstops behind joints thru the stem, if staining would be objectionable. 5. Construction Joints: Detail in accordance with BD-AB6 R1.

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Figure 9.4-15a Section Through Wall Cantilever Wall Notes: See B1ai. BASIS OF DESIGN

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Notes:

1. When required, footing excavation shall be undercut and backfilled with Select Structure Fill. 2. For excavation, drainage and backfill details, see BD-EE1 R1 & 3 R1 Figure 9.4-15b Section Foundation & Backfill Preparation

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Figure 9.4-15c Illustrative Example (Slightly Sloping Wall Elevation View)

Figure 9.4-15d Illustrative Example (Slightly Sloping Wall - Plan View)

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Figure 9.4-15e Illustrative Example (Steeply Sloping Wall Elevation View)

Figure 9.4-15f Illustrative Example (Steeply Sloping Wall Plan View) 10/29/10 9.4.5

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Figure 9.4-15g Section Gravity Wall Gravity Wall Notes: 1. The gravity wall section may be used as an alternate to the cantilever section where it will not be compatible with adjacent work and the wall height (dimension H) is a minimum of 4 ft. and a maximum of 12 ft. 2. Required Soil Capacity: Allowable Pressure: 3 ksf. Friction Coefficient: 0.35. 3. Steel fabric reinforcement shall be placed as shown behind the full area of the vertical form. 4. Maximum Panel Length Between Construction Joints: 20 ft. 5. Maximum Length Between Expansion Joints: 100 ft. 6. All joints shall be formed with an adequate shear key.

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Figure 9.4-15h Layout Control Layout Control Notes: Walls situated adjacent to a curved centerline of improvement should be detailed as a series of straight segmental walls. Where it is necessary that the wall layout control line be curved itself, one of the following layout methods shall be used: 1. Curved walls (Radius greater than 450 ft.): Layout on chords, unless horizontal clearance is critical. Locate footing as shown above by perpendicular offsets to a chord between the third points of the footing pour between expansion joints. Lay out stem panels on chords between the contraction joints. 2. Curved walls (Radius 450 ft. or less): Lay out both footing and stem on curve. If the distance between footing expansion joints is reduced so that it does not exceed one-fifth of the radius, lay out on chords may be used on radii shorter than 450 ft.

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Table 9-7 Table of Proportions Design Parameters Stem Reqd Design Conc. Ftg. Height Min. Coeff. of Unit Width (ft) Soil Friction Quant. (ft) 3 (yd per Press. ft of (tsf)
wall)

Toe Proj. (ft)

T Bars Size Spac

(in)

Reinforcement H Bars D Bars Size Spac Size Spac

(in) (in)

S Bars Size Spac

(in)

6-0 6-0 7-0 7-0 8-0 8-0 8-0 9-0 9-0 9-0 10-0 10-0 10-0 11-0 11-0 11-0 12-0 12-0 12-0 12-0 13-0 13-0 13-0 13-0 14-0 14-0 14-0 14-0 15-0 15-0 15-0 15-0 15-0 16-0 16-0 16-0 16-0 16-0

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 1 1 1 1 2 1 1 1 1

0.50 0.35 0.50 0.35 0.50 0.50 0.35 0.50 0.50 0.35 0.50 0.50 0.35 0.50 0.50 0.35 0.50 0.50 0.35 0.35 0.50 0.50 0.35 0.35 0.50 0.50 0.35 0.35 0.50 0.50 0.50 0.35 0.35 0.50 0.50 0.50 0.35 0.35

0.66 0.74 0.75 0.83 0.83 0.88 0.96 0.95 0.99 1.09 1.05 1.12 1.22 1.18 1.24 1.36 1.30 1.37 1.43 1.49 1.40 1.49 1.56 1.63 1.52 1.63 1.69 1.75 1.59 1.66 1.75 1.88 1.90 1.72 1.80 1.89 1.97 2.06

4-1 5-1 4-5 5-6 4-6 5-2 6-4 5-2 5-10 7-1 5-8 6-7 7-11 6-5 7-3 8-11 7-0 8-0 8-9 9-7 7-5 8-8 9-6 10-6 7-11 9-5 10-4 11-1 7-11 8-9 10-1 11-1 12-1 8-7 9-8 10-10 11-11 13-2

0-8 0-10 1-4 0-10 0-8 1-8 1-0 0-10 2-0 1-2 1-6 2-4 1-6 1-6 2-8 2-0 1-8 3-0 1-6 2-2 2-2 3-4 1-8 2-10 2-4 3-8 1-10 3-0 1-8 2-8 4-0 2-0 3-4 1-10 3-0 4-4 2-2 3-8

#5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #6 #5 #5 #5 #6 #5 #5 #6 #5 #5 #6 #5 #6 #6 #5 #5 #5 #5 #6 #5 #5

18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 9 18 18 18 18 9 18 9 18 9 9 18 9

#5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #6 #6 #5 #5 #6 #6 #5 #6 #5 #5 #6 #6 #5 #6 #5 #6 #7 #6 #7 #6 #5 #7 #6

18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 9 18 18 18 9 9 9 18 9 9 9 9 18 9 9 9 9 9 9 9

#5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #6 #6 #6 #6 #6 #6 #6 #6 #6 #6

18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9

#5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5

18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18

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SOILS, WALLS, AND FOUNDATIONS Table 9-7 (cont.) Table of Proportions Design Parameters Stem Reqd Design Conc. Ftg. Height Min. Coeff. of Unit Width (ft) Soil Friction Quant. (ft) 3 (yd per Press. ft of (tsf)
wall)

9-109

Toe Proj. (ft)

T Bars Size Spac

(in)

Reinforcement H Bars D Bars Size Spac Size Spac

(in) (in)

S Bars Size Spac

(in)

17-0 17-0 17-0 17-0 17-0 18-0 18-0 18-0 18-0 19-0 19-0 19-0 19-0 19-0 20-0 20-0 20-0 20-0 20-0 21-0 21-0 21-0 21-0 22-0 22-0 22-0 22-0 23-0 23-0 23-0 23-0 23-0 24-0 24-0 24-0 24-0 24-0 24-0

2 1 1 1 1 2 1 1 1 2 2 1 1 1 2 2 1 1 1 2 2 1 1 2 2 1 1 3 2 2 1 1 3 2 2 1 2 1

0.50 0.50 0.50 0.35 0.35 0.50 0.50 0.50 0.35 0.50 0.50 0.50 0.50 0.35 0.50 0.50 0.50 0.50 0.35 0.50 0.50 0.50 0.35 0.50 0.50 0.50 0.35 0.50 0.50 0.50 0.50 0.35 0.50 0.50 0.50 0.50 0.35 0.35

1.85 1.91 2.04 2.11 2.20 1.97 2.06 2.18 2.25 2.04 2.09 2.21 2.32 2.39 2.19 2.26 2.33 2.46 2.53 2.32 2.38 2.48 2.67 2.47 2.52 2.64 2.81 2.53 2.60 2.64 2.78 2.95 2.65 2.74 2.80 2.90 3.02 3.13

9-2 10-1 11-10 12-8 13-11 9-9 11-0 12-7 13-6 9-7 10-3 11-10 13-3 14-3 10-4 11-4 12-4 14-0 15-0 11-0 11-10 13-2 15-8 11-9 12-5 14-1 16-5 11-5 12-4 12-10 14-9 17-0 11-10 13-0 13-9 15-2 16-9 18-3

2-0 3-2 4-10 2-4 4-6 2-6 3-6 5-2 2-6 1-10 2-8 3-10 5-6 3-0 2-0 3-0 4-0 5-10 3-2 2-2 3-2 4-4 3-4 2-4 4-0 5-10 4-0 2-0 2-10 4-2 6-2 4-2 2-4 3-6 4-6 6-4 3-2 4-6

#6 #5 #7 #6 #6 #5 #6 #7 #6 #6 #5 #6 #8 #5 #6 #6 #7 #8 #6 #5 #6 #7 #6 #5 #8 #9 #7 #5 #6 #8 #8 #7 #6 #7 #9 #8 #6 #8

18 9 9 18 9 9 9 9 18 18 9 9 9 9 18 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 6 9 9 9 9 6 9 9

#7 #6 #5 #8 #6 #7 #7 #6 #8 #9 #8 #7 #6 #9 #9 #8 #8 #7 #9 #10 #9 #8 #10 #9 #7 #6 #8 #9 #9 #8 #7 #9 #10 #9 #8 #7 #10 #9

9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 6 6 6 6 6 6 6 6 6 6 6 6 6 6 6

#7 #7 #7 #7 #7 #7 #7 #7 #7 #8 #8 #8 #8 #8 #8 #8 #8 #8 #8 #9 #9 #9 #9 #8 #8 #8 #8 #8 #8 #8 #8 #8 #9 #9 #9 #9 #9 #9

9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 6 6 6 6 6 6 6 6 6 6 6 6 6 6 6

#5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #5 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7 #7

18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18 18

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9-110

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B2. Proprietary Retaining Wall Systems The proprietary retaining wall systems now used by the Department fall within three categories; mechanically stabilized earth systems (MSES), mechanically stabilized wall systems (MSWS), and prefabricated wall systems (PWS). This is discussed in 9.4.3. Acceptable systems are shown on the Departments Approved List and the Contractor shall choose an appropriate system based on the maximum wall height shown in the contract documents. Proprietary retaining walls are designed by the Contractors Consultant during the construction submittal process. However, it is recommended to perform a feasibility analysis during design to identify potential impacts. A feasibility analysis for these fill type retaining walls includes analysis of the subsurface profile to determine the potential for excessive settlement and/or bearing capacity failure of the foundation soil. Regional designers will prepare a general layout of the proposed wall for bidding purposes. The details are to provide sufficient information for a Contractor to bid the wall and for the Contractors Consultant to perform an engineering analysis and final detailing of the wall. Typically, the general layout includes a plan view, elevation view and section view including existing and final grade profiles in front of and behind the wall, right-of-way lines, temporary easements, and potential interferences (utilities). The Contractor then selects the wall system from the Approved List. Once the details of a wall have been completed, the aesthetics or visual impact of the system can be addressed. The designer should consult the Regional Landscape Architect to address the need for an aesthetic treatment. The specification for the fill type retaining wall contains standard default treatments. B2a. Fill Type Retaining Wall Item Number Designation The items for a fill type retaining wall are located in Section 554 Fill Type Retaining Walls of the Standard Specifications. Standard Sheets are available for Section 554 Fill Type Retaining Walls. As stated previously, the generic specification entitled Fill Type Retaining Walls combines the three categories of approved proprietary retaining wall systems and allows for a competitive bidding process via the Approved List. In the preparation of the general layout of the wall, the Regional designer will designate the fill type retaining wall item number based on the maximum wall height. If aesthetics are not a concern and the default treatments are acceptable, this is the only item number necessary. However, if aesthetics are a concern, the Regional designer will add, in addition to the fill type retaining wall item, an item for the aesthetic treatment for the face units. The aesthetic treatment is paid for separately and additional details should be provided. See Section 9.4.6 Aesthetic Treatments. B3. Gabions As stated earlier, gabions blend very well with natural surroundings and can sustain differential settlements without serious distress. However, this inherent flexibility can be a

9.4.5

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9-111

disadvantage as overlying facilities may distort. Designers should be cognizant of this attribute in regards to the proposed placement of gabions and what they are supporting. Gabion walls shall be designed and detailed in the contract documents. These systems may be designed by Regional designers or Consultants and reviewed by the Geotechnical Engineering Bureau. Design methodology follows a gravity retaining wall method. Design requirements for gabions are outlined in Chapter 11 of AASHTO(17d). Additional information the design of a gabion can be found in manufacturers literature such as Maccaferris Design Guide. The items for a gabion wall are located in Section 620 Bank and Channel Protection of the Standard Specifications. Regional Geotechnical Engineers are very familiar with the requirements for gabions and can work with the Regional designer to obtain the necessary information for the development of the design. Regional designers will prepare a layout of the proposed wall. The details include a plan view, elevation view and section view including existing and final grade profiles in front of and behind the wall, maximum design height, installation details, right-of-way lines, temporary easements, and potential interferences (utilities). B4. Geosynthetically Reinforced Soil Systems (GRSS) GRSS systems shall be designed and detailed in the contract documents. These systems are typically designed in-house by the Geotechnical Engineering Bureau. Design requirements for GRSS are outlined in Chapter 11 of AASHTO(17d). Additional information on the design of a GRSS can be found in the FHWA manual on Reinforced Soil Structures: Mechanically Stabilized Earth Walls and Reinforced Soil Slopes Design and Construction Guidelines(17b). Regional Geotechnical Engineers are very familiar with the requirements for a GRSS design and can work with the Regional designer to obtain the necessary information for the development of the design. The Geotechnical Engineering Bureau will prepare a layout of the proposed wall. The details include a plan view, elevation view and section view including existing and final grade profiles in front of and behind the wall, minimum embedment, design strength, and vertical spacing of geosynthetic reinforcement, maximum design height, installation details, right-ofway lines, temporary easements, and potential interferences (utilities). The items for GRSS are located in Section 554 Fill Type Retaining Walls of the Standard Specifications. Standard Sheets are available for Section 554 Geosynthetically Reinforced Soil Systems. Once the details of a wall have been completed, the aesthetics or visual impact of the system can be addressed. The designer should consult the Regional Landscape Architect to address the need for an aesthetic treatment. For these systems, a permanent facing may consist of attaching geocells, timbers or gabions. The appropriate facing details are provided with the Geotechnical Engineering Bureaus layout of the proposed wall.

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9.4.6 Aesthetic Treatments Proprietary fill type retaining walls may incorporate various aesthetic treatments to enhance features of the wall or blend the wall into the surrounding environment. Aesthetic treatments are treatments applied to the face of a wall system either during or after the manufacture of the units to modify the appearance of the units and of the wall as a whole. Aesthetic treatments can include modifications to color, texture, architectural pattern, the addition of exposed surface aggregate (real or artificial), the addition of simulated joints or cracks, or any other treatment or material that modifies the appearance, provided that the structural integrity, function, or life span of the wall is not negatively impacted. The specification identifies some categories for organizational and bidding purposes. Since the Approved List allows the Contractor to choose the type of wall, the categories only provide a general idea of the type of aesthetic treatment for either a face panel/unit as described below: A. Textured Surface: Texturing precast concrete panels/units can be achieved through formliners to develop the desired texture of grooves, ribs, ropes, or flutes. Solid dry cast units may be manufactured in rib configurations and split to reveal the texture of the aggregate with the ribbed appearance.

Figure 9.4-16a Textured Surface (Cast-In-Place MSES)

Figure 9.4-16b Textured Surface (PWS)

B. Exposed Aggregate Finish: Precast concrete panels/units can achieve an exposed aggregate finish through formliners and releasing agents developing the appearance of sandblast, aggregate, or round stone. Solid dry cast units are manufactured and split to reveal the texture of the aggregate.

9.4.6

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Figure 9.4-16c Exposed Aggregate (Open Modular Units)

Figure 9.4-16d Exposed Aggregate (Solid Blocks)

C. Architectural Pattern: Precast concrete panels/units can achieve an architectural pattern through formliners to develop the pattern of stacked stone, or block. Solid dry cast units are themselves stacked blocks.

Figure 9.4-16e Architectural Pattern (Open Modular Units)

Figure 9.4-16f Architectural Pattern (Solid Blocks)

Although the above categories provide a general idea of the type of aesthetic treatment, the specific requirements should be vividly described in the contract documents using special notes and sketches, as needed. The requirements for color, texture and pattern should use industrystandard descriptions and terminology.

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9-114 9.4.7 Sole Source

SOILS, WALLS, AND FOUNDATIONS

There are a limited number of instances where sole sourcing retaining walls (identifying a particular wall type) is appropriate. In these situations, the Regions must create a special specification and justify and document their reasons for using a sole source system because they are eliminating competition. A sole source special specification is said to be proprietary if it mentions, either directly, or by reference, that as a requirement for acceptance a product be that of a certain named manufacturer. The justifiable reasons for a sole source proprietary special specification are identified in Chapter 21, section 21.3.5 Proprietary Specifications. Once the justification is complete, Regional designers can then contact the retaining wall company directly and have a design prepared for inclusion in the contract plans.

9.4.7

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9.5.1 Drilled Shafts A drilled shaft is a foundation which is constructed by placing fresh concrete in a drilled hole. Reinforcing steel can be installed in the excavation, if desired, prior to placing the concrete. Drilled shafts may also be referred to as caissons, drilled piers, or bored piles (although in NYS, bored piles, or bored-in piles, are arbitrarily defined as being less than 12 in. in diameter). Guidelines for the design and construction of drilled shafts are summarized in a manual published by the Geotechnical Engineering Bureau(20e). The advantages(20a) of drilled shafts over conventional driven piles are: Excavated material can be examined for comparison to the design assumptions. Applicable to a wide variety of soil conditions (e.g. can be progressed through obstructions that would prevent a pile from being driven). Very large loads can be carried by a single shaft so that a pile cap is often not needed. Allows a non-destructive evaluation of installed shaft for quality control and quality assurance purposes. The disadvantages(20a) are: The successful installation depends on the skills and equipment of a specialty Contractor. The average prime Contractor cannot install these shafts. Drilled shafts are much more expensive than conventional driven piles. Thorough inspection is essential to catch potential problems early. A single drilled shaft is frequently designed to replace a number of driven piles, eliminating the redundancy present in a group of driven piles, which again requires diligence and expertise in construction and inspection. The design of a drilled shaft is based on a static analysis of the shaft element installed in a soil profile developed through interpretation of the subsurface explorations obtained at the site. During foundation design, if the Geotechnical Engineering Bureau determines that the soil cannot support the anticipated loads of a shallow foundation, the foundation can be designed to transfer the loads to a more suitable material at a greater depth by means of drilled shafts. Drilled shafts were originally designed as end-bearing shafts that act as columns and derive their resistance primarily from the material on which the tips rest. Design methods have been developed to predict the skin friction resistance (shaft surface to the surrounding soil acting along the length of the shaft). A drilled shaft design is an iterative process between the structure designer and geotechnical designer. The structural designer is required to provide the geotechnical designer with the vertical load, longitudinal shear, transverse shear, longitudinal moment and transverse moment for the AASHTO loading groups on the foundation cap. The structural designer should provide a sketch of the proposed drilled shaft cross-section showing sizes, number, and spacing of rebars, including any changes in section with depth. The structure designer should indicate the design load and ultimate load of the member and supply a sketch of the actual shaft group layout, including all shaft and row spacing. The geotechnical designer will analyze the subsurface profile and determine the required length of the drilled shafts and also perform a lateral load analysis(20c). The resulting deflection from the lateral load analysis will be provided to the structural designer to determine if it is acceptable. If it is not acceptable, the iterative design

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process continues with the structure designer tweaking the cross sectional elements of the drilled shaft and re-submitting to the geotechnical designer for evaluation. The Foundation Design Report will provide the designer with the maximum allowable axial load per shaft developed during the design of the foundation along with the estimated shaft depths and notes to the Contractor stating what capacity is to be achieved from the shaft installation process, estimated shaft length, estimated rock socket length (if appropriate), and explanation and outline of testing (e.g., crosshole sonic logging) (20k).

Figure 9.5-1a Drilled Shaft Installation (Barge Set-Up)

9.5.1

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Figure 9.5-1b Drilled Shaft Installation (Drilling & Excavation)

Figure 9.5-1c Drilled Shaft Reinforcement (Rebar Cage & CSL Access Tubes)

Figure 9.5-1d Drilled Shaft Installation (Concrete Pour)

Figure 9.5-1e Drilled Shaft Layout

Figure 9.5-1f Crosshole Sonic Log Testing (Ultrasonic Probe Installation)

Figure 9.5-1g Crosshole Sonic Log Testing (Mobile Test Lab)

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9-118 9.5.2 Driven Piles

SOILS, WALLS, AND FOUNDATIONS

Driven piles are used to support walls, abutments, and other foundation elements when spread footings are not appropriate. The Structures Design and Construction Division and Geotechnical Engineering Bureau should be consulted. The design of a pile is based on a static analysis of the pile element installed in a soil profile developed through interpretation of the subsurface explorations obtained at the site. During foundation design, if the Geotechnical Engineering Bureau determines that the soil cannot support the anticipated loads of a shallow foundation, the foundation can be designed to transfer the loads to a more suitable material at a greater depth by means of driven piles. Driven piles may be categorized based on load transfer method into two groups: friction piles and end-bearing piles. Friction piles are piles that derive its resistance primarily from skin friction (pile surface to the surrounding soil acting along the pile shaft). End-bearing piles are piles that act as columns and derive its resistance primarily from the material on which the tip rests. A driven pile foundation has to be installed to meet the design requirements for compressive, lateral and uplift capacity(21a). The Foundation Design Report will provide the designer with the maximum allowable load per pile for the design of the foundation along with the estimated pile lengths and a note to the Contractor stating what capacity is to be achieved from the pile driving operations. A pile may also be designed to a predetermined length. The Foundation Design Report will provide the designer with an estimated vertical pile length and a note to the Contractor stating the minimum length to be obtained from the pile driving operations. Equally important to installing a driven pile foundation to meet its design requirements is to avoid pile damage or foundation cost overruns by excessive driving. These objectives can all be satisfactorily achieved by use of wave equation analysis, dynamic monitoring of pile driving and static load testing(21a). Wave Equation Analysis of Pile Foundations (WEAP) is a program which simulates a foundation pile under the action of an impact pile driving hammer. The Geotechnical Engineering Bureau utilizes the program during the initial foundation design to assure the recommended pile may be installed without sustaining damage. In addition, the Geotechnical Engineering Bureau utilizes the program during construction to evaluate the Contractors proposed pile driving operation. Dynamic Pile Load Test(21b)(DPLT) of a pile may be recommended by the Geotechnical Engineering Bureau to estimate the static axial compressive pile capacity from dynamic measurements of pile strain and acceleration. The Foundation Design Report will provide the designer with the number of, and appropriate item number for, DPLTs to be performed on the proposed foundations and a note to the Contractor stating that DPLTs will be conducted (typically by representatives of the Geotechnical Engineering Bureau) on the foundation piles to alert the Contractor of the required monitoring installation. Static Pile Load Test(21b)(SPLT) of a pile may be recommended by the Geotechnical Engineering Bureau to measure the response of a pile under applied load. The SPLT provides the best means of determining pile capacity. The Foundation Design Report will provide the designer with the number of, and appropriate item number for, SPLTs to be performed on the proposed foundations and a note to the Contractor requiring the performance of SPLTs on the foundation piles.

9.5.2

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Figure 9.5-2a Pile Driving Operation

Figure 9.5-2b Dynamic Pile Load Test Set-Up

Figure 9.5-2c DPLT: Strain Transducer Figure 9.5-2d DPLT: Pile Driving Analyzer and Accelerometer Bolted To CIP Pipe Pile (Pile Dynamics, Inc.)

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9-120 9.5.3 Micropiles

SOILS, WALLS, AND FOUNDATIONS

Micropiles are nondisplacement piles formed by drilling a hole in the ground, and filling it with steel reinforcing and grout under pressure (pressure grouting). Typical diameters range from 7.5 in. to 9 in. Typical design loads range from 50 tons in a clayey silt soil, to 150 tons in a dense granular soil, with 80 tons to 100 tons being typical design loads for most competent soils. The advantages of these types of piles over conventional driven piles are: Vibrations from installation are minimized. Can be installed in low-overhead conditions. Can be used to underpin existing structures. Can be progressed through obstructions that would prevent a pile from being driven.

The disadvantages are: Micropiles are much more expensive than conventional driven piles. The successful installation depends on the skills and equipment of a specialty Contractor. The average prime Contractor cannot install these piles. Thorough inspection is essential to catch potential problems early. Actual load capacity can only be verified through a Static Pile Load Test (SPLT). These can be very expensive, and take several days to set up and run. A driven pile is a tested pile. Failed load tests cause problems. How do you differentiate the good piles from the bad ones? Expertise and persistence is required to review inspection records, soil conditions, etc.

Micropiles are usually selected when a pile-supported foundation is necessary, but there are vibration concerns or restrictions, or obstructions, or there are low-overhead conditions. Typically, though not always, this occurs in the more urban areas of the state. Micropiles get their capacity through side friction. Literature states, and pile load tests have verified, that very little of a micropiles capacity is derived through end bearing. Because the pile is not driven, the soil at the tip is not compacted. The pile would have to move downward over 1 in. to develop full, end-bearing resistance, at which point the majority of the side resistance would have been lost, resulting in a failed pile. A 50 ton design load is relatively easy to achieve, even if the contractor uses less than optimal procedures. However, achieving design loads above 50 ton requires the use of proper equipment and procedures, even in a competent soil. Micropile capacities can be increased by increasing the length or the diameter or by post grouting. Post grouting is performed by attaching a small diameter PVC tube along the reinforcement of a micropile. After the grout for the pile has set for a day or so, water is pumped through the tube at high pressure to crack the grout. Then, grout is pumped through the tube. This process can be repeated many times to continue increasing the side resistance. Be aware that post-grouting provides a more dramatic increase in side resistance in clayey soils than in granular soils. Also, excessive post-grouting can cause damage behind and above the piles, such as damaging utilities or causing walls to deflect or slabs to lift.

9.5.3

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There are two micropile specifications: one is set up as a performance-based, Contractor designed foundation element and the other is a method-based, State designed foundation element. The Contractor designed micropile specification is the most desirable approach as it allows for specialty contractors to introduce innovative, cost-competitive solutions, making use of the latest available construction techniques. With this specification, design loads for the micropiles are specified in the contract documents and the Contractor hires a professional engineer, licensed to practice in New York State, to design the piles. Therefore, this allows the Contractor to use his/her expertise to select the pile diameter, length, and any other procedure to achieve the capacities shown in the contract documents. Although this performance-based approach is the most desirable, the Geotechnical Engineering Bureau has seen a need for an additional specification for a micropile to apply only to certain subsurface profiles which could minimize delays during construction. With this specification, the micropile will be designed and detailed in the contract documents, eliminating any design disagreements in the submittal process. For these instances, the Contractor is only required to submit the proposed method of installation procedures. Sometimes, to ensure that the piles capacity is provided by a certain soil layer (i.e., to get below a liquefiable layer, or a compressible layer), it is necessary to specify a minimum pile length, or state that the capacity needs to be developed below a certain elevation. This can become problematic when performing a SPLT to verify capacity. Be aware that the pile will pick up side resistance during testing in the undesirable layer, which will affect the load-settlement curve. To subtract the effect that this layer would have, it is necessary to require the use of telltales in the pile. More information on telltales can be found in the SPLT manual in the Structure Foundation Section.

Figure 9.5-3a Micropile Installation

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Figure 9.5-3b Micropile Installation (Down-The-Hole Hammer)

Figure 9.5-3c Micropile Installation (Centralizer with Telltales)

Figure 9.5-3d Micropile Installation (Footing Connection)

Figure 9.5-3e Static Pile Load Test of Micropile

Figure 9.5-3f Static Pile Load Test of Micropile

9.5.3

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9.6 BUILDING CONDITION SURVEY AND VIBRATION MONITORING (NON BLASTING)

9.6.1 General The revised special specification for building condition survey(s) and vibration monitoring (non blasting) is not intended to be used as a pay item for vibration monitoring during blasting operations. Monitoring vibrations generated via blasting operations are controlled by Standard Specifications Section 203 and are described in the Geotechnical Engineering Manual (GEM22) Procedures for Blasting(10a). Non blasting construction operations (e.g., excavation, pavement removal, backfill and compaction, demolition, driving of piles and sheeting, etc.) may damage or distress adjacent sensitive buildings, structures, or utilities. The special specification for building condition survey and vibration monitoring is intended to assess the condition of the building, structure or utility prior to these adjacent construction operations to develop a condition baseline. A companion special specification includes requirements for monitoring vibrations to record the intensity of the adjacent construction operation(s). This information may be used to resolve disputes.

Figure 9.6-1a Vibration Monitoring Set-Up Figure 9.6-1b Instatels Blastmate III (Includes full keyboard and thermal printer)

Figure 9.6-1c Vibration Monitoring (Microphone)

Figure 9.6-1d Vibration Monitoring (Triaxial Geophone)

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9.6.2 Design Considerations The use of the special specification with respect to adjacent sensitive buildings, structures, or utilities should be discussed with the Geotechnical Engineering Bureau Engineering Geology Section. Ground vibrations from construction activities very rarely reach the levels that can damage structures, but can be within the range of human perception in buildings very close to the site. A possible exception is the case of old, fragile buildings of historical significance where special care must be taken to avoid damage. The construction activities that typically generate the most severe vibrations are blasting and impact pile driving(23b). If, due to project constraints, construction activities are scheduled adjacent to such sensitive buildings, the following is recommended:

9.6.2

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9.6.2.1 Adjacent Sensitive Structure The assessment of the potential for damage is two-fold. Vibrations propagate from a piece of construction equipment through the ground to a distant vibration-sensitive receiver predominately by means of Rayleigh (surface) waves and secondarily by body (shear and compressional) waves. The amplitude of these waves diminishes with distance from the source. This attenuation is due to two factors: expansion of the wave front (geometrical attenuation) and dissipation of energy within the soil itself (material damping) (23a). Material damping in soil is a function of many parameters, including soil type, moisture content, and temperature. The designer will assess the potential for damage by determining the assumed geometrical attenuation or distance from the source to the receiver. The most common generic model of construction vibrations as a function of distance was developed by Wiss (1981) (23a), as shown in Figure 9.6-2:

Figure 9.6-2

(23a)

Construction Vibrations as a Function of Distance, after Wiss (metric values) (1981)

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Various types of construction equipment have been measured under a wide variety of construction activities with an average of source levels reported in terms of velocity levels(2). It should be noted that there is a considerable variation in reported ground vibration levels from construction activities. However, reasonable estimates may be made for a wide range of soil conditions. For example, the upper range of an impact pile driver at a distance of 25 ft. from measured data is 1.518 in/sec PPV(23b). To compare these results with Figure 9.6-2, using the distance from the source as 25 ft. and the construction activity of a diesel pile driver, the resulting peak particle velocity is approximately 1.6 in./sec. The 25 ft. distance from the source to the receiver and the resulting measured PPV of 1.52 in./sec is a good starting limit for the designer to use. As a comparison, the designer should note that for blasting operations, the Standard Specifications 203-3.05 Rock Excavation C. Explosive Loading Limits states in the absence of more stringent requirements, the maximum quantity of explosives allowed per delay period shall be based on a maximum particle velocity of 2 in./sec at the nearest structure to be protected. Considering the impact pile driver ranks high on the list of construction activities producing ground vibrations yet yields a PPV of 1.52 in./sec at a distance of 25 ft., this buffer is a conservative distance. If the project requires a construction activity adjacent to a sensitive structure closer than the 25 ft. limit described above or the designer has a concern with the existing condition and/or there is an historic significance, consult with the Geotechnical Engineering Bureaus Engineering Geology Section.

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If the designer determines the adjacent distance may pose a potential for damage, consultation with the Geotechnical Engineering Bureaus Engineering Geology Section is recommended. Site specific information will be reviewed, including material damping (soil type, moisture content and temperature) and appropriate maximum allowable peak particle velocity (PPV) to be assigned to the structure.

Figure 9.6-3 Vibration Monitoring of Adjacent Suspect Building

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If the Designer and Engineering Geologist determine the need for the special specification, the following Special Note entitled Vibration Criteria shall also be included in the contract documents: VIBRATION CRITERIA The Contractors attention is directed to the close proximity of the existing (buildings, structures, utilities) located _____________________. Excavation, pavement removal, backfill and compaction, demolition, driving of piles and sheeting, and any other construction operations shall be conducted in a manner which will not damage or distress any of the above, including but not limited to, adjacent buildings and structures, historic structures, utilities or tunnels. Any damage caused by or related to the Contractors operations shall be repaired by the Contractor at no additional cost to the State. The Contractor is required to engage the services of a New York State licensed Professional Engineer to conduct a condition survey of the existing (buildings, structures, utilities) indicated in Table 1 of this Special Note and an experienced vibration monitoring Consultant to measure peak particle velocities prior to, and during construction operations. The Contractor must perform all work in a manner that will limit construction vibration at the specified locations to within the limits set forth within this Note or the limits determined by his Professional Engineer, whichever is less. Table 1 Structure & Location Vibration Measurement Locations Maximum Allowable Peak Particle Velocity (PPV)

(Closest point on the dwelling to construction operation) (At a distance from a given pile to model the distance from closest pile to the building: monitoring impact at that distance to make adjustments to pile driving operation as work proceeds toward building) (Etc.)

(2.0 in/sec)

(1.0 in/sec)

(Etc.)

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9.7.1 General The intent of the specification is to pay the Contractor for opening a cased hole from one point to another, as indicated in the contract documents. For instances where a utility is to be installed, the item may be used to open a hole/pathway for the placement of the utility carrier pipe. The specification is organized by casing size (XX denotes casing diameter size). 9.7.2 Definitions The following are definitions of acceptable trenchless installation methods(24a). A. Auger Boring (AB). A technique that forms a bore hole from a drive shaft to a reception shaft by means of a rotating cutting head. Spoil is transported back to the drive shaft by helical-wound auger flights rotating inside a steel casing that is being jacked in place simultaneously. AB may provide limited tracking and steering capability. It does not provide continuous support to the excavation face. AB is typically a 2-stage process (i.e., casing installation and product pipe installation).

Figure 9.7-1a Track-Type Auger Boring System: Figure 9.7-1b Augers Lifted into Auger boring machine placed on a track system Entrance Pit.

B. Slurry Boring (SB). A technique that forms a bore hole from a drive shaft to a reception shaft by means of a drill bit and drill tubing (stem). A drilling fluid (i.e., bentonite slurry, water, or air pressure) is used to facilitate the drilling process by keeping the drill bit clean and aiding with spoil removal. It is a 2-stage process. Typically, an unsupported horizontal hole is produced in the first stage. The pipe is installed in the second stage.

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Figure 9.7-2a Surface Launched Slurry Boring System

Figure 9.7-2b Slurry Boring Entrance Point & Slurry Retrieval Pit.

C. Pipe Jacking (PJ). A technique for installing a prefabricated pipe through the ground from a drive shaft to a reception shaft. The pipe is propelled by jacks located in the drive shaft. The jacking force is transmitted through the pipe to the face of the PJ excavation. The excavation is accomplished, and the spoil is transported out of the jacking pipe and shaft manually or mechanically. Both the excavation and spoil removal processes require workers to be inside the pipe during the jacking operation. D. Microtunneling (MT). A remotely controlled, guided pipe-jacking process that provides continuous support to the excavation face. The guidance system usually consists of a laser mounted in the drive shaft communicating a reference line to a target mounted inside the MT machines articulated steering head. The MT process provides ability to control excavation face stability by applying mechanical or fluid pressure to counterbalance the earth and hydrostatic pressures. E. Horizontal Directional Drilling (HDD). A 2-stage process that consists of drilling a small diameter pilot directional hole along a predetermined path and then developing the pilot hole into a suitable bore hole that will accommodate the desired utility and then pulling the utility into place. The HDD process provides the ability to track the location of the drill bit and steer it during the drilling process. The vertical profile of the bore hole is typically in the shape of an arc entrapping drilling fluid to form a slurry pathway rather than an open hole. This entrapped slurry provides continuous support to the bore hole.

9.7.2

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Figure 9.7-3a Horizontal Directional Drilling Figure 9.7-3b Horizontal Directional Drilling Entrance Pit with Dewatering Sump. Entrance Pit.

F. Utility Tunneling (UT). A 2-stage process in which a temporary ground support system is constructed to permit the installation of a utility. The temporary tunnel liner is installed as the tunnel is constructed. Workers are required inside the tunnel to perform the excavation and/or spoil removal. The excavation can be accomplished manually or mechanically.

Because trenchless installations are typically specified to minimize/eliminate disturbance to the surrounding area, the specification dictates monitoring tasks for the Contractor to perform. A survey of the existing ground surface along the proposed path of casing installation, prior to the start of work, will establish baseline data. The trenchless installation process will be closely monitored during its operation to minimize/eliminate ground movements. The designer should ensure that the project contains Item 625.01 Survey and Stakeout. If Pipe Jacking or Utility Tunneling is determined to be the method of installation during construction (both the excavation and spoil removal processes require workers to be inside the pipe during the jacking operation), work will proceed in accordance with 107-05 R. Confined Spaces and a written confined space plan (addresses prevention of unauthorized entry, type of hazard, work practices, monitoring, provision for attendant, duties of employees, rescue and emergency medical services, multi-employer operations, and provisions for review procedures).

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Trenchless Methods Personnel Entry Not Required

Horizontal Earth Boring

Personnel Entry Required

Pipe Jacking Utility Tunneling

Hand Mining Compaction

Open Face Shield Pipe Ramming

Tunnel Boring Machines Slurry

Road Header

New Austrian Tunneling

Auger Boring

Microtunneling

Directional Drilling

Track Type

Cradle Type

Water Jetting

Slurry Boring

Maxi

Midi

Mini

Push Rod

Rotary

Percussion

Slurry

Auger

Fluid Cutting

Mechanical Cutting

Figure 9.7-4(24a) Classification Systems for Trenchless Methods 9.7.3 Casing, Length, Type, and Size The proposed casing length, type, and size shall be indicated in the contract documents. A. Auger Boring (AB). The auger boring method forms a bore hole from a drive shaft to a reception shaft by means of a rotating cutting head. Since augers rotate inside the casing, the casing and its coating material must resist potential damage from the augers. The typical casing pipe is made of steel. If required, the utility carrier pipe may be made of any material suitable for the utility being carried. Steel pipe shall be bare steel casing pipe meeting the requirement of ASTM A53, Grade B, Types E or S, or approved equal. The ends shall be prepared for butt welding and beveled at 37 degrees. B. Slurry Boring (SB). The slurry boring method forms a bore hole from a drive shaft to a reception shaft by means of a drill bit and drill tubing (stem). A pilot hole is drilled and checked for accuracy. Once confirmed, the pilot hole is reamed to the desired bore-hole diameter and a casing is inserted. Any type of casing can be installed. The casing may be installed by tension forces, compressive forces or both.

9.7.3

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C. Pipe Jacking (PJ). The pipe jacking method installs a prefabricated pipe through the ground from a drive shaft to a reception shaft by propelling it by jacks located in the drive shaft. The jacking force is transmitted through the pipe to the face of the PJ excavation. Therefore, the type of casing must be capable of transmitting the required jacking forces from the thrust plate to the jacking shield. Steel casing, reinforced concrete pipe (RCP), or glass-fiber reinforced plastic pipe (GFRP) are the most common types of casing used. Steel pipe shall be bare steel casing pipe meeting the requirement of ASTM A53, Grade B, Types E or S, or approved equal. The ends shall be prepared for butt welding and beveled at 37 degrees. Reinforced concrete pipe shall meet the requirements of 706-02 Reinforced Concrete Pipe for Class V, except that the exterior barrier shall be smooth. D. Microtunneling (MT). The microtunneling method is a remotely controlled, guided pipejacking process. Since the microtunneling process is cyclic pipe jacking process, the discussion on the pipe jacking method applies. Steel casing, reinforced concrete pipe (RCP), or glass-fiber reinforced plastic pipe (GFRP) are the most common types of casing used. Steel pipe shall be bare steel casing pipe meeting the requirement of ASTM A53, Grade B, Types E or S, or approved equal. The ends shall be prepared for butt welding and beveled at 37 degrees. Reinforced concrete pipe shall meet the requirements of 706-02 Reinforced Concrete Pipe for Class V, except that the exterior barrier shall be smooth. E. Horizontal Directional Drilling (HDD). The horizontal directional drilling method consists of drilling a small diameter pilot directional hole along a predetermined path and then developing the pilot hole into a suitable bore hole that will accommodate the desired utility and then pulling the utility into place. The type of casing is limited to one which can be joined together continuously, while maintaining sufficient strength to resist the high tensile stresses imposed during the pullback operation. Steel casing or butt-fused, high density polyethylene pipe (HDPE) are the most common types of casing used. Steel pipe shall be bare steel casing pipe meeting the requirements of ASTM A53, Grade B, Types E or S, or approved equal. The ends shall be prepared for butt welding and beveled at 37 degrees. High Density Polyethylene (HDPE) pipe shall be SDR-9 or SDR-11 and shall meet the requirements of AWWA C906, PPI PE 3408 and ASTM D3350 B PE 345444C. F. Utility Tunneling (UT). The utility tunneling method consists of temporarily supporting the bore with tunnel liner plates to permit the installation of a utility. When a shield is used, the tunnel liner plates shall be designed to withstand the thrust from jacking the shield against the full front edge of the newly installed tunnel lining. Tunnel liner plates may be manufactured from steel or designed as precast concrete. 9.7.4 Design Development Table 9-8(24c) provides the designer with an assumption on the potential method of installation based upon the identified subsurface conditions. Some trenchless installation methods are unsuitable for some diameters. Table 9-9(24a,b) provides the designer with guidance on the potential method of installation for the desired length of casing to be installed. Table 9-10(24a) provides the designer with an assumption on some productivity rates, limitations and cost estimates to develop an overall cost and schedule for their project. 10/29/10 9.7.4

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TABLE 9-8

(24c)

Ground Conditions and Suitability of Trenchless Methods

Auger Microtunneling

Slurry Microtunneling

Ground Conditions

Soft to very soft clays, silts & organic deposits Medium to very stiff clays and silts Hard clays and highly weathered shales Very loose to loose sands above watertable Medium to dense sands below the watertable Medium to dense sands above the watertable Gravel & cobbles less than 2 in. to 4 in. diameter Soils with significant cobbles, boulders and obstructions larger than 4 in. to 6 in. diameter Weathered rocks, marls, chalks and firmly cemented soils Slightly weathered to unweathered rocks Yes Marginal No

Y Y Y M N Y Y M

Y Y Y Y Y Y Y M

M Y Y Y N Y Y M

Y Y Y M N M N N

Y Y Y Y Y Y M M

Y Y Y Y Y Y M N

M Y Y M N Y Y M

Y Y

Y N

Y N

N N

Y M

Y M

M N

Generally suitable by experienced contractor with suitable equipment. Difficulties* may occur, some modifications of equipment or procedure may be required. Substantial problems, generally unsuitable or unintended for these conditions.

* Difficulties in certain trenchless installation operations may require corrective solutions which, if not comprehensively detailed in the contract documents, can add significantly to the projects overall cost through delays and claims. For example, a low density soil with numerous, loose boulders may result in failure of many of the trenchless installation methods. A corrective solution may necessitate a soil grouting operation, which will increase costs dramatically if not originally outlined in the contract documents. These situations should be thoroughly examined with the Regional Geotechnical Engineer to determine if trenchless installation is the appropriate mechanism for the installation of the casing.

9.7.4

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Utility Tunneling Y Y Y Y N Y Y M Y Y

Auger Boring

Slurry Boring

Pipe Jacking

Mini-HDD

HDD

SOILS, WALLS, AND FOUNDATIONS

TABLE 9-9
(24a,b)

9-135 Compatible Soil Types Variety of soil conditions.

Trenchless Construction Techniques

Installation Method Auger Boring (AB)

Typical Installation Diameters Achievable Dia. Range: 4 in. to 60 in. Common Dia. Range: 8 in. to 36 in.

Typical Installation Lengths Typical project lengths range from 100 ft. to 300 ft.

Slurry Boring (SB)

Achievable Dia. Range: 2 in. to 48 in. Common Dia. Range: 2 in. to 12 in.

Typically, SB is a non-directionally controlled process; therefore, the risk of obtaining an unacceptable pilot hole increases greatly with distance. Although the common bore hole spans are approx. 50 ft., bore holes longer than 330 ft. have been installed by SB.

Pipe Jacking (PJ)

MicroTunneling (MT)

Horizontal Directional Drilling (HDD)

Achievable Dia. Range: The length of the PJ drive is determined Stable granular and cohesive 42 in. to No theoretical by the amount of available jacking thrust soils are best. Unstable sand is limit. and the compressive strength of the least favorable. Large boulders pipe. The most common range for drive cause frequent work stoppage. Common Dia. Range: lengths is from 500 ft. to 1000 ft.. No Confined space entry for Method can be executed with 48 in. to 72 in. theoretical limit. hand mining. any ground condition with adequate precautions. Achievable Dia. Range: The most common range for drive Primary Jacking Pit: 15 ft. Variety of soil conditions, 10 in. to 140 in. lengths is from 500 ft. to 1000 ft. for long, 10 ft. wide, smaller including full face rock and high slurry MT and 200 ft. to 400 ft. for auger retrieval pit, room for slurry groundwater head. Common Dia. Range: MT. tanks, pipe storage. 24 in. to 48 in. Achievable Dia. Range: Bore lengths can range from 400 ft. to Entry & Exit pits not Clay is ideal. Cohesionless sand 3 in. to 48 in. 6000 ft. depending on the site required. Space for set up and silt require bentonite. Gravel conditions. of rig and drilling fluid tank: and cobbles are unsuitable. 400 ft. by 200 ft. Achievable Dia. Range: No theoretical limit. Person-entry and hand mining requires a min. 42 in. Dia. tunnel. No theoretical limit. Smaller surface area Variety of soil conditions. compared to PJ (compactness of liner system). Confined space entry for hand mining and liner installation. 9.7.4

Work Space Requirements Entry & Exit bore pits (25 ft. to 36 ft. by 8 ft. to 12 ft.). Working area: 30 ft by 80 ft., includes room for storing augers, casing, etc. Entry & Exit bore pits/ shafts. Working area: 16 ft. to 32 ft. by 50 ft. to 65 ft., includes room for laydown space for drill tube, casing, lifting equip., pumps, drill fluid, etc. Jacking pit is a function of the pipe size. Pit sizes vary from 10 ft. to 30 ft.

Firm, stable cohesive material. Wet, noncohesive material can be accommodated provided that special precautions are exercised.

Utility Tunneling (UT)

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TABLE 9-10
(24a)

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Productivity Rates, Limitations, and Estimated Costs for Trenchless Methods

Installation Method Auger Boring (AB)

Productivity Rates* It will take a four-person crew 3-4 hr. to set up the AB equipment for a steel casing project 2 ft. in diameter utilizing segments 20 ft. in length. A typical production rate for this size project is 100 ft. in an 8-hr shift. SB typically is used for small-diameter, short bore lengths. For example, a common size conduit is 4 in. with a bore length of 50 ft.. A two-to threeperson crew can be expected to accomplish three or four of these drives in a workday. A reasonable productivity range for PJ projects is 30 ft. to 100 ft. per shift with a four- or fiveperson crew. Factors that can affect productivity include the presence of groundwater, unanticipated obstructions such as boulders or other utilities, and changed conditions such as encountering wet, silty sand after selecting equipment for stable sandy clay. A four- to eight-person MT crew can obtain a production rate of 30 ft. to 60 ft. per shift.

Limitations

Cost**

Cannot be used in wet, running sands or soils with $3 to $6 per inch of large boulders. casing diameter per linear foot of casing.

Slurry Boring (SB)

A major concern with using any type of drilling fluid under a roadway is the potential for over-excavation.

$1 to $3 per inch of casing diameter per linear foot of casing.

Pipe Jacking (PJ)

Large boulders cause frequent work stoppage.

Hand Mining: $6 to $15 per inch of casing diameter per linear foot of casing.

MicroTunneling (MT) Horizontal Directional Drilling (HDD)

Utility Tunneling (UT)

Obstructions are an issue. A special concern that is critical to the success of an MT project is the ability to predict and control jacking forces. A three-person HDD crew, in suitable ground Not suitable for high degree of accuracy such as conditions, can install a pipeline as long as 600 ft. gravity sewer application. in a workday. An HDD operation allows curved bores on casing diameters under 24 in. but the radius of curvature is generally not less than 100 times the diameter of the casing pipe. The installation of segmental liners almost always Carrier pipe is required to be installed to carry the requires manual operations, The actual tunnel utility and the annular space between the tunnel liner advance is determined by soil conditions plates and carrier pipe need to be grouted. encountered, the method of soil excavation and removal, liner materials, and the field coordination and skill level of the Contractor.

$13 to $20 per inch of casing diameter per linear foot of casing. 2 in. to 10 in.: $5 to $50 per linear foot. 10 in. to 24 in.: $50 to $200 per linear foot. 24 in. to 48 in.: $200 to $500 per linear foot. Hand Mining: $7 to $16 per inch of casing diameter per linear foot of casing.

* Productivity estimate does not include the excavation and shoring of the entrance and exit pits. ** Cost estimates given in reference, based on Midwest Cost indices, 1996. Recent bid prices should be reviewed and compared.

9.7.4

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9.7.5 Submittal Process The trenchless installation of casing specification was created to provide flexibility to a Contractor given a situation where the traditional open-cut-trench method is not permitted or where the trenchless installation of casing is more efficient, less disruptive, etc. This generic specification requires the Contractor to submit the method of trenchless installation, which may include the previously defined methods. By accepting various types of trenchless installation methods, we allow the Contractor to utilize their experience and expertise to decide on the appropriate method to progress through the anticipated subsurface conditions. This places a responsibility on the Department to define the subsurface conditions. The subsurface explorations must provide enough information to define the engineering characteristics of the soil and rock. See Designer Guidance Geotechnical Review. To ensure the designed drill path is in compliance with the contract documents during installation, the Contractor is required to submit their proposed steering (e.g. articulated steering head, offset jets incorporated into a direction sensing and steering head, etc.) and tracking equipment (e.g. sonde transmitter & receiver, electromagnetic down-hole navigational system, water level line, laser & survey tools, etc.), procedures, and proposed locations requiring surface or subsurface access.

Figure 9.7-5a Slurry Boring Tracking Equipment: Electromagnetic Down-Hole Navigational System: Tracer Wire Splice.

Figure 9.7-5b Slurry Boring Tracking Equipment: Electromagnetic Down-Hole Navigational System: Surface Cables.

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Figure 9.7-6a Horizontal Directional Drilling Tracking Equipment (Walk-Over Receiver): Vermeer Eclipse Drill Head Locator.

Figure 9.7-6b Horizontal Directional Drilling Tracking Equipment (Walk-Over Receiver): Vermeer Eclipse Drill Head Locator.

A review of the Contractors submittal of their proposed steering and tracking equipment procedures should note that walk-over monitoring systems will require a depth measurement at least every 5 ft. to 30 ft. directly over the cutting head, depending on the pipe tolerances required. The maximum depth of walkover monitoring is often limited to 15 ft. or less. Electromagnetic down-hole navigational systems can be used for deeper depths but is often not as accurate as walk-over monitoring. Overhead wires, concrete rebar and adjacent CMP culverts can interfere with the accuracy of the readings. 9.7.6 Designer Guidance Geotechnical Review. The designer should consult with the Regional Geotechnical Engineer (RGE) to ensure adequate subsurface explorations are progressed to verify the feasibility of installing the proposed casing via trenchless methods. The designer and the RGE should discuss the subsurface conditions (type of soil, groundwater elevation, obstructions, existing utilities, etc.), length of bore, sensitivity of existing aboveground structures, etc., with respect to the proposed casing type and diameter, to determine the appropriateness of utilizing the specification. The importance of adequate subsurface explorations cannot be overstated. Since there is no separate payment for obstructions, the Department must adequately define the subsurface conditions if we are to avoid contract disputes.

9.7.6

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Subsurface explorations must provide enough information to define the engineering characteristics of the soil and rock. This is important for the Contractor to know what kind of conditions will be encountered while installing the casing so appropriate methods and equipment can be selected and a reasonable bid submitted. A majority of the trenchless installation methods are potential techniques for progressing through full-face bedrock. However, if bedrock is encountered in the subsurface explorations at an elevation in the vicinity of the proposed drill path, revisions may be necessary. A minimum separation of 4 ft. should be allowed between bedrock and the bottom of the proposed casing. The designer should investigate installing the casing completely within rock. If this separation cannot be achieved, the Regional Geotechnical Engineer should investigate the subsurface conditions further with close interval subsurface explorations to identify the rock surface. Utility Review. The specification will pay for the trenchless installation of casing which may be used to install a utility. The designer should consult with the Regional Utilities Engineer (RUE) to discuss the location and type of casing with consideration to the type of utility to be installed. Rails Review. For an installation under a railroad, the designer shall consult with the Rail Agreements Section of the Design Services Bureau to identify the appropriate additional items for the track support system. The Railroad (or the Department depending on the site specific subsurface conditions) may require an uninterrupted trenchless installation within the railroad / roadbed influence zone. Railroad's typically require this operation to progress on a 24-hr basis, without stoppage (except for adding lengths of casing), until the leading edge of the casing has reached the exit pit. Environmental Review. The designer should identify potential impacts the trenchless installation may have on existing environmental and cultural resources and identify watercourses, wetlands, etc., which may require protection from the cuttings and pit spoil handling areas and final placement areas of the trenchless installation method. Right-Of-Way Review. The designer should identify potential impacts the trenchless installation may have on existing right-of-way restrictions with respect to the location of the entrance and exit pits. It should be noted that all trenchless installation methods may be pit launched. However, some techniques may be surface launched, which may extend the required work space requirements. Health and Safety Review. The designer should consult with the Regional Health and Safety Representative (if appropriate) to discuss potential use of Pipe Jacking or Utility Tunneling and the applicable safety standards for work in confined spaces. Regional Health and Safety Representative will work with the Regional Construction Safety Coordinator and EIC as a technical advisor during construction.

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9.8 CONTRACT INFORMATION Contract documents represent many months of analysis and design. concisely, and completely tell the bidder what work will be required. 9.8.1 Earthwork Summary Sheets Earthwork Summary Sheets shall be provided in the contract plans or proposal, depending on the quantity of items 203.02 and/or 203.03 in the contract and the project length. Earthwork Summary Sheets are an important component of the contract documents because they provide the contractor with a summary of: Earthwork (i.e., a pay item quantity summary of item 203.02 Unclassified Excavation and Disposal, and item 203.03 Embankment In Place). Trench and culvert excavation (i.e., a pay item quantity summary of item 206.02 Trench and Culvert Excavation, and item 206.04 Trench and Culvert Excavation - O.G.). In addition, they provide the: Contractor with a breakdown of the rock and nonrock quantity associated with the overall item quantity. Basis for any item adjustment under Standard Specification Section 104-04 Significant Changes in the Character of Work, D. Composite Items. Earthwork Summary Sheets ES-1 and ES-2 shall be provided in the plans for all projects over 500 ft. in length which have over 5,230 yd3 of the sum of items 203.02 (Unclassified Excavation and Disposal) and 203.03 (Embankment In Place). When these criteria are not met, Earthwork Summary ES-1A and ES-2A (letter size paper) shall be prepared and provided for inclusion in the proposal. If items 203.02 or 202.03 are not part of the project, ES-2A shall be prepared when items 206.02 and/or 206.04 are in the estimate. Guidance regarding completing these sheets is as follows: All five columns of the Summary of Trench and Culvert Excavation Table (on ES-1/ ES2A as applicable) shall be completed when items 206.02 and/or 206.04 are in the engineers estimate. All six columns of the Summary of Earthwork Table (on ES-1/ ES-2A as applicable) and all columns of ES-2 shall be completed when items 203.02 and/or 203.03 are in the engineers estimate. Do not leave any blanks. Fill in blanks with zeros where appropriate. They must clearly,

Earthwork Summary Sheets are illustrated in Chapter 21, Appendix E, of this manual.

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The Standard Specifications and various Special Specifications include many references to information to be shown or indicated on the contract plans and/or in the proposal. These references most often refer to an illustration or listing of details and requirements, payment lines, or estimates of quantities for various segments of the work. This is done, particularly with soil- or foundation-related specifications, to allow for a generic specification to be used despite the vastly changing subsurface conditions throughout the State dictating site-specific geotechnical designs. In the interest of clarity and completeness, the designer should carefully review the specifications for each contract item, to ensure that necessary and appropriate information is included in the plans and/or proposal.

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9-142 9.8.3 Proposal

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The proposal contains, in addition to other items, all Special Specifications, special notes, and the list of payment items and quantities.

9.8.3.1 Special Specifications Special soil items, including modifications to existing Standard Specifications, should be prepared in consultation with the Regional Geotechnical Engineer to ensure that they adequately describe the work required.

9.8.3.2 Laboratory Building The contract should include a payment item for a laboratory building when one is needed. It should be included on any project that will require significant field testing or processing samples for testing. On projects requiring minimal field testing or processing of samples, the Engineer's field office will serve this purpose. The Regional Geotechnical Engineer should be consulted regarding need for a laboratory building.

9.8.3.3 Special Notes The special notes should describe any unusual soil conditions that are anticipated. This information may be extracted from geotechnical reports prepared by the Regional Geotechnical Engineer during progress of the design.

9.8.3.4 Supplemental Information Available to Bidders Chapter 21 of this manual indicates the material to be made available to bidders. Rock cores should be made available for examination by prospective bidders at the Regional office. Logs of all subsurface information should also be made available to all bidders, and may be reviewed or copied by the bidder or copies purchased through the Region.

9.8.3

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The following bullets present various sections of the plans organized consistent with Chapter 21 of this manual. Each bullet contains guidance regarding soils-, wall-, and/or foundations-related considerations. Typical Sections Earthwork payment lines and items must be shown or indicated on all typical sections, which should be reviewed by the Regional Geotechnical Engineer. List of Abbreviations - Subsurface Explorations The following abbreviations are included on the Abbreviations plan sheet and should be used to identify subsurface explorations: Abbreviation DA DN FH DM PA AH RP PH TP PT SP CP Subsurface explorations in follows: Abbreviation B C D F K W X Identification 2.5 in. Cased drill hole 4 in. Cased drill hole Hollow flight auger Drilling mud Power auger Hand auger 1 in. Sampler (retractable plug) Probe hole Test pit Percolation test hole Seismic point Cone penetrometer the DA, DM, DN, and FH categories are further identified as Identification Bridge Cut Dam Fill Culvert Wall Misc.: Used if one of these six designations cannot be used at the time of exploration.

Each type of exploration is numbered sequentially; for example, DA-B-1 is a 2.5 in. cased-drill-hole exploration for a bridge. (Sequence numbers are not repeated for any other exploration on a project.) Symbology. The symbol on plans for a point of subsurface exploration is provided in resource files as discussed in Chapter 4 of the CADD Standards and Procedure Manual. This symbol is illustrated on the Legend. Plans should also define locations of rock outcrops, as determined by a Department Engineering Geologist.

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Unsuitable Material. It is important that the extent of removal of such material, its disposal, and the required backfill be determined during design. This information must be clearly presented with excavation and backfill payment lines in the contract documents. Various methods are acceptable for presenting this information, such as contours showing the bottom of removal, or a table indicating depth of removal at each section or at each exploration location. Special Earthwork Details. On some projects, soil conditions may dictate special construction procedures. Some are described in Section 9.3, such as vertical sand or wick drains, areas requiring undercutting, slope-protection measures, or construction-monitoring devices. Details and limits of these procedures must be clearly shown on the plans.

Sign and Signal Structures Foundation designs for traffic signal poles are included in the Series 680 Standard Sheets. Overhead sign structure foundation designs are found in the OS Series Bridge Detail Sheets. The designer should contact the Regional Geotechnical Engineer if any special or unusual foundation conditions or loadings are encountered and the appropriate information included on the plans.

Retaining Walls(14, 15, 16, 17, 18, 19) The Regional Geotechnical Engineer should be consulted regarding foundation parameters to be used in designing retaining walls or similar structures, including location of borings, setting footing elevations, maximum design soil pressure, and sliding-friction coefficient. This information should be included on the contract plans.

Bridges Requirements for either pile or spread-footing foundations are included in individual bridge contract plan sheets, as well as a general soil profile. This geotechnical information is provided by the Geotechnical Engineering Bureau to the Structures Design and Construction Division.

Standard Sheets(1). Following is a list of soil- or foundation-related sheets: 203 Series Construction Details: Unsuitable Material Excavation and Backfill. Earthwork Transition and Benching Details. Installation Details for Granular Fill-Slope Protection. Installation Details for Reinforced Concrete or other Rigid Pipes. Installation Details for Corrugated and Structural Plate Pipe and Pipe Arches. 204 Series Controlled Low Strength Material (CLSM) Installation Details for Circular and Elliptical Corrugated Metal Arches, Structural Plate Pipe and Pipe Arches, and Reinforced Concrete and other Rigid Pipes.

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209 Series Soil Erosion and Sediment Control, Linear Measures. Soil Erosion and Sediment Control, Check Dams. Soil Erosion and Sediment Control, Drainage Structure Inlet Protection. Soil Erosion and Sediment Control, Pipe Inlet/Outlet Protection, Pipe Slope Drain. Soil Erosion and Sediment Control, Construction Entrances. Soil Erosion and Sediment Control, Sediment Traps. 605 Series Porous Concrete Pipe Underdrain. 554 Series Proprietary Fill Type Retaining Walls Sheets 1 through 5. Geosynthetically Reinforced Soil Systems Sheets 1 through 6. These standard sheets should be listed on the plans title sheet when applicable. Their use eliminates duplication of typical sections and details for treatments. In the event actual conditions do not lend themselves to these treatments, a typical section or detail must be recommended by the Geotechnical Engineer and included in the contract plans. they are standard standard Regional

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9-146 9.9 REFERENCES

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1. New York State Standard Sheets, Design Quality Assurance Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, New York 12232. 2. Standard Specifications, Construction and Materials, Design Quality Assurance Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, New York 12232. 3. Official Compilation of Codes, Rules and Regulations, 6NYCRR Part 360, Solid Waste Management Facilities, Title 6, December 31, 1988. New York State Department of Environmental Conservation, 625 Broadway, Albany, New York 12233. 4. Geotechnical Engineering Bureau Manual GDP-12 Design Consultant Agreements: SoilsRelated Task Assignments. 5. The following references provide additional guidance regarding subsurface explorations:
(5a)

Geotechnical Engineering Drilling Manual, Geotechnical Engineering Bureau, July, 1999. (5b) Soil Mechanics by the Department of Navy, Naval Facilities Engineering Command, Design Manual 7.1: May, 1982. (5c) Geotechnical Engineering Manual (GEM-19) Guidelines for Preparing Drilling Contracts, Geotechnical Engineering Bureau, July, 2001. (5d) Geotechnical Engineering Manual (GEM-8) Techniques to Improve Undisturbed Sampling, Geotechnical Engineering Bureau. (5e) AASHTO Designation T206-03/ ASTM Designation D1586-99 Standard Test Method for Penetration Test and Split-Barrel Sampling of Soils. (5f) AASHTO Designation T207-03/ ASTM Designation D1587-00 Standard Test Method for Thin-Walled Tube Sampling of Soils. 6. The following references provide additional guidance regarding settlement and stability:
(6a)

Soil Mechanics by the Department of Navy, Naval Facilities Engineering Command, Design Manual 7.1: May, 1982. 7. The following references provide additional guidance regarding embankment foundations:
(7a)

Soil Mechanics by the Department of Navy, Naval Facilities Engineering Command, Design Manual 7.1: May, 1982. (7b) Foundations and Earth Structures by the Department of Navy, Naval Facilities Engineering Command, Design Manual 7.2: May, 1982. (7c) Geotechnical Test Procedure (GTP-2) An Engineering Description of Soils Visual-Manual Procedure, Geotechnical Engineering Bureau. (7d) Geotechnical Engineering Manual (GEM-12) Guidelines for Embankment Construction, Geotechnical Engineering Bureau. (7e) Geotechnical Test Method (GTM-6) Test Method for Rapid Earthwork Compaction Control, Geotechnical Engineering Bureau. (7f) Geotechnical Test Method (GTM-9) Test Method for Earthwork Compaction Control by Sand Cone or Volumeter Apparatus, Geotechnical Engineering Bureau.

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(7g)

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Geotechnical Test Method (GTM-10) Test Method for Earthwork Compaction Control by Nuclear Gauge, Geotechnical Engineering Bureau. 8. The following references provide additional guidance regarding the geotechnical design guidance for stormwater management and erosion and sediment control:
(8a) (8b)

NYSDOT Highway Design Manual, Chapter 8 Highway Drainage. NYSDOT Design Requirements and Guidance for State Pollutant Discharge Elimination System (SPDES) General Permit GP-02-01. (8c) Memorandum of Understanding (MOU) regarding the SPDES General Permit for Stormwater Discharges from Construction Activity, GP-02-01. (8d) SPDES General Permit for Stormwater Discharges from Construction Activity, GP-02-01, and SPDES General Permit for Stormwater Discharges from Municipal Separate Stormwater Sewer Systems (MS4s), GP-02-02. (8e) NYS Standards and Specifications for Erosion and Sediment Control, NYS Soil and Water Conservation Committee, August, 2005. (8f) NYS Stormwater Management Design Manual, Center for Watershed Protection, August, 2003. ((8g) Construction Site Erosion and Sediment Control Certification Course manual, Washington State Department of Transportation. (8h) Soil Mechanics Principles and Applications, William Perloff & William Baron, 1976 by John Wiley & Sons (Modified from Terzaghi and Peck (1967). 9. The following references provide additional guidance regarding underdrains and edgedrains:
(9a)

NYSDOT Comprehensive Pavement Design Manual, Chapter 9 Subsurface Pavement Drainage. (9b) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-92-008: Drainable Pavement Systems, Participants Notebook, Demo. 87, March, 1992. (9c) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-NHI-99-030: Pavement Subsurface Drainage Design, Participant Workbook, ERES Consultants, April, 1999. (9d) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-NHI-99-028: Pavement Subsurface Drainage Design, Reference Manual, ERES Consultants, April, 1999. (9e) National Cooperative Highway Research Program, Pavement Subsurface Drainage Systems, Synthesis of Highway Practice 239, 1997. 10. The following references provide additional guidance regarding rock excavation:
(10a)

Geotechnical Engineering Manual (GEM-22) Procedures for Blasting, Geotechnical Engineering Bureau. (10b) Geotechnical Design Procedure (GDP-13) for Preparing Rock Slope Recommendations, Geotechnical Engineering Bureau. (10c) Geotechnical Engineering Manual (GEM-15) Rock Slope Rating Procedure, Geotechnical Engineering Bureau. (10d) Rockfall Catchment Area Design Guide, Final Report, SPR-3(032), Oregon Department of Transportation, FHWA-OR-RD-02-04, January, 2002.

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(10e)

SOILS, WALLS, AND FOUNDATIONS The Nature of Rockfall as the Basis for a New Fallout Area Design Criteria for 0.25:1 Slopes, Engineering Geology Group Oregon Department of Transportation, FHWA-OR-GT-92-05, September, 1994. (10f) Evaluation of Rockfall and Its Control by Arthur M. Ritchie, Washington State Highway Commission, Highway Research Record, Vol. 17: 1963. (10g) Rock Slopes: Design, Excavation, Stabilization, FHWA-TS-89-045, September, 1989.

11. The following references provide additional guidance regarding excavation protection and support:
(11a)

Safety and Health Regulations for Construction, Title 29 Code of Federal Regulations, Part 1926, Subpart P Excavations, US Department of Labor, Occupational Safety & Health Administration (OSHA). (11b) NYSDOT Bridge Manual, Section 4: Excavation, Sheeting, and Cofferdams. 12. The following references provide additional guidance regarding geotextiles:
(12a)

US Department of Transportation, Federal Highway Administration, Publication No. FHWA-HI-95-038: Geosynthetic Design and Construction Guidelines, NHI Course No.13213 Participant Notebook, May, 1995. (12b) Geosynthetic Acceptance and Quality Assurance Procedures, Geotechnical Engineering Bureau Directive 124.1-4-2R8, May, 2001. (12c) Engineering Principles of Ground Modification, Manfred Hausmann, University of Technology, Sydney, McGraw-Hill Publishing Co., 1990. (12d) NYSDOT Materials Approved List, Geosynthetics for Highway Construction. (12e) National Transportation Product Evaluation Program (NTPEP), American Associations of State Highway and Transportation Officials (AASHTO): M-288 Specification. (12f) Guide to NYSDOT Usage of Geotextiles, Soil Mechanics Bureau, January, 1988. 13. The following references provide additional guidance regarding controlled low strength material:
(13a)

US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-94-081: Fly Ash Facts for Highway Engineers, American Coal Ash Association, August, 1995. (13b) Controlled Low Strength Material (CLSM) Technical Reports, A Collection of Five Research Reports on Controlled Low Strength Material for The Cincinnati Gas & Electric Co., Brewer & Associates, January, 1992. 14. The following references provide additional guidance regarding anchored walls:
(14a)

Geotechnical Design Procedure (GDP-11) for Flexible Wall Systems, Geotechnical Engineering Bureau. (14b) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-DP-68-1R: Permanent Ground Anchors, November 1984.

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(14c)

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US Department of Transportation, Federal Highway Administration, Publication No. FHWA-RD-82/047: Tiebacks, Compliments of the Schnabel Foundation Co., July, 1982. (14d) Post Tensioning Institute (PTI), Recommendations for Prestressed Rock and Soil Anchors, 2004. (14e) Section 5: Retaining Walls in the Standard Specifications for Highway Bridges, adopted by the American Associations of State Highway and Transportation Officials (AASHTO). (14f) Foundations and Earth Structures by the Department of Navy, Naval Facilities Engineering Command, Design Manual 7.2: May, 1982. (14g) Permanent Ground Anchors - Nicholson Design Criteria, FHWA RD-81-151. (14h) Permanent Ground Anchors - Soletanche Design Criteria, FHWA RD-81-150. (14i) Permanent Ground Anchors - Stump Design Criteria, FHWA RD-81-152. (14j) Tiebacks, Executive summary, FHWA RD-82-046. (14k) Permanent Ground Anchors, Volume 1, Final Report, FHWA DP-90-068. (14l) Permanent Ground Anchors, Volume 2, Field Demonstration Project Summaries, FHWA DP. (14m) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-96-038: Geotechnical Engineering Circular No. 2 Earth Retaining Walls, February, 1997. 15. The following references provide additional guidance regarding soldier pile and lagging walls:
(15a)

Geotechnical Design Procedure (GDP-11) for Flexible Wall Systems, Geotechnical Engineering Bureau. (15b) Foundations and Earth Structures by the Department of the Navy, Naval Facilities Engineering Command, Design Manual 7.2: May, 1982. (15c) Section 5: Retaining Walls in the Standard Specifications for Highway Bridges, adopted by the American Associations of State Highway and Transportation Officials (AASHTO). (15d) Chapter 8: Excavations and Retaining Structures, Geotechnical Engineering Bureau, Design Manual (Working Draft), April, 1996. (Available upon request through the Geotechnical Engineering Bureau.) 16. The following references provide additional guidance regarding sheeting:
(16a)

Geotechnical Design Procedure (GDP-11) for Flexible Wall Systems, Geotechnical Engineering Bureau. (16b) USS Steel Sheet Piling Manual, Updated and reprinted by US Department of Transportation/FHWA with permission: July, 1984. (16c) Foundations and Earth Structures by the Department of the Navy, Naval Facilities Engineering Command, Design Manual 7.2: May, 1982. (16d) Section 5: Retaining Walls in the Standard Specifications for Highway Bridges, Adopted by the American Associations of State Highway and Transportation Officials (AASHTO). (16e) NYSDOT Bridge Manual, Section 4: Excavation, Sheeting, and Cofferdams.

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(16f)

SOILS, WALLS, AND FOUNDATIONS Chapter 8: Excavations and Retaining Structures, Geotechnical Engineering Bureau, Design Manual (Working Draft), April, 1996. (Available upon request through the Geotechnical Engineer Bureau.)

17. The following references provide additional guidance regarding mechanically stabilized earth system (MSES):
(17a)

Geotechnical Engineering Manual (GEM-16) Mechanically Stabilized Earth System Inspection Manual, Geotechnical Engineering Bureau. (17b) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-NHI-00-043: Mechanically Stabilized Earth Walls and Reinforced Soil Slopes Design & Construction Guidelines, NHI course No. 132042, March, 2001. (17c) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-96-072: Corrosion/Degradation of Soil Reinforcements for Mechanically Stabilized Earth Walls and Reinforced Soil Slopes, FHWA Demo 82, August, 1997. (17d) Section 5: Retaining Walls in the Standard Specifications for Highway Bridges, Adopted by the American Associations of State Highway and Transportation Officials (AASHTO). 18. The following references provide additional guidance regarding geosynthetic reinforced earth systems (GRES):
(18a)

US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-96-038: Geotechnical Engineering Circular No. 2, Earth Retaining Systems, February, 1997. (18b) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-HI-95-038: Geosynthetic Design and Construction Guidelines, NHI Course No. 13213 Participant Notebook, May, 1995. (18c) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-RD-89-043: Reinforced Soil Structures Volume I. Design and Construction Guidelines, November, 1990. (18d) Engineering Principles of Ground Modification, Manfred Hausmann, University of Technology, Sydney, McGraw-Hill Publishing Co., 1990. 19. The following references provide additional guidance regarding soil nails:
(19a)

US Department of Transportation, Federal Highway Administration, Publication No. FHWA-IF-03-017: Geotechnical Engineering Circular No. 7 Soil Nail Walls, March, 2003. (19b) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-93-068: Soil Nailing Field Inspectors Manual, Soil Nail Walls-Demonstration Project 103, April, 1994. (19c) Geotechnical Engineering Manual (GEM-21): Design and Construction Guidelines for a Soil Nail Wall System, Geotechnical Engineering Bureau. (19d) Chapter 8: Excavations and Retaining Structures, Geotechnical Engineering Bureau, Design Manual (Working Draft), April, 1996.

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20. The following references provide additional guidance regarding drilled shafts:
(20a)

US Department of Transportation, Federal Highway Administration, Publication No. FHWA-IF-99-025: Drilled Shafts: Construction Procedures and Design Methods, Michael W. ONeil and Lymon C. Reese, 1999. (20b) Specification Item 551.9949nn17 and Guidelines: General Information and Guidelines for the Designer of Drilled Shafts and Trial Shafts, September, 1997. (20c) Handbook on Design of Piles and Drilled Shafts Under Lateral Load, FHWA IP-84-11. (20d) Geotechnical Control Procedure (GCP-18): Static Pile Load Test Manual, Geotechnical Engineering Bureau. (20e) Geotechnical Engineering Manual (GEM-18) Drilled Shaft Inspectors Guidelines, Geotechnical Engineering Bureau. (20f) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-91-042: Static Testing of Deep Foundations, February, 1992. (20g) Drilled Shaft Inspectors Manual, The Joint Caisson-Drilled Shaft Committee of the International Association of Foundation Drilling (ADSC) and Deep Foundation Institute (DFI), 1989. (20h) Section 4: Foundations, adopted by the American Associations of State Highway and Transportation Officials (AASHTO). (20i) NYSDOT Bridge Manual, Section 11: Substructures. (20j) Drilled Shafts, NHI Course 13214 Student Workbook, Publication No. FHWA HI-88-042, July, 1988. (20k) Manual for Non Destructive Testing and Evaluation of Drilled Shafts, Deep Foundation Institute (DFI) in cooperation with the International Association of Foundation Drilling (ADSC), 2004. (20l) Transportation Research Board Paper No. 98-0595, NDT Diagnosis of Drilled Shaft Foundations, Larry Olson, Marwan Aouad and Dennis Sack, January, 1998.

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21. The following references provide additional guidance regarding driven piles:
(21a)

US Department of Transportation, Federal Highway Administration, Publication No. FHWA-HI-97-013: Design and Construction of Driven Pile Foundations, Workshop Manual Volume I, NHI course Nos. 13221 & 13222, November, 1998. (21b) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-HI-97-014: Design and Construction of Driven Pile Foundations, Workshop Manual Volume II, NHI course Nos. 13221 & 13222, November, 1998 (21c) Geotechnical Engineering Manual (GEM-11), Charts to Facilitate Computation of Skin Friction on Driven Non-Tapered Piles in Cohesionless Soil, Geotechnical Engineering Bureau. (21d) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-91-042: Static Testing of Deep Foundations, February, 1992. (21e) US Department of Transportation, Federal Highway Administration, Publication No. TS-78-210: Negative Friction Downdrag on a Pile, 1978. (21f) A Pile Inspectors Guide to Hammers, Equipment Applications Committee of the Deep Foundation Institute (DFI), 1995. (21g) Section 4: Foundations, adopted by the American Associations of State Highway and Transportation Officials (AASHTO). (21h) NYSDOT Bridge Manual, Section 11: Substructures. (21i) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-DP-66-1: Manual on Design and Construction of Driven Pile Foundations, April, 1986. (21j) Inspectors Manual for Pile Foundations, Inspection and Testing Committee of the Deep Foundation Institute (DFI), 1979. 22. The following references provide additional guidance regarding micropiles:
(22a)

US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-97-070: Micropile Design and Construction Guidelines, Implementation Manual, June, 2000. (22b) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-RD-96-016: Drilled and Grouted Micropiles: State-ofPractice Review, Volume I Background, Classification, Cost, July, 1997. (22c) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-RD-96-017: Drilled and Grouted Micropiles: State-ofPractice Review, Volume II Design, July, 1997. (22d) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-RD-96-018: Drilled and Grouted Micropiles: State-ofPractice Review, Volume III Design, July, 1997. (22e) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-RD-96-019: Drilled and Grouted Micropiles: State-ofPractice Review, Volume IV Design, July, 1997. (22f) US Department of Transportation, Federal Highway Administration, Publication No. FHWA-SA-91-042: Static Testing of Deep Foundations, February, 1992.

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(22g)

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US Department of Transportation, Federal Highway Administration, Publication No. FHWA-TS-86-206: Bored Piles, 1986. It is also helpful to study references for grouted tiebacks, as the technologies are identical. 23. The following references provide additional guidance regarding building condition surveys and vibration monitoring (non blasting):
(23a)

Construction Vibrations and Their Impact on Vibration-Sensitive Facilities, Hal Amick and Michael Gendreau, Colin Gordon & Associates, Presented at ASCE Construction Congress 6, February 22, 2000. (23b) Transit Noise and Vibration Impact Assessment, Federal Transit Administration, Harris Miller Miller & Hanson Inc., Final Report April, 1995. (23c) Standard Recommended Practice for Evaluation of Transportation-Related Earthborne Vibrations AASHTO Designation: R 8-96 (2004). 24. The following references provide additional guidance regarding building condition surveys and vibration monitoring (non blasting):
(24a)

National Cooperative Highway Research Program, NCHRP Synthesis 242. Trenchless Installation of Conduits Beneath Roadways, A Synthesis of Highway Practice. Transportation Research Board, National Research Council. National Academy Press, Washington DC, 1997. (24b) California Department of Transportation, Design Information Bulletin No. 83 Caltrans Supplement to FHWA Culvert Repair Practices Manual.

http://www.dot.ca.gov/hq/oppd/dib/dib83-9.htm
(24c)

Trenchless Construction Methods and Soil Compatibility Manual, Third Ed. T. Iseley (Iseley Enterprises, Inc.), R. Tanwani (Montgomery Watson), and M. Najafi (Missouri Western State College). Prepared for the National Utility Contractors Association, 1999. (24d) Trenchless Construction Methods and Implementation Support, University of Missouri-Columbia and Missouri Department of Transportation, Organizational Results Research Report, R102.003, October 2005.

http://168.166.124.22/RDT/reports/Ri02003/or06007.pdf
(24e)

Pipe Jacking and Microtunnelling, J. Thomson, Chairman, Jason Consultancy Group, Blackie Academic & Professional, 1993 (24f) Requirements for the Design and Construction of Underground Utility Installation Within the State Highway Right-of-Way, NYS Department of Transportation, February, 1997.

http://www.dot.state.ny.us/cmb/consult/bluebook.pdf

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APPENDICES

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS

9A-1

This appendix presents the Departments process for evaluating new proprietary wall systems. 9A.1 PROCEDURE OVERVIEW The Technical Services Division, through the Materials Bureau, maintains Materials Bureau Approved Lists of Materials and Equipment (Approved Lists) for use on New York State Department of Transportation projects. The Department currently uses several categories of prefabricated and field-assembled retaining wall systems, including some that are proprietary. Because of their complexity and the variability involved in their design and construction, the procedure described below has been developed as the standard preapproval process for proprietary retaining wall systems. Suppliers/Manufacturers wishing to have their retaining wall systems eligible for use on the State Highway system should seek preapproval of their systems in conformity with the procedures described in this appendix.

9A.2 DEFINITIONS AND ROLES Approval - With respect to proprietary wall systems, approval signifies the Department's agreement that a given system (1) is technically satisfactory to be included on the Approved Lists and (2) meets the requirements of the Department's Specifications for its particular general classification. Conditional Approval - A probationary status, prior to approval (as defined above). The Department's conditional approval signifies that, subject to prebid review and within case specific conditional limitations, a system may be proposed for and used on Department projects where the wall's particular general classification has been specified. The Department may either approve or reject a system at the end of the conditional approval phase. Construction Engineer - The individual responsible for reviewing the application package on behalf of the Construction Division. Areas of responsibility include review of construction specifications, constructability per Department specifications, special equipment requirements, testing recommendations, schedule implications, and field construction manuals. Design Engineer - The individual responsible for reviewing the application package on behalf of the Design Services Bureau. Design Quality Assurance Engineer - The individual responsible for reviewing the application package on behalf of the Design Quality Assurance Bureau. Geotechnical Engineer - The individual responsible for coordinating the review of the retaining wall system and reviewing the application package on behalf of the Geotechnical Engineering Bureau. The Geotechnical Engineer's administrative responsibilities include keeping records of the application and the review process, preparing and transmitting the response(s) to the Supplier/Manufacturer, and recommending the addition of accepted systems to the Approved Lists. Technical responsibilities include review of (1) foundation requirements, (2) retaining wall stability requirements, (3) excavation and backfill requirements, (4) special geotechnical equipment and testing requirements, (5) durability and/or corrosion requirements of system components, and (6) the construction specifications. The Geotechnical Engineer will also be responsible for seeing that any necessary changes to the Department specifications are made.

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS

Maintenance Engineer - The individual responsible for reviewing the application package on behalf of the Transportation Maintenance Division. Responsibilities include evaluation of durability issues, field inspection problems, routine maintenance requirements, and ease of repair/replacement. Materials Engineer - The individual responsible for reviewing the application package on behalf of the Materials Bureau. Technical responsibilities include the review and evaluation of proposed system components, comparing proposed materials specifications with the Department's existing materials specifications, reviewing fabrication shop drawings for content and completeness, and maintenance of the Department's Approved Lists. Evaluation may include visits to the manufacturing facility(ies), review of the manufacturer's quality control and the sampling and laboratory testing of the individual components. Reviewers - Collectively, the individuals responsible for reviewing a properly submitted application. Structures Engineer - The individual responsible for reviewing the application package on behalf of the Structures Design and Construction Division. Technical responsibilities include strength of structural elements, reinforcing of foundation, connection details, and settlement tolerance of the rigid elements. Supplier/Manufacturer - Agent wishing to obtain Departments acceptance of a retaining wall system for use on the State Highway system and inclusion on the official Approved Lists. Responsibilities include preparation and submittal of application package, submittal of requests for modifications to approved systems and prompt notification to the Department of any system problems discovered with an approved system.

9A.2

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS 9A.3 PROCEDURAL GUIDELINES

9A-3

Supplier/Manufacturers submitting a preapproval application package should divide the information necessary for review into three sections as detailed in Attachment 1 to this procedure. Section 1 - Selection Information, should contain general information about the system. After a system is conditionally approved, this information will be made available to designers and, upon request, to s to support the process of selecting suitable candidate systems for a given project need. The information should include the limits of applicability, the location of the plant and its proven production capacity, Supplier/Manufacturer contact information, and specific cost information. Section 2 - Implementation Information should contain the detailed design procedures and construction specifications for the system. This information will form the basis of the guidance that will be provided to designers. Section 3 - Evaluation Information, should contain the information that will be used in the product evaluation process by the reviewers. This should include information on the development of the system, its theoretical background, test results, case histories, and when available, names, addresses, and phone numbers of users who may be contacted for their experience with the system. The Department's review of the application package will usually take between three and six months. New systems or modifications to approved systems may be (1) approved, (2) conditionally approved, or (3) rejected. If substantial improvements are made, the Department may elect to reconsider a rejected system that is resubmitted no earlier than six months from its date of rejection. Systems will not be reconsidered if significant technical deficiencies are not corrected. Systems rejected solely for a lack of proven performance history may be resubmitted after a period of one year. Conditional approval implies that the Department is willing to use the new or modified system in a number of trial installations before making a final decision to either add the system to the Approved Lists or reject the system (or its modification). When research is still being conducted on a new system to support or provide a performance history, the Department may grant conditional approval. The Department will determine whether a proposed installation on a project is suitable as a test site and will work with the Supplier/Manufacturer to develop a satisfactory testing and monitoring program if the Department's reviewers deem one necessary. For conditional approval, the Department will determine what limitations will be imposed on the conditions under which the system may be used. When modifications are to be made to an approved system, the responsible Supplier/Manufacturer should submit a written request for the revision of the approved system to the Geotechnical Engineering Bureau for review. The request package need only address the specific modifications requested and document the justification for the revision. Reviews of minor modifications will normally require two months. Review of major modifications will be treated as if they were new systems.

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS

The Supplier/Manufacturer has a responsibility to promptly notify the Geotechnical Engineering Bureau of any changes made to the approved system or of any problems with an approved system that are discovered. This includes any need to further limit the breadth of applicability of a system, revisions to the design process, details or construction procedures, or points of manufacture. Failure to notify the Department of changes or problems (including long-term performance problems) may result in disapproval of the system, or in the event of serious failures to notify, suspension or disapproval of all systems supplied by that Supplier/Manufacturer. 9A.4 STEPS IN THE PREAPPROVAL PROCESS SUPPLIER/MANUFACTURER 1. Obtains a copy of this procedure from the Geotechnical Engineering Bureau. Telephones or meets formally with the Geotechnical Engineering Bureau after reviewing procedure and prior to preparing application package. This is strongly advised but not mandatory and is intended to clarify any questions on or concerns over preparing the application package. Prepares the package in general conformance with the guidance in this procedure's Attachment 1. Submits the completed package to the Director of the Geotechnical Engineering Bureau with a written request for an evaluation of their system. GEOTECHNICAL ENGINEER 2. Documents receipt of the application package. Inspects the package for basic adequacy. Notifies the Supplier/Manufacturer and requests a re-submittal if the package is found to be inadequate. If found adequate, distributes copies to the Directors of, and to the designated reviewers in the Geotechnical Engineering Bureau, Construction Division, Design Services Bureau, Design Quality Assurance Bureau, Materials Bureau, Structures Design and Construction Division, and Transportation Maintenance Division. Provide the Structures Design and Construction Division reviewers with the necessary geotechnical information for their review. REVIEWERS 3. Review the application package, paying particular attention to individual areas of responsibility. Contact the Supplier/Manufacturer for clarifications of material in the application package related to their review. Upon completion of the review, provide written comments to the Geotechnical Engineer, indicating preference for (1) Approval, (2) Conditional Approval, or (3) Rejection, including the reasons for the rejection and any recommended limitations on use. Areas of concern that need to be resolved during the test installation phase should be identified. GEOTECHNICAL ENGINEER 4. Prepares a draft response to the Supplier/Manufacturers request for evaluation, indicating any areas of concern and distributes to the reviewers.

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS REVIEWERS 5.

9A-5

Review the draft response and notify the Geotechnical Engineer of concurrence or identify required corrections. GEOTECHNICAL ENGINEER

6.

Transmits the response to the Supplier/Manufacturer. If the system is conditionally approved, the letter will (1) be copied to Regional Design and Geotechnical Engineers, (2) be written to indicate (particularly to potential s that the Supplier/Manufacturer may later contact) that the system is conditionally approved, (3) list the specific limitations for use of the system, and (4) list the desired conditions for sites that will be considered for test installations. If the system is approved, go to Step 11 below. If the system is rejected, the letter will (1) state the reasons for the rejection and the areas within the application package that were affected, and (2) the time frame allowed for resubmission. SUPPLIER/MANUFACTURER

7.

Markets the conditionally approved system to Contractors. Notifies the Geotechnical Engineer of potential application on specific Department projects. GEOTECHNICAL ENGINEER

8.

Notifies the reviewers of the proposed use of the conditionally approved system. Arranges a meeting of reviewers to confirm site suitability and, if appropriate, to plan details of site specific testing and monitoring program. Acts as the single-point, formal contact with the Supplier/Manufacturer. Notifies the Supplier/Manufacturer of the site suitability and any site-specific monitoring/testing requirements. REVIEWERS

9.

Analyze the results from any site-specific monitoring/testing, as necessary, to evaluate systems that progress to installation. Provide a written summary evaluation to the Geotechnical Engineer, including the need for subsequent monitoring/testing, modifications to the limitations for use, and results relative to new or former areas of concern.

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS GEOTECHNICAL ENGINEER

10.

Drafts a letter summarizing the monitoring/test results and, if the system is retained in conditional approval status, identifies any changes in limitations on the use or subsequent monitoring/testing requirements. If necessary, announces the system rejection and reasons, as previously outlined. When the letter is approved by reviewers, transmits it to the Supplier/Manufacturer, the Main Office Design Services Bureau, and the Regional Design and Geotechnical Engineers. If reviewers agree that the system should be approved, documents the approval and requests that the Materials Bureau add the system to the Approved Lists. Files a record copy of the application package, review comments, and letter of response approving the system. Adds any design procedure information to the Geotechnical Engineering Bureau's Retaining Wall Design Guidelines and provides copies to the Main Office Design Services Bureau and to all Regional Design Engineers (RDEs) and Regional Geotechnical Engineers. Works with the Structures Design and Construction Division and Design Quality Assurance Bureau to add the description and any appropriate selection guidance to the Highway Design Manual. Works with the Construction Division to develop field inspection guidelines. Issues an Engineering Bulletin to designers, consultants, localities, and s on the EB mailing lists to announce the addition of the system to the Approved Lists. The EB should include brief descriptions and contact information and identify the RDEs as holders of the design procedure information. MATERIALS ENGINEER

11.

12.

Adds information for the approved system to the Department's Approved Lists. REVIEWERS

13.

If required, the Reviewers having responsibility for specified items will transmit construction specifications to the Design Quality Assurance Bureau's Specifications and Standards Section for inclusion on the list of Special Specifications or as revisions to the Standard Specifications.

9A.5 RELATED OFFICIAL ISSUANCES Title Highway Design Manual Retaining Wall Design Guidelines APPROVED LIST - Materials and Equipment For Use on New York State Department of Transportation Projects Source Design Quality Assurance Bureau Geotechnical Engineering Bureau Materials Bureau

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS

9A-7

ATTACHMENT 1
INSTRUCTIONS FOR PREPARATION OF THE APPLICATION PACKAGE FOR PRODUCT EVALUATION OF PROPRIETARY RETAINING WALL SYSTEMS
Proprietary retaining wall Suppliers/Manufactures are required to provide the following information with their formal request for product evaluation. Each page of this supplemental material should bear the name of the system. All items should be marked with the same date of preparation to avoid problems with subsequent revisions or re-submittals. Seven (7) copies of the material should be submitted to aid the review process. The application package should be in three separate parts. While each of the three parts will be used during the review process, the parts will be used in different ways, if and when the system is approved. If the system is approved, Section 1, Selection Information, will be used as a reference to aid designers and s in the selection of appropriate wall types. Section 2, Implementation Information, will contain the information necessary to properly design and construct the system. Section 3, Evaluation Information, would be used during the initial product evaluation phase by the Department's reviewers to evaluate whether the system should be approved, conditionally approved, or rejected. A detailed list of the recommended content for each part is listed below. Note that use of the metric system is preferred and, for some information, required. A. SELECTION INFORMATION PACKAGE (Section 1) 1. 2. Provide the trade name(s) under which the product is being marketed. Provide the name, address, and telephone number of the company manufacturer(s), of the product and, if different, the plant location(s). and/or

3.

If different from above, provide the name, address, and telephone number of the representative or Supplier/Manufacturer, and/or the designer. Describe the system. a. List the advantages and best application(s) of the system. b. List any cautions that apply to use of the system. c. Brochures or reproducible illustrations are encouraged. d. Describe, and preferably illustrate, aesthetic treatment options.

4.

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9A-8 5.

APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS List the limitations on the use of the system. This should be a thorough listing. Consider such parameters as: a. b. c. d. e. f. g. h. I. j. Wall height. Allowable settlement. Soil chemistry. Backfill type and compaction. Surcharge. Minimum wall radius. Expected design life. Warranty period. Maintenance requirements. Necessary impact protection.

6.

Provide cost information. Where possible, actual case history data should be provided in sufficient detail to permit estimating the cost on dissimilar projects. List the design activities that are required when the system is used. Describe these in the sequence by which design would normally proceed. This information should be sufficient for designers and/or s to quickly determine the level of design effort needed. Consider such factors as: a. b. c. d. e. f. g. Subsurface investigation. Excavation stability analysis. Foundation design. Stability analysis. Tieback design, if applicable. Drainage and backfill design. Face design, etc.

7.

Be specific about what design work will have to be done independently and what design work should follow the design charts, procedures and guidance provided with the system documentation. If design services are available through the Supplier/Manufacturer, so state. Note throughout that the design must be by a professional engineer licensed to practice in New York State. 8. List the typical construction equipment requirements, highlighting any special equipment needs. Indicate typical durations and progress rates. Describe any likely impacts on the construction effort. Describe the type and rate of any testing that should be done during construction. (The Department may require more testing than the amount specified by the Supplier/Manufacturer.)

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS B. IMPLEMENTATION INFORMATION (Section 2) 1.

9A-9

Outline the design process. Provide and explain the use of any charts or equations that should be used. Provide references to any recognized design standards/guides that are utilized. Provide recommended values or procedures for design processes not directly covered in the guidance referenced in Part A, step 7. Include representative sample design problems (at least two) with hand solutions for typical conditions. Show solutions for sloped backfill and for level surcharged backfill, at a minimum. Provide all appropriate details or standard drawings required for fabrication and proper use of the system. Standard drawings used for fabrication of precast concrete units shall be prepared as follows: a. The size of the drawing shall be 22 in. x 34 in. with an image area of 20 in. x 31.5 in.. Top, bottom, and right-edge margins will be 0.6 in.; left margin 2 in.. b. Each drawing shall have a title block in the lower right hand corner, a minimum of 2.5 in. x 5 in. in size, with the following information: (1) Company name and location. (2) Title of drawing. (3) Unique drawing number for each drawing. (4) Date drawing was prepared. (5) Name or initials of the person preparing drawing. c. The drawings shall contain with the following information: (1) The minimum 28-day compressive strength of the concrete. (2) The yield strength or grade of reinforcement. (3) The minimum concrete cover over the reinforcing steel. (4) Type and capacity of lifting devices. (5) Complete and accurate views and sections of each precast unit with all dimensions and details necessary for fabrication. (6) Complete and accurate reinforcing details showing type, size spacing and location of all reinforcing steel. (7) A reinforcing steel table showing bar mark numbers, size, center-tocenter spacing, length, details for all bends and quantity per unit. (8) Type and location of all lifting devices.

2.

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS

3.

Provide information on all materials used to fabricate and install the wall system. Include the following: a. Material type and grade, referenced to applicable national standards. b. Detailed drawings for all component parts showing dimensions with working tolerances. c. Strength and durability test information. d. Material properties, tested for quality control purposes, with acceptance limits.

4.

Provide all required specifications, preferably in general conformance with the Departments format for Standard Specifications. Where possible, any specifications referenced should be those of the Department. Provide the Field Construction Manual for the system. (If the system is approved, the Supplier/Manufacturer will be expected to provide two copies of this manual for any project on which the system is used.) The equipment and testing requirements discussed above (in item 8 of the previous Section 1) shall be included in or appended to the Manual. Provide a maintenance manual or list of maintenance considerations, if appropriate.

5.

6.

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APPENDIX 9A PROPRIETARY WALL SYSTEM EVALUATION PROCESS C. EVALUATION INFORMATION (Section 3) 1.

9A-11

Describe the development history of the system. When was it conceptualized? Patented? Was it previously known by other names? When was the first prototype developed? If anything has been written or published to describe the theoretical basis of the system, this should be provided. Provide any relevant information on testing of the system and the test results and interpretation. Explain the derivation of charts and any unique equations that are provided for the design process. Detail case histories and current follow-up of up to five previous projects. Photographs are considered helpful. When possible, contact information for user references should be provided. Explain the rationale for any special details or procedures that are specified in the above section on implementation information. Provide samples, if appropriate. The Materials Bureau reserves the right to require the Supplier/Manufacturer to supply samples of specific components for testing when deemed necessary during the course of the evaluation.

2.

3.

4.

5.

6.

7.

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APPENDIX 9B PROJECT CHECKLIST FOR DETERMINING IF SUBSURFACE EXPLORATIONS ARE REQUIRED

Send a completed copy of this Checklist to the Regional Geotechnical Engineer.

9B-1

PROJECT: PIN:

_____________________________________________________________ __________________

DATE: __________________ DESIGNER/CONTACT PERSON: _____________________________________

New Roadway Alignment Large Cuts Large Fills Multiple Alternates Being Considered

Roadway Widening Permanent Retaining Walls Large Cuts Large Fills Bridge and/or Culvert Reconstruction Replacement Widening/ Extension Maintenance & Protection of Traffic (On-Site Detour) Temporary Retaining Walls Temporary Structure Temporary Approach Embankments Pavement Reconstruction Pavement Rubblization Pavement Full Depth Reclamation Shoulder Reconstruction Signals and/or Large Sign Structure Installations Deep and/or Extensive Drainage/ Utility Installations Deep and/or Extensive Drainage Pipe Installations Pipe Jacking, Boring, or Tunneling Excavations Where Rock Outcrops are Present or Rock is Expected At Shallow Depths Environmental Considerations Stormwater Management Practices Wetland Mitigation This list may not be all-inclusive. Contact the Regional Geotechnical Engineer if you have questions regarding whether a project activity not listed above might require soil borings

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APPENDIX 9C SUBJECT INDEX Subject

9C-1

Section

Aesthetic treatments ............................................................................................................. 9.4.6 Alignment .............................................................................................................................. 9.3.1 Anchored walls............................................................................................................... 9.4.2.1.C Auger holes........................................................................................................................ 9.2.2.3 Borrow areas ...................................................................................................................... 9.3.14 Building condition survey and vibration monitoring (non blasting) ............................................ 9.6 Casing. length, type, and size ............................................................................................... 9.7.3 Cofferdams ......................................................................................................................... 9.3.13 Cone penetrometer ............................................................................................................ 9.2.2.9 Contract information ................................................................................................................. 9.8 Controlled low strength material .......................................................................................... 9.3.16 Cut slopes ............................................................................................................................. 9.3.9 Deep foundations ..................................................................................................................... 9.5 Design of post construction stormwater management practices ...................................... 9.3.7.2.2 Drilled shafts ......................................................................................................................... 9.5.1 Driven piles ........................................................................................................................... 9.5.2 Earthwork summary sheet..................................................................................................... 9.8.1 Edgedrains............................................................................................................................ 9.3.8 Embankment foundation ....................................................................................................... 9.3.6 Erosion and sediment control ............................................................................................. 9.3.7.1 Excavation protection and support ...................................................................................... 9.3.12 Externally stabilized cut structures ..................................................................................... 9.4.2.1 Externally stabilized fill structures....................................................................................... 9.4.2.2 Falling-weight deflectometer ............................................................................................ 9.2.2.11 Frost heaves and boulder heaves ....................................................................................... 9.3.10 Gabions ......................................................................................................................... 9.4.2.2.C Geophysical exploration ..................................................................................................... 9.2.2.8 Geotechnical design guidance for stormwater management and erosion and sediment control .................................................................................... 9.3.7 Geotechnical investigations...................................................................................................... 9.2 Geotechnical reports ............................................................................................................. 9.2.1 Geotextiles .......................................................................................................................... 9.3.15 Geosynthetic reinforced soil system (GRSS) ................................................................. 9.4.2.3.C Gravity walls .................................................................................................................. 9.4.2.2.A Introduction .............................................................................................................................. 9.1 Internally stabilized cut structures ...................................................................................... 9.4.2.4 Internally stabilized fill structures ........................................................................................ 9.4.2.3 Material sequencing ........................................................................................................ 9.3.7.1.4 Micropiles.............................................................................................................................. 9.5.3 Mechanically stabilized earth system (MSES) ................................................................ 9.4.2.3.A Mechanically stabilized wall system (MSWS) ................................................................. 9.4.2.3.B Observation wells ............................................................................................................... 9.2.2.7 On-Site material .............................................................................................................. 9.3.7.1.3 Piezometers ....................................................................................................................... 9.2.2.7

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9C

9-C2 Subject

SOILS, WALLS, AND FOUNDATIONS Section

Plans ..................................................................................................................................... 9.8.4 Post construction stormwater management practices ........................................................ 9.3.7.2 Prefabricated wall systems............................................................................................. 9.4.2.2.B Probe holes........................................................................................................................ 9.2.2.4 Proprietary wall systems ................................................................................. 9.4.3, Appendix 9A Proposal................................................................................................................................ 9.8.3 Project segmenting ......................................................................................................... 9.3.7.1.2 References .............................................................................................................................. 9.8 Resurfacing, restoration and rehabilitation ............................................................................ 9.3.2 Retaining walls and Reinforced soil slopes .............................................................................. 9.4 Retractable-plug sampling ............................................................................................... 9.2.2.10 Rock core drilling ............................................................................................................... 9.2.2.6 Rock cut slopes.................................................................................................................. 9.3.9.2 Rock excavation.................................................................................................................. 9.3.11 Sand drains........................................................................................................................... 9.3.4 Settlement............................................................................................................................. 9.3.4 Sheeting......................................................................................................................... 9.4.2.1.A Sizing of post construction stormwater management practices ....................................... 9.3.7.2.1 Slope protection ................................................................................................................. 9.3.9.3 rock slopes ..................................................................................................................... 9.3.9.4 soil slopes ...................................................................................................................... 9.3.9.3 Soil and foundation considerations........................................................................................... 9.3 Soil cut slopes .................................................................................................................... 9.3.9.1 Soil nail wall system ....................................................................................................... 9.4.2.4.A Soldier pile and lagging walls ......................................................................................... 9.4.2.1.B Sole Source .......................................................................................................................... 9.4.7 Specifications ........................................................................................................................ 9.8.2 Spoil sites ........................................................................................................................... 9.3.13 Stability ................................................................................................................................. 9.3.5 Standard sheets .................................................................................................................... 9.8.4 Stormwater diversion ...................................................................................................... 9.3.7.1.1 Subsurface abbreviations and symbols ................................................................................. 9.8.4 Subsurface exploration ......................................................................................................... 9.2.2 Test pits ............................................................................................................................. 9.2.2.5 Trench, culvert and structure excavation ............................................................................. 9.3.13 Trenchless installation of casing .............................................................................................. 9.7 Underdrains .......................................................................................................................... 9.3.8 Undisturbed-sample drill holes ........................................................................................... 9.2.2.2 Unstable material ............................................................................................................... 9.3.6.3 Unsuitable material ............................................................................................................ 9.3.6.2 excavation ...................................................................................................................... 9.3.6.2 stripping ......................................................................................................................... 9.3.6.1 Wall selection process .......................................................................................................... 9.4.4 Wall definitions ...................................................................................................................... 9.4.1 Wall design and detailing ...................................................................................................... 9.4.5 Wall types ............................................................................................................................. 9.4.2 Wick drains ........................................................................................................................... 9.3.4 Widening ............................................................................................................................... 9.3.3

9C

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HIGHWAY DESIGN MANUAL

Chapter 10 - Roadside Design, Guide Rail, and Appurtenances

Revision 64

April 10, 2012

CHAPTER 10 ROADSIDE DESIGN, GUIDE RAIL AND APPURTENANCES Contents Page

10.1 INTRODUCTION ............................................................................................................... 10-1 10.2 NEW, RECONSTRUCTION, AND FREEWAY 2R/3R PROJECTS .................................. 10-3 10.2.1 10.2.2 10.2.3 10.2.4 10.2.5 10.2.6 10.2.7 Clear Zones ................................................................................................................... 10-3 Barrier Design Parameters .......................................................................................... 10-19 Barrier Types ............................................................................................................. 10-42 Median Barriers ........................................................................................................... 10-58 Barrier Terminals ......................................................................................................... 10-79 Impact Attenuators ...................................................................................................... 10-96 Developed Area and Large Volume Exceptions ........................................................ 10-111

10.3 EXISTING FACILITIES ................................................................................................. 10-126 10.3.1 Evaluation of Existing Facilities ................................................................................. 10-128 10.3.2 Detailed Scope of Work Determinations.................................................................... 10-135 10.3.3 Documentation of Roadside Design Process for Existing Facilities .......................... 10-143 10.4 CONSTRUCTION ZONE GUIDANCE .......................................................................... 10-147 10.5 SPECIAL TOPICS ........................................................................................................ 10-148 10.5.1 10.5.2 10.5.3 10.5.4 10.5.5 10.5.6 10.5.7 Mailboxes .................................................................................................................. 10-148 Fencing ...................................................................................................................... 10-150 Cattle Passes ............................................................................................................ 10-156 Guide Posts ............................................................................................................... 10-157 Barriers at Dead End Roads and Streets .................................................................. 10-157 Public Relations ......................................................................................................... 10-158 Resetting Guide Rail ................................................................................................ 10-159

10.6 REFERENCES .............................................................................................................. 10-163 APPENDIX A - SPOT EVALUATION OF DESIRABLE CLEAR ZONE WIDTHS ................ 10-167 APPENDIX B - SUPPORT OF GUIDE RAIL OVER SHALLOW OBSTRUCTIONS ............ 10-175 APPENDIX C BARRIER IMPACT TESTING AND ITS RELATION TO IN-SERVICE PERFORMANCE ........................................................................................ 10-199 INDEX ................................................................................................................................... 10-207

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ROADSIDE DESIGN LIST OF FIGURES Figure 10-1 10-2 10-3a 10-3b 10-4a 10-4b 10-4c 10-4d 10-4e 10-4f 10-5 10-6 10-6a 10-7 10-8 10-9 10-10 10-11 10-12 10-13 10-14 10-15 10-16 10A-1 10A-2a 10A-2b 10A-2c 10A-2d 10A-2e 10B-1 10B-2 10B-3 10B-4 10B-5 10B-6 10B-7 10B-8 10B-9 10B-10 10B-11 10B-12 Title Page Clear Zone Segments .............................................................................................. 10-8 Sample Table of Clear Zone Widths ...................................................................... 10-10 Basic Point-of-Need Determinations ...................................................................... 10-22 Crush Accommodation for Parallel-Type Proprietary Terminals ............................ 10-23 Runout Lengths ..................................................................................................... 10-25 Left Side Runout Lengths ...................................................................................... 10-26 Runout Length Alternatives ................................................................................... 10-27 Back Slope Anchorage for Weak Post Rail Systems ............................................. 10-28 Back Slope Anchorage for Heavy-Post Blocked-Out Corrugated Rail .................. 10-29 Clear Area Requirements behind Terminals .......................................................... 10-30 Maximum Lateral Offset ......................................................................................... 10-34 Deflection Reduction Factors ................................................................................. 10-34 Intermediate Posts Required to Reduce Rail Deflections ...................................... 10-35 Guidance for Median Barrier Use on High-Speed Freeways and Expressways .............................................................................................. 10-59 Recommended Barrier Locations for Uneven Medians ......................................... 10-68 Single Slope Concrete Barrier ............................................................................... 10-69 Moveable Concrete Barrier .................................................................................... 10-70 Truck Barrier .......................................................................................................... 10-72 Terminals at Crossover Areas ............................................................................... 10-78 Approved Sand Barrel Array for 90 km/h ............................................................. 10-100 Approved Sand Barrel Array for 100 km/h ........................................................... 10-101 Approved Sand Barrel Array for 110 km/h ........................................................... 10-101 Example Page of Roadside Design Summary ..................................................... 10-143 Clear Zone Terminology and Nonrecoverable Slopes .......................................... 10A-2 Sample Clear Zone Calculations-Cases I & II (Nonrecoverable Slopes) .............. 10A-4 Sample Clear Zone Calculations-Case III (Rock Cut) .......................................... 10A-5 Sample Clear Zone Calculations-Case IV (Ramp Curve) ..................................... 10A-6 Sample Clear Zone Calculations-Plan of Varying Width Clear Zone .................... 10A-7 Sample Clear Zone Calculations-Section for Uniform Clear Runout Width .......... 10A-7 Cable GR Adjustments over Narrow Shallow Obstructions to Post Driving .......... 10B-6 Cable GR Adjustments over Wide Shallow Obstructions to Post Driving ............. 10B-7 Cable Guide Rail Adjustments Involving Only Post Shortening ............................ 10B-8 Weak Post W-Beam Guide Rail with 12 - 6 Typical Post Spacing Adjustments for Shallow Obstructions to Post Driving .................................. 10B-10 W-Beam GR with 6 - 3 Post Spacing Over Shallow Obstructions (1 of 2) ..... 10B-11 W-Beam GR with 6 - 3 Post Spacing Over Shallow Obstructions (2 of 2) ..... 10B-12 Box Beam GR w 6 Post Spacing over Narrow Obstructions to Post Driving ..... 10B-14 Box Beam GR w 6 Post Spacing over Wide Obstructions to Post Driving......... 10B-15 Box Beam Guide Rail with 3 Post Spacing Over Shallow Obstructions............. 10B-16 Accommodating Shallow Obstructions for HPBO with 6 - 3 Spacing ............... 10B-18 Accommodating Shallow Obstructions to Post Driving for HPBO W-Beam with Channel Backup and/or 3 - 1 Spacing ........... 10B-19 Acceptable Base Plate Design & Bolting Options for Weak Post GR Systems .. 10B-21

ROADSIDE DESIGN

LIST OF TABLES Table 10-1 10-2 10-3 10-4 10-5 10-6 10-7 10-8 10-9 Title Page Recommended Basic Recovery Widths .................................................................. 10-5 Horizontal Curve Adjustment Factors (Koc) .............................................................. 10-5 Barrier Deflections for Standard Impacts ............................................................... 10-33 Minimum Shoulder Break Offsets to Back of Guide Rail Posts ............................. 10-50 Recommended Barrier Flare Rate Limits for Permanent Installations ................... 10-80 Location of HDM Guidance on Roadside Design Process for Existing Facilities. 10-126 Acceptable Barrier Heights when Upgrading Existing Facilities .......................... 10-133 Recommended Minimum Flare Rates for Temporary Concrete Barrier ....... Chapter 16 Recommended Guide Rail Installation Time Allowances .................................... 10-158

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Revisions: Page Change

10-37 through 10-39 Updated Section 10.2.2.4 to use the 2011 AASHTO Roadside Design Guide Section 5.6.2.1.1 definitions for low speed, medium speed and high speed for curb usage. 10-134 Updated Table 10-7 to incorporate revised mounting heights and tolerances for cable and HPBO W Beam barriers.

10-1 CHAPTER 10 ROADSIDE DESIGN, GUIDE RAIL, AND APPURTENANCES

10.1

INTRODUCTION

The purpose of this chapter is to provide the designer with guidance on measures to reduce the number and/or severity of accidents when vehicles leave the traveled way. The concept of a forgiving roadside environment was developed in the 1960s. A key element of the concept was the creation of "clear zones" within which a driver might recover control and return to the roadway or at least achieve significant deceleration before striking a fixed object. Where fixed obstacles could not be removed from the clear zone or modified with breakaway features, consideration would be given to shielding them to reduce the severity of vehicle impacts. The American Association of State Highway and Transportation Officials (AASHTO) incorporated many of these new concepts into the text A Policy on Geometric Design of Highways and Streets (the "Green Book"). A second key publication is AASHTO's Roadside Design Guide which deals more directly with the content of this chapter. The designer should be familiar with the relevant roadside design guidance contained in those publications before developing special-case roadside designs that deviate from the guidance in this chapter. Many of New York's state highways were modified or built to meet the early guidance. The guidance gradually evolved to reflect the results of crash test programs and in-service performance of early safety systems. As new facilities were built or major reconstruction projects were undertaken, roadside features were constructed to meet the design guidance prevailing at that time. As a result of the ongoing evolution of the guidance, there are many miles of state highway which have roadside features which do not conform or only partially conform to current guidance. One intent of Chapter 10 is to present guidance for new or reconstructed facilities. guidance is presented under Section 10.2 New and Reconstructed Facilities. This

This chapter also provides guidance for assessing existing facilities to determine the number of safety concerns and nonconforming features that are present in the roadside area and the amount of upgrading that would be appropriate when work is performed on that existing facility. Roadside safety concerns are defined as features that may (1) increase the severity of a run-offthe-road (ROR) accident, or (2) change a ROR incident into a ROR accident, but are either located beyond the clear zone width or are within acceptable practice. With respect to roadside design, nonconforming features are features that do not conform to current practice and are typically within the clear zone width. They may range from mildly deficient to severely deficient. The cost of upgrading some roadside safety concerns might not be justified if the resulting benefit to public safety is very small. A key factor in judging which features should be upgraded

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10.1

10-2

ROADSIDE DESIGN

will be the relevant accident history of the facility when compared with other similar facilities. The guidance for performing an accident analysis will be found in Chapter 5 - Basic Design. The guidance for making upgrade judgments is presented under Section 10.3, Existing Facilities. Additional guidance for work on existing facilities is presented in Chapter 7 - Resurfacing, Restoration, and Rehabilitation (3R). The use of barriers within construction work zones was previously contained in Section 10.4 Construction Zone Guidance but has been moved to HDM Chapter 16. Additional guidance for treatments of work zones is presented in Chapter 9 of AASHTO's Roadside Design Guide. Section 10.5 Special Topics discusses additional features that are significant to roadside design.

10.1

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ROADSIDE DESIGN

10-3

10.2

NEW, RECONSTRUCTION, AND FREEWAY 2R/3R PROJECTS

The purpose of this section is to provide guidance for the design of roadside features on new construction, reconstruction, freeway Resurfacing, Restoration and Rehabilitation (3R), and freeway 2R projects. Guidelines for evaluation of existing highways are addressed separately in Section 10.3 Existing Facilities. Identification of safety concerns and nonconforming roadside features on reconstruction projects should follow the guidance of Section 10.3, while the design to remedy identified problems should follow the guidance of Section 10.2. The general roadside design policy for new, reconstruction, and freeway 2R/3R projects is to provide satisfactory clear zones, whenever it is practical to do so, and appropriately designed barriers, when it is not. Section 10.2.1 introduces the clear zone concept and the hierarchy of design options for the treatment of potential safety hazards. Except as noted elsewhere in this chapter, if a fixed object is to remain closer to the traveled way than the clear zone width defined at that point, either the object should be shielded or an explanation should be provided in the project record. The design parameters for barriers are discussed in Section 10.2.2, followed by descriptions and selection guidance for roadside barriers, median barriers, terminals, and impact attenuators. Section 10.2.7 concludes with a discussion of the exceptions that may be appropriate for developed area and large-volume roadways.

10.2.1 Clear Zones Under ideal conditions, a vehicle that inadvertently left the roadway would encounter an extensive, firm, flat, hazard-free area that would permit the driver to safely return to the roadway. Limitations on the availability of right of way, consideration of visual, historical, environmental, and other impacts, and the cost of cutting and filling usually require that the width of the hazardfree area be limited to values that will generally, but not always, provide adequate distance for recovery. Clear areas are those roadside border areas which are essentially without hazards. The width of the clear area varies almost constantly, both in relation to the location along the highway and, to a lesser extent, as a function of time. It is not practical to precisely document the irregular widths of the clear area, nor is it reasonable to precisely measure and maintain those widths. It is important, however, to ensure that an easily defined minimum width be maintained to provide some safety zone for the occupants of errant vehicles. The portion of the clear area width that the Department will ensure is kept essentially clear and sufficiently level to permit (but not guarantee) reasonably safe reentry to the highway or provide an opportunity for stopping is termed the clear zone. NYSDOT defines the Clear Zone as that portion of the roadside border width, starting at the edge of the through traveled way, that the Department commits to maintaining in a cleared condition for safe use by errant vehicles. The width of the Clear Zone will be as last documented in the Design Approval Document, the Project Files, or in the contract documents. If warranted by special conditions, the Clear Zone may include occasional unshielded fixed objects, provided a reasonable rationale is documented. Scoping/Preliminary Design Stage - During design, the process of addressing roadside safety, and particularly the selection of the clear zone widths, is normally a two part process. In the first part, the site should be inspected to determine what the general target for the minimum clear 6/28/2010 10.2.1

10-4

ROADSIDE DESIGN

zone widths should be. These values are recorded in the Design Approval Document (DAD), since the Project Development Manual (Report Shells, Draft Design Report, Chapter 3, 3.3.1.8, paragraph 2) requires that, The minimum clear zone(s) for the facility, its basis, and what is proposed should be discussed. The selected values can be the result of a rather cursory inspection. While it may be reasonable on some projects to define a single target width for the entire length of the project, it is preferable, certainly during the detail design stage, that the widths be varied in a step-wise fashion to follow the widths that can be achieved. From a safety perspective, the desired width at any station will be a function of the design speed, traffic volume, roadside slopes, and curvature of the roadway. From a practical perspective, the width should take into account environmental effects, cost considerations, social and other factors. Accidents will occur, regardless of the clear zone width provided. The selected clear zone width is a compromise, based on engineering judgment, between what can practically be built and the degree of protection afforded the motorist. For new construction, the minimum width selected should attempt to at least meet the widths indicated in Table 10-1 and, for curved alignments, widths increased by the factors in Table10-2. For reconstruction projects and for interstate and freeway 2R and 3R projects, the values in those tables are still minimum goals, but may be tempered by field conditions, accident history, and other factors. Barring a significant history of run-off-road accidents, non-freeway 2R and 3R projects may frequently be designed with clear zone widths that do not meet the Recommended Widths in Table 10-1. In heavily developed urban areas, right-of-way limitations may preclude devoting any significant space to effective clear zones. The Department should have control of any right of way on which a clear zone is specified, since we would otherwise be unable to prevent the introduction of fixed objects into that clear zone. If a reasonable clear zone width can not be provided, installation of a barrier system should be considered as discussed later in this chapter. A reasonable width would be greater than, or equal to, the minimum judged appropriate. At the other extreme, a clear zone width could be considered unreasonably wide if the width was required due to the need to incorporate a high, traversable, but nonrecoverable slope. The designer should consider clear runout widths, mowing and erosion issues, traffic speed and volume, and other factors when judging whether or not to shield a high 1:3 fill slope. If their height exceeds 15 ft, there will be a tendency for vehicles to be redirected more steeply down the slope. Such slopes should generally not be included in the clear zone, but should generally be shielded, particularly if there is not a broad runout width at the bottom. In general, smooth, obstacle-free cut slopes that are parallel to the road may extend into the clear zone, provided these cut slopes are not steeper than 1:2 and all slope intersections between the traveled way and the cut slope have been rounded sufficiently to make them traversable and to minimize destabilization of errant vehicles. Because of the high speeds and volumes involved, the standards for interstates were made more stringent in AASHTO's January 2005 publication, A Policy on Design Standards - Interstate System. Specifically, fill slopes steeper than 1:4 are not to be specified in the clear zones of new or reconstructed interstate highways and side slopes of 1:6, or flatter, are desirable. Where steeper slopes are required within the clear zone, roadside barriers shall be installed.

10.2.1

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ROADSIDE DESIGN Table 10-1 Recommended Basic Recovery Widths (BRW, in feet from travel lane)
Design Speed (mph) 40 or less Design AADT under 750 750 - 1500 1500 - 6000 over 6000 under 750 750 - 1500 1500 - 6000 over 6000 Under 750 750 - 1500 1500 - 6000 over 6000 Under 750 750 - 1500 1500 - 6000 over 6000 Under 750 750 - 1500 1500 - 6000 over 6000 Fill Slopes 1:6 8 11 13 15 11 16 17 21 13 17 21 23 17 22 28 30 19 25 30 30 1:5 to 1:4 8 13 16 17 13 18 23 26 16 22 27 29 22 29 30 30 23 30 30 30 1:3 ** ** ** ** ** ** ** ** ** ** ** ** ** ** ** ** ** ** ** ** 1:3 8 11 13 15 9 11 13 15 9 11 15 17 11 13 16 21 11 14 18 23 Cut Slopes 1:4 to 1:5 8 11 13 15 9 13 15 19 11 15 17 21 13 17 20 25 15 19 23 28 1:6 8 11 13 15 11 15 17 21 11 17 21 23 15 21 25 27 15 21 27 29

10-5

45-50

55

60

70 or greater

Adapted from AASHTO's Roadside Design Guide, 1996. 2006 AASHTO is essentially unchanged.

** Since recovery is less likely on unshielded, traversable 1:3 slopes, fixed objects should not be present in the vicinity of the toe of these slopes. Recovery of high-speed vehicles that encroach beyond the edge of shoulder may be expected to occur beyond the toe of slope. Determination of the width of the clear runout area at the toe of slope should take into consideration right of way availability, environmental concerns, economic factors, safety needs, and accident histories. Note that the distances are wider for higher traffic volumes. This reflects a desire to provide greater protection where the traffic exposure and, usually, the frequency of incursions, are higher.

Table 10-2 Horizontal Curve Adjustment Factors (Koc)

Radius of Curve (feet) 3000 2500 2000 1700 1500 1300 1150 1000 800 650 500 300 Design Speed (mph) 35 1.1 1.1 1.1 1.1 1.2 1.2 1.2 1.2 1.3 1.3 1.4 1.5 40 1.1 1.1 1.2 1.2 1.2 1.2 1.2 1.3 1.3 1.4 1.5 50 1.1 1.2 1.2 1.2 1.3 1.3 1.3 1.4 1.4 1.5 55 1.2 1.2 1.2 1.3 1.3 1.3 1.4 1.5 1.5 60 1.2 1.2 1.3 1.3 1.4 1.4 1.5 1.5 70 1.2 1.3 1.4 1.4 1.5 -

Adapted from AASHTO's 1996 Roadside Design Guide

CCRW = BRW x Koc, where CCRW is the Curve Corrected Recovery Width, BRW is the Basic Recovery Width, and Koc is the horizontal curve adjustment factor for the outside of curves. Refer to chapter Appendix A for application.

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10-6

ROADSIDE DESIGN

Detailed Design Stage - The second part of specifying clear zone widths occurs in Detailed Design. The design team should evaluate roadside conditions more closely. Defining segments with widths greater than the target minimum defined in the DAD will generally result in increased safety for the traveling public. Designers should be addressing both the specification of the clear zone widths for the project and the extent of the clear area beyond the defined clear zone. The clear zone width recorded in the DAD should be taken as the target for the minimum clear zone widths. The clear zone widths selected during detailed design should be shown in a table on the project plans or, if the project is without plan sheets, elsewhere in the contract documents. The first detailed design step towards refining the DADs target clear zone widths is to determine whether the roadside should be considered as a series of smaller segments to more closely fit the width variations in the area that will be maintained. For instance, it may be anticipated that the reasonable and prudent driver will have low operating speeds when approaching or negotiating a roundabout, and that a reduced clear zone width would be acceptable for a segment in that vicinity. Similarly, on many ramps, operating speeds will vary sufficiently that it will often be appropriate to apply different clear zone widths to different segments of the ramp. On mainlines in general, wider segments need not be defined if less than 1000 ft in length and need not be treated separately from adjoining segments unless the increase in prevailing clear zone widths for the segments will be at least 5 ft. (See Figure 10-1.) However, if long segments are involved, committing to widths that are a few feet wider than elsewhere may be desirable. Where a detailed review of the roadside conditions indicates that there are segments where the DAD target widths can not reasonably be achieved, the designer should either (1) provide shielding if the obtainable clear zone width is considered inadequate, (2) design a narrower clear zone width for that segment, or (3) document the decision to retain the specific features that will be left within the clear zone if they are limited in number and/or are relatively close to the target clear zone width. Clear zone width decisions should be reviewed by appropriate members of the design team, including Traffic and Safety, Maintenance, Construction, Landscape Architecture, etc. The Regional Real Estate Office should be involved early in any discussions on adjacent development and right of way availability. Once the segment lengths and widths for the clear zones have been determined, that information should be recorded on the Plans in a Clear Zone table similar to that illustrated in Figure 10-2. While the clear zone widths will generally be defined for long segments of the highway length, there may be instances where it is appropriate to determine what the desirable width would be at a specific station. AASHTOs Roadside Design Guide provides a methodology that may be used for that determination. That methodology has been adapted and is included as Appendix A of this chapter. In addition, the Roadside Design Guide is distributed with a computer application to permit calculation of cost-benefit ratios for individual fixed objects and roadside obstacles. Beyond the Clear Zone Width (See also Section 10.2.1.1 for shielding dangerous at any speed hazards beyond the clear zone.) Providing additional clear area beyond the defined clear zone width will generally increase safety for the traveling public. Where it is practical to do so, Design and Construction personnel should strive to develop additional clear area width, beyond the minimum required for the clear zone, provided such additional development does not conflict with environmentally sensitive areas or other such limitations and does improve safety. For new construction and other projects where the area that should be cleared is greater than existing, any intended clear area expansion should be shown on the plans. Typically this may be shown by indicating limits of clearing and grubbing. Since the Regional Landscape Architect (RLA) will be involved in setting the mowing limits on some projects, it is particularly important that, on those projects, the RLA be in agreement with the limits that are established for clearing beyond 10.2.1 6/28/2010

ROADSIDE DESIGN

10-7

the clear zone width. Regional Maintenance should also be consulted as they will eventually be responsible for keeping the area cleared. The need for clear runout widths is one particularly important reason for some of the clearing that should be provided beyond the minimum clear zone requirement. The following concepts are critical to understanding this need. (See illustration in Appendix A, Figure 10A-2a.) Traversable Slope. If a slope is smooth, not steeper than 1:3, and may generally be crossed safely, it may be considered traversable. Recoverable and Nonrecoverable Slopes. If an embankment is level enough that the driver of an errant vehicle may recover control sufficiently to direct the vehicle back onto the road, the slope is said to be recoverable. If an embankment slope is s teeper than 1:4, it is unlikely that a driver will be able to return an errant vehicle to the roadway. The vehicle will instead continue down to the bottom of the slope. Fill slopes steeper than 1:4 are therefore termed nonrecoverable. To minimize the potential for destabilization of the vehicle, all slope intersections should be rounded as noted in Chapter 3. Traversable (must be 1 on 3 or flatter), but nonrecoverable (steeper than 1 on 4) slopes with heights less than 15 feet may be present in the clear zone, but should not be considered as contributing significantly to a vehicles ability to slow down. Note, however, that on new or reconstructed interstate highways, slopes steeper than 1:4 should be avoided and, when their use is found to be necessary, should be shielded. Clear Runout Width. This is the width of clear area that should be provided at the toe of an unshielded, traversable, nonrecoverable fill slope that starts within the Clear Zone Width. A vehicle that starts down a nonrecoverable slope will not slow significantly before reaching the bottom. At the bottom of such a slope, a relatively level area (~1:5) should be provided to give the driver an opportunity to slow or steer the vehicle. (Refer to Appendix A, Figures 10A-2d and 10A-2e for illustration.) The minimum value of this width should be 8 ft to accommodate the width of a passenger vehicle. FHWA has recommended that a width of 10 ft be provided for Federal Aid projects. Clear Area Details - In addition to the clear runout widths, there are many locations where it will be desirable or necessary to provide an area that is substantially free of fixed objects, but does not meet the criteria to be considered as part of the clear zone. An example of necessary clear area, that is not considered to be part of the clear zone, is the area that is to be kept clear behind guide rail to provide for the deflection distance. An example of desirable clear area is the clear area that should be provided beyond a line of utility poles. In this case, while the clear zone might have been selected to end at the line of poles or the poles might have been moved back to the edge of the selected clear zone, it is desirable to carry the clear area back beyond the poles as far as is practical and convenient, provided there is no conflict with landscaping objectives. Consideration should be given to segments where a curve is at the bottom of a long downgrade or obscured by a crest vertical curve and there is an increased possibility of a driver being surprised by the curve, in spite of warning signs. If a segment includes any accident -prone or "surprise" curves, extra clear area is desirable to address that additional potential for run-off-road accidents.

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10.2.1

10-8

ROADSIDE DESIGN

Figure 10-1 Clear Zone Segments (Matching Selection to Attainable Clear Area)

10.2.1

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ROADSIDE DESIGN

10-9

Slope Intersections As covered in HDM Chapter 3, Typical Sections, Section 3.2.5.3, shoulder breaks are to be rounded to approximate a 4 ft vertical curve. The primary intent is to allow steady pressure of an errant vehicles tires on the ground surface to enable optimal braking. Without rounding of the shoulder break, the slope would be effectively dropping out from under an errant vehicle much faster than gravity could act to hold the vehicle on the slope. While the suspension might push the tires onto the slope, the weight of the vehicle, momentarily, would not be applying the normal force needed to brake effectively. When inspecting existing highways, designers should check to see that the shoulder breaks have been adequately rounded. Additionally, there is the potential for debris to build up over time near the shoulder break. In extreme cases, this buildup can form enough of a ridge to potentially lift an errant vehicle just before it leaves the shoulder. Attention should also be given to placement of shoulder backup material to ensure that the material does not compromise the shoulder break rounding. If reasonable shoulder break rounding is not provided, not only may the vehicle be effectively airborne for a moment, it will have a tendency to experience a harder bounce as it comes down onto the embankment. Following that bounce, it may be effectively airborne again, further reducing the effectiveness of any braking. The need for rounding is minimal with 1:6 side slopes, but increases proportionally as the difference between the shoulder and embankment slopes increases. While rounding of the slope intersection at the shoulder break is important to the quality of the clear zone, it is not the only slope intersection that should be considered. Whenever an errant vehicle encounters an abrupt slope intersection that would require the vehicle to move up relative to the grade it is traversing, there is a potential for the front of the vehicle to dig into that slope. If the slope intersection is rounded to a relatively gentle sag vertical curve, the severity of that impact can be reduced. Unfortunately, since the front of a vehicle is usually several feet in front of its tires, a 4 foot vertical curve will just barely have begun to lift a vehicles tires when its bumper contacts the slope. Where conditions permit, concave slope intersections should be rounded to at least a 12 ft vertical curve. However, if that can not be achieved, the amount of rounding that can reasonably be provided should be, as any rounding should have some positive effect on reducing impact severity. This consideration should be applied to any significant back slopes, base of embankment slope intersections, or transverse slopes that an errant vehicle is likely to encounter, particularly those within the clear zone. While many experienced contractors are aware of the need for shoulder break rounding, others are not. To ensure that appropriate rounding of slope intersections occurs, the need should be indicated in the typical sections for a project. Similarly, where rounding of other slope intersections is deemed appropriate, the plans should identify those requirements to bidders. Auxiliary Lanes and Ramps When a ramp or auxiliary lane does not parallel the mainline, it should generally have a clear zone determination documented for it and measured from its edge of traveled way. The width may be, and generally will be, less than that for the mainline. Where an auxiliary lane parallels the mainline, the designer should judge whether or not the clear zone width provided for the mainline satisfies the clear area width that is judged appropriate for the auxiliary lane. If additional clear area width is judged appropriate for the auxiliary lane, a separate highway clear zone segment should be identified, encompassing the portion of the auxiliary lane needing additional clear area width, and a clear zone width should be defined for that segment. That clear zone width should be measured from the edge of the through travel lane. 6/28/2010 10.2.1

10-10

ROADSIDE DESIGN

Clear Zone Documentation - In the project plans, carefully document the selected clear zone widths in a Table of Clear Zone Widths. (See Figure 10-2.) While the effective clear zone width will be reduced by the presence of a barrier system, it is not necessary to note those reductions anywhere in the project record. Note that there will be situations where it is not reasonable to move a potential hazard out of the clear zone or to provide shielding. In such instances, the object(s) may be left unshielded, but a note indicating that intent and an explanation are to be provided in the permanent record. In general, the degree of explanation for retention of nonconforming features should be commensurate with the degree of potential hazard presented by the feature. If the decision is made early enough, the decision and explanation for retaining an unshielded object(s) should be in the DAD. If the decision is made during detailed design, the location of the unshielded object(s) is to be (1) indicated in the footnotes with the table of clear zone widths, (2) indicated on the plans and a brief note of explanation included (preferred option), or (3) described and explained in the project files (less reliable option for long-term retrievability). Short clear zone indentations may be similarly indicated. Examples of brief notes for plans are Historic barn to remain, Landmark well to remain, and Four visually important/historic trees to remain. During and/or at the end of construction, the EIC should inspect the site to verify that the last documented clear zone widths have been satisfied. Narrower clear area widths, or fixed objects left within the clear zone, should be recorded, preferably on record plans for future projects and maintenance activities, or in other permanent files. Rationales should also be provided.

Figure 10-2 Sample Table of Clear Zone Widths (to be included in Project Plans) TABLE OF CLEAR ZONE WIDTHS Start Station End Station 212+15, R 214+98, R 217+43, R 214+98, R 217+43, R 219+77.5, R

Des. Clear Zone Width, ft 20 ft 30 ft 22 ft See note B See note A

A. Rock face, 15 ft offset, starts sta. 213+78 to remain. Too expensive to cut back. No accident history. B. Trees in wetlands, 15 offset, in vicinity of traversable culvert at 218+20, are to remain.

10.2.1.1 Identification of Potential Hazards (Refer to Section 10.3.1.2 for lists of specific features to look for at existing facilities.) For the purpose of discussing clear zones, a potential hazard will be defined as any feature that could cause significant personal injury when impacted by an errant vehicle that is otherwise being operated in an appropriate manner and in accordance with warnings or advisory information and speed requirements. The most serious and obvious hazards are those unyielding or fixed objects that could cause a sudden or instantaneous deceleration. Fixed objects are defined as potentially hazardous permanent installations of limited extent that can be struck by vehicles running off the road. Vertical reinforced concrete surfaces, such as bridge piers and abutments, yield the least of any roadside obstacles. In terms of the number of annual fatalities, however, trees are the leading killers due to their frequency and proximity in the roadside environment. Any tree over 4 inches in diameter may be considered a potential hazard depending on the type 10.2.1 6/28/2010

ROADSIDE DESIGN

10-11

of road involved and the distance from the travel lanes. Man-made objects such as utility poles, overhead sign structures, buildings, retaining walls, large drainage inlets and outlets, headwalls, and control boxes may also be considered potential hazards. Some potential hazards may be classified as roadside obstacles. These differ from fixed objects in that roadside obstacles are of considerable length and are therefore generally much less practical to remove or relocate. Longitudinal retaining walls and rock cuts are examples of roadside obstacles. Topographic features may also be considered potential hazards. Abrupt positive changes in grade, transverse or longitudinal ditches, and drop-offs or cliffs can produce severe impacts. See Section 10.2.1.1 C for NYSDOTs recommended ditch design practices. Section 3.2.4 of AASHTO's Roadside Design Guide contains a discussion of preferred ditch cross-sections for longitudinal ditches. For new, reconstruction, and freeway 2R/3R projects, longitudinal fill slopes within the clear zone are to be shielded if they are steeper than 1:3. Exceptions are permitted for limited areas having steeper slopes such as those required around the standard end sections for transverse drainage pipes. (As noted in Section 10.3, fill slopes steeper than 1:3, but 1:2 or flatter, are permitted within existing clear zones on nonfreeway 3R projects, provided the slope is not more than 3 ft high, is not associated with accidents, and can not be readily filled to alter it a shallower slope.) Cut slopes steeper than 1:3, on the other hand, will generally not require shielding if they have smooth traversable surfaces. The designer should note that it will be difficult for Maintenance to prevent the development of trees on slopes steeper than 1:3. For a rough cut slope, the designer should consider all of the factors involved when judging whether or not to shield it. Transverse embankments can cause errant vehicles to impact or to launch into the air, frequently returning to earth in an adverse landing pattern. Refer to Chapter 3 for guidance on the design of median crossovers and intersections with transverse embankments. Transverse ditches should be considered nontraversable if the normal water depth exceeds 1 foot or the side slopes are steeper than 1:6 for high-speed facilities (50 mph) or 1:4 for medium- and low-speed facilities. Less obvious are hazards that would not significantly slow a vehicle but might result in objects entering the passenger compartment. Mailboxes (Section 10.5.1) and rails on fences (Section 10.5.2) are examples. Fire hydrants are generally not serious hazards since they are usually designed with breakaway features to prevent damage to the water main in the event the hydrant is struck. However, consult the Regional Utilities Engineer to evaluate critically located utilities as standpipes and nonbreakaway hydrants should be treated as potential hazards. Additional potential hazards are listed in Section 10.3.1.2. It was a long-standing admonition that guide rail itself is a hazard. This was especial ly true decades ago when the posts included concrete pillars, railroad rails, and stout steel sections. It is much less true now that barriers are required to pass newer crash testing criteria. While it is never a good thing for a vehicle to impact any object, the portion of guide rail systems between the terminals will usually be safer to encounter than any of the other alternatives. While some poor outcomes can be expected at elevated speeds, there will be very few circumstances where an accident with a serious outcome would have been better without the rail. Unfortunately, in spite of extensive efforts, even the latest guide rail terminals are still the relatively risky portions of the barrier system. A wide variety of terminal designs have passed the NCHRP 350 crash test criteria, but the criteria do not cover all reasonable crash configurations, particularly vehicles in lateral skids. Additionally, actual field conditions often require terminals to be installed where slopes after the terminal are more adverse than the test setup. This can 6/28/2010 10.2.1.1

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ROADSIDE DESIGN

easily increase the likelihood of rollovers. Because of the relatively greater risk posed by terminals (as compared to guide rail), consideration should be given to connecting adjoining runs of guide rail rather than leaving short gaps with terminals on both sides. This is particularly appropriate where the terminal costs are relatively high. To update the above admonition, Guide rail runs are a mild hazard. The largest part of that risk is in the lead terminal. Where the resulting clear area would provide a good opportunity for recovery, preference should therefore be given to eliminating or relocating the fixed object, roadside obstacle, or potential hazard, rather than placing guide rail in front of it.

A. Hazardous-at-Any-Speed Features An important distinction should be noted between two types of hazards. Most hazards are fixed objects which require a high-speed impact to produce a fatality. The second type could produce a fatality even if reached at a fairly low speed. The designer should be aware of the distinction and consider providing extra protection when the hazard is a cliff, a deep body of water, a flammable liquids tank, or some other similarly hazardous feature. The extra protection should typically include the use of a more durable barrier system (preferably heavy-post or rigid) than would normally be warranted. Even if the feature is beyond the desired minimum clear zone width, serious consideration should be given to providing a durable barrier and an explanation should be documented if extra protection is not to be provided and there is a reasonable expectation that vehicles will reach the hazard.

B. Evaluation of Water Features For much of the year, bodies of water in our climate can pose a major risk of hypothermia, even for healthy, young adult swimmers. Bodies of water should be evaluated with respect to the degree of potential hazard they pose. The hazardousness will be a combination of the amount of water and its accessibility. From greatest to least, the risk posed by different depths may be ranked as follows. 1. A vehicle can completely submerge, potentially resulting in the drowning of uninjured nonswimmers, disabled or elderly persons, or infants. 2. Water could fill an upright car to a point where an unconscious or injured driver or passenger would drown, typically assumed to be a depth of about 2 feet. 3. The water is shallow enough that an unconscious occupant would only drown if the car was overturned, a depth of at least 12 inches. In general, designers should be concerned about bodies of water over 2 ft deep, or water courses with a normal base flow depth of over 2 ft, as these could cause a stunned, trapped, or injured occupant to drown. Fast moving bodies of water should be considered more hazardous than those that are still. Accessibility is a measure of the likelihood that a vehicle will actually reach the water. The designer should visualize the likely courses that an errant vehicle would have to the water. If a stream bank has many trees, a vehicle may not be able to get past them to get to the water. If the clear area is narrow, the number of possible paths to the water will be reduced. Other factors to consider include: (1) the slope to the water, (2) the total distance in which to stop, and (3) the persistent or intermittent presence (flooding potential) of the water hazard.

10.2.1.1

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ROADSIDE DESIGN C. Longitudinal Ditches

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In a few situations, the width and depth of a roadside ditch is dictated by the amount of flow that the ditch needs to carry during storm events. More commonly and less expectedly, the depth of the ditch is controlled by the need to provide drainage for the base and subbase materials of the road. Without the opportunity for water to drain laterally out of those materials and into the roadside ditch, these materials would regularly become saturated. When vehicles drive over these saturated soil materials, the water acts as an incompressible fluid and pushes laterally out from under the load, carrying the fine portions of the soil with it. Eventually, with enough fines migration, pavement support is reduced and pavement deterioration begins, progressing to potholes or worse destruction. This movement of water under the impact of passing vehicles is referred to as pumping and is significantly worse with heavier vehicles. If the soil materials are not saturated, there will be small amounts of air in the soil and it will compress rather than forcing fine particles to move. In some locations, the soils may be sandy enough or permeable enough that the subgrade can drain into those native soils without the need for a roadside ditch. In most instances however, either a roadside ditch or an underdrain system will be needed to provide drainage. Where a ditch is used, its depth will be influenced or controlled by the depth needed to drain the subgrade. In many cases, this depth will be greater than that needed to handle any normal overland flow volumes. Between the need to handle overland flow and the need to drain the materials under the roadway, ditches need to be present along a very high percentage of the states highways. As such, they are a common and important element of the roadside and their effect on roadside safety must be carefully considered. The effect of ditches on roadside safety is subject to factors which may each vary continuously across broad ranges. These include the depth of the ditch, its fore slope, its invert width, its back slope, and the firmness of the soils. Similarly, for any given ditch geometry, the speed of an impacting vehicles, its angle of departure from the road, the degree to which it is yawing off of its line of movement, and its static stability all influence what happens after a vehicle enters a ditch. The greater the speed, departure angle, or yaw, the more likely it is that an adverse outcome will result. The effects of a roadside ditch on an errant vehicle can vary greatly. If the ditch is broad, shallow, and has smooth intersections between the slopes, a vehicle can cross the ditch with little more than a wobble. If the vehicle is leaving the road at a shallow angle, it may be able to safely traverse deeper ditches with slightly steeper slopes. In many instances, a vehicle tracking in a straight line off of the road will jump the ditch, its bumper and undercarriage will strike the back slope of the ditch, and it will bounce up the back slope. This often happens where back slopes are 1:3 or flatter. If the back slope is steep, 1:2 or steeper and the departure angle is relatively mild, the vehicle may strike the back slope and be redirected along the ditch. When a vehicle is leaving the road at a high angle, or is in a spin, an impact on the back slope can result in severe longitudinal decelerations, vertical accelerations, or lateral accelerations that can severely injure an occupant. Additionally, the vehicle may overturn one or more times. Multiple rollover accidents tend to be quite severe.

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ROADSIDE DESIGN

The extent to which a desirable ditch cross section can be provided is directly related to the amount for ROW that is available. If the depth of a ditch is fixed by the need to drain the subbase, the ditch slopes and invert width may be set by the amount of ROW available beyond the shoulder break. When new highways are to be constructed, it is desirable that the amount of ROW purchased for the project be sufficient to permit the construction of traversable ditches. For projects on existing highways, if ROW is to be purchased, it is desirable that the width obtained be sufficient to permit the construction of traversable ditches. The difficulty of obtaining the additional ROW should be weighed against the degree of improvement to the cross section. If the added width is difficult to obtain and, in the engineers judgment, doe s not result in a significantly safer cross section, the purchase should not be justified. On existing highways, for projects where ditch work is an accepted component, but no ROW purchase is to be made, any ditch cross section will typically need to fit within the available ROW. If significant improvements to the cross-section can be readily made within the available ROW, they should generally be included in the scope of work. However, ditch work at a location may be skipped if the work will not result in significant safety improvements. In some instances, it may be possible to make arrangements to extend the back slope beyond the ROW line. The flatter back slope may improve roadside safety while also permitting an adjacent property owner to mow the gentler back slope. Under some special circumstances, the use of stone-filled ditches may be appropriate. The NYS Thruway Authority has used this strategy for several years. The stone filling can provide a gentle, level surface that errant vehicles may traverse with little risk. At the same time, the porous stone filling permits drainage of the subbase to occur, provided the stone filling does not become clogged with washed-in material. The general criteria for its use to be acceptable are: Low volume of flow to be carried by the ditch Low risk of material being washed in to clog the stone High volume of traffic to warrant the expense A ditch section that would otherwise have a low degree of traversability. The high volume of traffic should not be viewed as a requirement. The guidance on ditches may be summarized as follows: 1. Ditches should be made as traversable as can reasonably be done within the existing ROW, topographic, and other constraints. 2. Ditch depths should not significantly exceed those required to handle flows or drainage of the subbase. 3. Ditches, even those that may be non-traversable in some cases, may be included within the clear zone, provided they are either traversable enough that a significant percentage of errant vehicle may be expected to traverse them without rolling over or that a large percentage of vehicles entering them at shallow angles will be redirected by the back slope without producing severe decelerations or severe rollovers. 4. If the ditch depth is such that a high percentage of vehicles that enter it may be expected to impact violently or roll over violently and the ditch is mostly within the clear zone, strong consideration should be given to shielding the ditch.

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ROADSIDE DESIGN 10.2.1.2 Treatment Options

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The designer should consider, in sequence, the treatment options available to address hazards within the design clear zone distance. AASHTOs hierarchy was (A) Removal, (B) Relocation, (C) Modification, (D) Shielding, and (E) Delineation. However, in view of the fact that making an object traversable is generally safer than making it breakaway, the new hierarchy is: A. Remove B. Make Traversable C. Relocate D. Make Crashworthy E. Shield F. Delineate

A. Remove Removal is the most straight-forward option, and usually the most cost effective from a longterm maintenance perspective. Whenever practical, hazardous features should be removed from the clear zone. As examples, rock outcrops may be removed, abandoned houses may be condemned and removed and additional fill may be placed to eliminate a steep side slope or transverse slope. Trees may be cut down and the stumps ground flush to the ground. There may be public opposition to the removal of landscape features that are considered important from visual, historic, cultural or community context points of view. Refer to Section 10.5.6 for guidance on public relations issues.

B. Make Traversable This option assumes that a projecting feature may be altered so that it is flush with the ground surface or that a slope may be made level enough for a vehicle to traverse. In the first instance, this will typically only be possible for drainage inlets and outlets and a limited number of other man-made features. The removal of a protruding concrete headwall would be one example of making a feature traversable. Replacement with a flared end section would be another. This includes driveway pipe headwalls and pipes without standard end sections, both of which should preferably be replaced with acceptable traversable end section treatments or shielded. (Refer to Section 10.3.2.2 B for additional guidance on end sections.) Note that pipes may require extension to achieve traversable driveway embankment slopes. Gratings may be placed across drain pipe end sections to permit vehicles (including mowing machines) to traverse the openings without dropping in. For transverse pipes, the Department has had satisfactory experience with the use of plain No. 8 reinforcing bars spot welded together on one foot centers. These grates may be used in sizes up to 6 ft by 8 ft. The grates should be held down with four bent No. 6 bars driven at least 2 ft into the ground. The grates should be of sufficient size to extend a minimum of 6 inches beyond the supporting edge of the opening. For details, see Item 603.0101 Culvert End Safety Grate. Where traffic volumes are high and anticipated ditch flows are low, it may be reasonable to place an underdrain, filter fabric and stone filling in a ditch to allow an errant vehicle to have a more level surface across the ditch while still providing drainage of the subgrade. 6/28/2010 10.2.1.2

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To make a slope traversable, it may be flattened to a 1:3 or, for interstates, to a 1:4. In some instances, this flattening may be achieved with spoil material. For more details, see HDM Chapter 9, Section 9. 3. 13. C. Relocate Relocation consists of moving an obstacle to a point outside of the clear zone or, at a minimum, farther back in the clear zone. Fences, signs, traffic control boxes, drain pipe inlets and outlets, utility poles, small structures and, in some cases, ditch lines may frequently be relocated. Consideration may be given to attaching large overhead signs to bridge structures rather than placing supports in or near the clear zone. Note that, in areas where a design clear zone width significantly less than the desirable had to be selected, it is preferable for relocations to be made to beyond the desirable, rather than to just barely beyond the designed, clear zone width. Rather than placing guide rail exclusively for the purpose of shielding small- to medium-sized transverse culverts, preference should be given to extending the culvert and leaving a traversable embankment and a clear zone that is not compromised by a guide rail.

D. Make Crashworthy When potentially hazardous features in the clear zone can not be removed, made traversable, or relocated, consideration should be given to making them crashworthy. A crashworthy object is one which has had its strength, shape, or rigidity changed to significantly reduce the severity of a collision. In some instances, sign supports and lighting standards may not be conveniently relocated and it may be impractical to provide barriers. Where such sign supports and lighting standards are in hazardous locations, they should be provided with breakaway bases. Breakaway bases may be divided into two classifications, omnidirectional and unidirectional. The designer should evaluate the possible directions of impact when specifying a type. Acceptable details of omnidirectional breakaway bases for signs are included on the New York State Standard Sheets for series 645 items. Light standards are made breakaway by providing them with frangible aluminum transformer bases shown on Standard Sheets for series 670 items. Numerous unidirectional breakaway bases are available. A list of approved types is maintained by the Materials Bureau. Breakaway bases or posts should be specified for signs located within the clear zone. Where possible, however, signs and poles should be located behind the deflection area of barriers which are required to shield other hazards. Traffic signal poles can not be provided with breakaway bases since secondary accidents are likely to be caused by the mast arms or, where overhead span wires are used, the poles and signal heads falling back into traffic. In consideration of practicality, fluctuating and typically lower traffic speeds, and the poles required proximity to traffic, shielding of traffic signal poles is not required. Where a barrier system is already required for other reasons, however, placement of the poles behind that barrier is desirable. No documentation is required for the decision not to shield signal poles. When traffic signal poles are required on facilities with speed limits of 50 mph or greater, the poles should be placed as far away from 10.2.1.2 6/28/2010

ROADSIDE DESIGN the roadway as practicable.

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In addition to the types above, systems have been developed for breakaway bases for timber utility poles. When a utility company indicates that relocation of a problem pole will pose undue difficulties and the Department determines that shielding is not a reasonable alternative, use of a breakaway base may be considered. Refer to Chapter 13 of this manual for a further discussion of utility accommodations. The designer should consult with the Design Quality Assurance Bureau's Specifications and Standards Section for information on the approval status and availability of new or uncommon types of breakaway bases. Rock cuts may be hazardous either as obstacles or as sources of rock fall. The Regional Geotechnical Engineer should be consulted to determine the potential risk of material falling from the slope and to discuss modification options that might be appropriate. One possible modification option for rough rock slopes (projections over 6 inches within the potential impact zone) would be to pour a smooth concrete wall against the rock to a height of 3 to 5 feet. Input should also be obtained from Maintenance and Landscape Architecture prior to selecting a treatment strategy.

E. Shield If hazards can not reasonably be removed, relocated, or satisfactorily modified, they should be shielded. Shielding is defined as the placing of a protective device to prevent direct impact into a fixed hazard. Shielding is divided into two categories. The first, barriers, are typically designed to deflect a vehicle away from the hazards. Cable and weak post Wbeam guide rails are examples of flexible barriers. Box beam and heavy-post W-beam are semi-rigid barriers. Concrete barriers are rigid. The second shielding category is impact attenuators. Although they may contain elements designed to deflect a vehicle away from their sides, their main purpose is to effect a controlled deceleration of vehicles that would otherwise crash into a fixed hazard. The two categories of shielding are discussed in more detail later in this chapter. Sections 10.2.2, 10.2.3, 10.2.4 and 10.2.5 describe barriers. Section 10.2.6 discusses impact attenuators.

F.

Delineate To delineate is to provide warning about the presence of a fixed hazard. When a distinct, serious fixed hazard is present within the clear zone, and the hazard can not be removed, relocated, modified, or adequately shielded, it may or may not be appropriate to warn drivers of the potential danger. At night, reflective markers located well off of the road could mislead drivers as to the location of the edge of the roadway. Warning would be appropriate if there are obstructions in the shoulder, narrowings of the shoulder, or if the obstructions are relatively close to the road and the clear zone is level enough for the driver of an errant vehicle to recover sufficiently to maneuver and avoid the object. An example of an object within a broad clear area that might warrant delineation would be the end section of a transverse culvert, or its headwall, that might be hidden by tall grass. The warning should

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10.2.1.2

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consist of approved brightly colored reflective panels placed ahead of the tree, end wall, or similar fixed obstacle. For guidance on approved object markers and warrants for their use, refer to the national Manual on Uniform Traffic Control Devices (MUTCD) and its New York State Supplement. On the other hand, if fixed hazards are present within the clear zone, but at locations where vehicles would not normally be operated, and/or there would be little opportunity to maneuver an errant vehicle, the designer should apply engineering judgment to decide whether or not the object should be delineated. Examples would include obstructions on steep side slopes, in wet, grassy areas, or obstructions that are too close to other obstructions at the edge of the clear zone to permit passing between them. In addition to the delineation of hazards, MUTCD Section 3 provides guidance on the roadside delineation devices and placement to be used along various roadways. Experience has shown that a significant percentage of delineators have been destroyed by snow plows. Care should be taken to ensure that delineators are aligned beyond the areas that normally require plowing. Maintenance forces should be consulted to learn whether there are areas where there are reasons that plowing would be extended well beyond the paved surfaces, such as to maintain snow storage space in areas prone to snowdrift accumulation. In lieu of the standard metal-pole-mounted delineators described in Standard Specification 646 and shown on Standard Sheets 646 series, the Department permits use of Flexible Delineator Posts, Item 646.06XX. These posts are designed to spring back into position for at least the first ten times they are knocked down. Because they are roughly 50% more expensive than standard posts, they should not be used where they are unlikely to be hit, such as behind guide rail. These flexible posts have had fatigue problems where they have been weighted down with plowed snow for long periods. Some of the flexible posts have also developed problems where they were subjected to repeated gusts from high-speed trucks. Preferred locations include exposed areas at intersections and gores, along ramps and curves, and at islands and known problem areas. Preference should probably be given to using rigid delineators in areas prone to snowdrift accumulation and flexible delineators in unshielded areas with high traffic volumes and low snowfall amounts.

10.2.1.2

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ROADSIDE DESIGN 10.2.2 Barrier Design Parameters

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Barriers are generally warranted as shields when a fixed object, roadside obstacle, or nonconforming (see Section 10.1) cross-sectional or drainage feature can not be removed from the clear zone. Refer to Section 10.3.1.2 B for lists that include features that typically warrant shielding. If in any instances it is determined not to provide shielding where it would normally be warranted, an explanation should be provided in the DAD or the project files, as appropriate. Barriers may also be warranted to shield hazards that are beyond the clear zone width. (See Section 10.2.1.1.) Barriers may be warranted to prevent access in certain instances, typically in urbanized areas. Barriers may also be used to separate opposing traffic. (See Section 10.2.4.) When a barrier is needed, the protection must begin a certain distance ahead of the shielded hazard. The Department recognizes two criteria to determine the distance: the point of need (10.2.2.1) or the run-out length (10.2.2.2). The barrier type must then be selected (10.2.3) such that its rated deflection distance (10.2.2.3) will normally prevent a passenger car from striking nonremovable hazards behind it. The offset must be checked to see that the positioning of the barrier and other appurtenances is not conducive to letting a passenger car pass over or vault (10.2.2.4) the barrier. Where guide rail is used in close proximity to steep slopes, the post length requirement should be checked (10.2.3.5) and adjustments made to the anticipated deflections if extra-length posts are required. For barrier systems that may obstruct vision, the horizontal and intersection sight distances (10.2.2.5) should be checked. Continuity (10.2.2.6) should be checked due to the high cost and relative risk of terminals.

10.2.2.1

Point of Need

This first criteria used to determine where to start a run of barrier is applied to objects of limited lateral extent. As a practical limit, it assumes that most vehicles that leave the shoulder will be diverging away from the roadway at an angle of at least 15. Relative to the shielded feature, the point at which the full protection of the barrier is needed is termed the point of need. The point of need is established by finding the intersection of the front face line of the barrier and the line drawn from the back of the obstacle to intersect the roadway at an angle of 15 . Vehicles that leave the traveled way upstream from this point, or at a steeper angle, will pass behind the obstacle. See Figure 10-3a. On freeways, higher volumes and speeds are normal. Though the distribution of departure angles does not change significantly, the higher volumes mean that more vehicles may be leaving at low angles. Additionally, the higher speeds mean that those vehicles will be traveling farther from the road. Consequently, the point of need method should use 10 on interstates and freeways where design speeds are 60 mph or greater and either a new run of guide rail is being installed or existing runs are being relocated or replaced. Relative to the run of guide rail itself, there is a point on the rail that is designated as the point of redirection. (Formerly, this point was also designated as a point of need, but relative to the rail.) It should be emphasized that this point of redirection does not establish the beginning of the barrier system. Rather, it indicates a point, downstream from which, the barrier may normally be expected to redirect an errant vehicle. Approach end sections and additional barrier normally precede the point of redirection. Upstream from the point of redirection, there may be portions of the barrier that can provide full redirective capacity, but the purpose of the terminal end is to minimize the consequences of colliding with the end of the rail, not to ensure redirection. Refer to the Standard Sheets for details on the different types of conventional (pre6/28/2010 10.2. 2

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NCHRP 350) barriers, end treatments and the locations at which they provide point-of-need protection. A rail systems nominal point of redirection is selected to be at or downstream from the point at which the rail is actually capable of redirecting an errant standard vehicle. Runs should be positioned longitudinally so that the point of redirection, relative to the rail, at least covers the point of need relative to the shielded feature. It is acceptable to position the run so that the rails point of redirection is in advance of the shielded features point of need. The limiting factor will generally be the cost of the extra guide rail. As discussed in Section 10.2.2.6, if the point of need for the end of one run is relatively close to the point of need for the start of the subsequent run, it may be acceptable and reasonable to connect the runs, thus eliminating the risk of the approach terminal and the cost of both terminals at the gap. Access for mowing equipment should be taken into consideration. Shielding for steep side slopes should be based on the point of need method, where the potential hazard to be shielded is judged to be those portions of the slope that could cause a vehicle to roll over. Shielding should be provided for any path departing from the roadway at 15 or more (or 10, as explained above) that would result in the vehicle crossing over a portion of the slope likely to cause it to roll over. It was generally observed during the testing of the new NCHRP 350-compliant terminals that vehicles which struck at an angle downstream of the third post would redirect, while vehicles which hit at an angle upstream of the third post would gate through the terminal. There is the potential for vehicles to lose their steering when striking the lead end of a terminal and then to turn in behind the rail, towards the shielded object. (This was observed during one driverless test.) Typically, though, the topography behind the rail will tend to direct the vehicle away from the object. Designers should, however, watch out for topographic conditions that could redirect errant vehicles back towards shielded objects. (See last paragraph in this section.) When tested at impact angles parallel to the road, the parallel-type NCHRP 350 terminals absorb crash energy over a significant crush distance. For this and the above reasons, there should be some distance between the first (farthest upstream) post of an NCHRP 350 terminal and a shielded fixed object. To simplify and provide a consistent location process for designers, the Department has selected 75 ft as the minimum separation that should preferably be provided for high-speed traffic, if there are no conditions restricting the point at which the terminal can be located. (See Figure 10-3b.) Where there are restrictions to how far upstream a terminal can be placed (typically due to the presence of a driveway or ramp), the minimum distance between the point of need and the first post in the terminal may be reduced accordingly. If the separation must be reduced close to or less than two post spacings, consideration may be given to relocating the driveway. In general, it will not be necessary to reassess the locations for existing NCHRP 350 terminals whose first post is at least two post spacings upstream from the point of need. Vehicles striking gating ends of terminals should be afforded the same opportunity to stop as vehicles that are traversing the clear zone. Consequently, the clear zone width should extend past the lead end of a terminal until it is intersected by the line drawn to define the 15 (or 10 where applicable) line for the point of need. (See Figure 10-4f.) Where practical, the recommended length of barrier may be reduced by terminating the barrier against a cut slope. Leaving an opening between the cut slope and the terminal may allow 10.2.2.1 6/28/2010

ROADSIDE DESIGN

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vehicles to be guided along the slope and in behind the rail. This situation is to be avoided whenever practical, but due consideration must also be given to the possible need for maintenance access. The details of the termination should be adequate in most situations to prevent a vehicle from getting behind the barrier by either passing around the end or over the top. Refer to Figure 10-4d for plan details of the approach alignment for cable, W-beam, and box beam anchorage, to Figure 10-4e for heavy-post W-beam approach alignment, and to the Standard Sheet - Box Beam Guide Rail for section details of the termination of box beam against a back slope. Note that a Type I box beam end assembly should not be used when terminating against a back slope. Where there is two-way traffic and the potential for wrong-way hits, both ends should be designed as approach ends if the downstream end is within the clear zone of the opposing direction of traffic. The clear zone width for the opposite direction traffic should be measured starting at the inside edge of its traveled way. Where the shielding is only required for one-way traffic, the downstream (terminal) anchorage may be located at a right angle from the farthest downstream part of the obstacle, provided the total resulting length of the run is sufficient to develop the full redirective capability of the system and the terminal is a type that offers good lateral resistance, such as terminals that fasten to anchor blocks. In systems where the primary rail is not fastened to an anchor block, such as box beam terminals, extra length may need to be provided to minimize the possibility of vehicles pushing through a soft terminal end and striking the shielded object behind the rail. To determine the minimum downstream location of the last post relative to the last shielded object, 50 feet of rail should be provided past the point that is twice as far upstream from the shielded object as the shielded object is offset behind the rail. (Definitely see Figure 10-3a.)

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Figure 10-3A Basic Point of Need Determination

10.2.2.1

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ROADSIDE DESIGN Figure 10-3b Crush Accommodation for Parallel-Type Proprietary Terminals

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10.2.2.2

Runout Length

The second criteria for locating the start of a barrier system, "runout length", will typically only be applicable to highways with broad traversable clear zones. "Runout length" is the length of clear area available parallel to and behind a barrier. For NYSDOTs design process, the runout length is measured from the start of a barrier to a non bypassable hazard. A non-bypassable hazard is any hazard or arrangement of hazards such that a driver running in the clear area parallel to the highway will be unlikely to find a safe route around or through them. Nonbypassable hazards may include bodies of water, nontraversable streams, creeks, and ditches, steep transverse embankments or hillsides (those with contours running perpendicular to the roadway), stands of trees, or hazards in a swale or in the clear runout width at the bottom of a slope. The abutment and embankment for a bridge passing over the highway will usually constitute a nonbypassable hazard, as well. The toes of such embankments should be well rounded on the side facing approaching traffic to give an errant vehicle an opportunity to run up the embankment, rather than impacting into it. Where clear areas are broad and it is likely that an errant vehicle will be able to run parallel to the highway within the clear area, it is desirable that the runout length be made sufficient to permit a vehicle to stop before reaching the non-bypassable hazard. The recommended lengths are given in Figure 10-4a. A runout length may be needed when there are hazards of large lateral extent (effectively nonbypassable) or when hazards are located in positions such that the topography would direct a vehicle towards the hazard. However, if the narrowness of the clear area, or the slope or condition of the area behind the guide rail would make it unlikely that a normal path of an errant vehicle would parallel the highway and reach the nontraversable hazard, then it will not be necessary to extend the rail to provide the full runout length. As stated at the beginning of this section, providing full runout length is usually only a consideration where there are high-quality (wide, traversable) clear zones and clear areas such as are typically found on interstate and freeway facilities.

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10-24

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Note that the preferred solution would be to eliminate the hazards by removing the trees, flattening transverse slopes to make them traversable, etc. However, where a nonbypassable hazard cuts across a high-quality clear zone/area, adjoins the roadway, and can not be removed or suitably modified, a barrier should be provided, preferably extended out to a back slope or the limit of the clear zone to restrict access to the hazard, or located as guided by Figures 10-4a, 10-4b, and 10-4c. Where there is access to the clear runout area and it slopes (longitudinally) down to the hazard, consideration should be given to providing longer lengths than those recommended in Figure 10-4a. Where back slope anchorage (see Figures 10-4d and 10-4e) is not practical and full runout lengths can not be provided due to driveway access requirements, the barrier should begin as soon as possible following the access point. If the runout length thus provided falls well short of the recommended runout length, consideration may be given to providing an additional run of guide rail prior to the driveway. This will typically only be appropriate for high-speed highways with broad clear areas. See Figure 10-4c. Alternatively, the barrier may be run down the side road or driveway, but this option may require an easement in the case of a driveway. As will be discussed later in the sections on terminals, only those terminals which have passed, or have been judged likely to pass, NCHRP 350 or MASH criteria are to be installed well within the clear zone of high-speed National Highway System (NHS) highways. Any use of conventional end sections on these highways should either be close to, at, or beyond the limit of the clear zone, or buried in a back slope. (Note that the turned down portion of a Type I box beam terminal is not to be buried.)

10.2.2.2

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ROADSIDE DESIGN Figure 10-4a Runout Lengths

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Figure 10-4b Left Side Runout Lengths

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ROADSIDE DESIGN Figure 10-4c Runout Length Alternatives

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Figure 10-4d Backslope Anchorage for Weak Post Rail Systems

Note 3: Flare rates and curvatures shown are maximums. Lesser flare rates are preferred. Note 4: Where rails cross ditch line, height should be low enough that errant vehicle will have initial impact with front of vehicle, not windshield. 10.2.2.2 6/28/2010

ROADSIDE DESIGN Figure 10-4e Back Slope Anchorage for Heavy-Post Blocked-Out Corrugated Rail

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Figure 10-4f Clear Area Requirements for Gating Terminals

10.2.2.2

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ROADSIDE DESIGN 10.2.2.3 Deflection Distance

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The "deflection distance" is defined as the lateral distance that the outside (side away from traffic) face line of a barrier will deflect when struck by an errant vehicle before that barrier system stops the movement away from the road. (Note: Deflection for heavy-post systems is measured as the deflection of the outside face of the posts. This distinction is made because weak post rail systems usually separate from the posts when struck, while heavy-post systems will often remain attached. The clear distance to an obstruction must therefore include an allowance for the width of the heavy post.) This distance will be a function of the vehicle's weight, speed, and angle of impact and of the strength or rigidity of the barrier system. The results of crash tests have been analyzed to develop a method for estimating the deflections that may be expected when a standard 4500 lb vehicle strikes different types of barriers at different speeds and impact angles. Table 10-3 presents the deflection distances to be expected when various barrier systems are impacted at 60 mph by a standard 4500 lb vehicle at a 25 angle. Smaller deflections may be expected with lower speeds and when narrower roads tend to reduce the maximum lateral offset from which a vehicle may begin to veer towards the guide rail and thereby provide an upper limit to the normally anticipated impact angle. However, deflections do not decrease uniformly with reduced speeds as higher impact angles are possible at lower speeds. Figure 10-5 illustrates how to measure the maximum lateral offset for narrower roads. Figure 10-6 presents a graph of reduction factors that the normal deflection distances may be multiplied by to determine the smaller deflections that may be anticipated on narrow roads. The deflection distance is an important parameter for two reasons. First, it determines the magnitude of the lateral deceleration. Flexible barriers, such as cable guide rail, allow a relatively gentle lateral deceleration. Rigid systems, such as concrete barriers, produce essentially instantaneous lateral decelerations which are more likely to result in injuries. This difference is the major safety factor favoring the selection of flexible systems. The second reason that deflection distance is important is that it determines the space that must be maintained between the hazard and the barrier. If a hazard were allowed to remain or grow within the deflection distance of a barrier, the longitudinal movement of an errant vehicle can still carry it into that obstacle, even if the lateral movement has been arrested. The New York State Department of Transportation's policy with respect to guide rail selection may be summarized as follows: 1. The standard deflection of the selected system must be less than the lateral distance from the barrier to the nearest hazard that can not be removed or relocated. 2. With exceptions for specific conditions discussed later, the barrier system with the largest acceptable deflection should be selected when a barrier is required. 3. All removable hazards are to be removed from the area within the deflection distance of the selected guide rail. Maintenance work may be needed to prevent trees within the deflection distance from growing to more than 4 inches in diameter. Because the Department can not control development beyond the ROW line, the selection of a barrier system should ensure that its deflection will not extend off the ROW. Guide rail selection may be limited to systems with lesser deflections if there are fixed objects that can not be removed from behind the rail. 6/28/2010 10.2.2.3

10-32

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Occasionally, a guide rail system with a fairly large deflection may be selected for a long run within which length there is an obstacle closer to the rail than its deflection distance. If it is determined that (1) the object can not be moved out of the deflection distance, and (2) the rail choice should not be changed, then it will be necessary to reduce the deflection distance in the vicinity of the object. The normal procedure is to add additional back up posts in accordance with Table 10-3 to, in effect, stiffen the rail. Figure 10-6a illustrates the conventional plan arrangement of posts. If, during construction, objects are noted within the deflection distance of the rail system, then the responsible design representatives should be consulted by the Engineer in Charge (EIC). If the object is a utility responsibility, whether a utility pole, hydrant, or switch station, for example, the Regional Utilities Engineer should be promptly notified, in addition to Design.

10.2.2.3

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ROADSIDE DESIGN Table 10-3 Barrier Deflections for Standard1 Impacts Barrier Type Cable Guide Rail and Cable Median Barrier2 Corrugated W-Beam Guide Rail3 Post Type (Deflection Category) Weak Post (Flexible) Weak Post (Flexible) Heavy Post (Semi-rigid) Box Beam Guide Rail5 Corrugated Median3 Box Beam Median5 Concrete Safety Shapes Weak Post (Semi-rigid) Weak Post (Flexible) Heavy Post (Semi-Rigid) Weak Post (Semi-Rigid) 9 inch Embedment (Rigid) Temporary, Key-Joined (Rigid) Post Spacing (feet) 16 12 810 410 12-6 6-3 11 4-211 6-3 3-1 11 3-1 4,11 6 3 11 12-6 6-3 11 6-3 6 Ends Pinned8A Box Stiffened8B Fully8C Pinned

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Standard Deflection9 (feet) 11 6 9-6 6 8 7 8 6 5 47 27 17 5 4 7 5 3 3 0 3-3 2-2 0-8

1.

Standard Impact is produced when a 2000P (Pickup truck, 2000 kg) test vehicle traveling at 60 mph impacts the barrier at a 25 angle. 2. Must be properly tensioned and anchored to limit deflection to values shown. 3. Must be properly anchored to limit deflections to values shown. 4. With backup channel (for connection to rigid objects). Categorized as a rigid system. Deflection varies from 2ft at start of channel to 8 in immediately prior to connection to rigid structure. 5. To develop beam strength, must be a minimum length of 125 ft, measured toe-to-toe (extreme ends of rail). 6. To minimize rollover problems, barrier systems with deflections of more than 8 ft should not be used adjacent to slopes steeper than 1:2. 7. Measured from outside face of post. 8A. End pieces should always be pinned, unless at least six pieces are present between end and first point where deflection is a concern. TCB Deflections are based on a 2270 kg (5000 lb) pickup truck. 8B. As in 8A, but box beam fastened across joints on workers side. Areas where these deflection-limiting measures are desired should be clearly shown on the Work Zone Traffic Control Plan. 8C. All pieces pinned with four pins per piece, on workers side only. Areas where these deflection-limiting measures are desired should be clearly shown on the Work Zone Traffic Control Plan. 9. Where extra long weak posts are required, these deflections should be multiplied by 1.3. 10. Split spacing achieved by use of backup posts bolted to cable. 11. Split spacing achieved by use of backup posts driven behind the rail, but not fastened to it.

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10-34

ROADSIDE DESIGN

Figure 10-5 Maximum Lateral Offset

Figure 10-6 Deflection Reduction Factors

10.2.2.3

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ROADSIDE DESIGN Figure 6A - Intermediate Posts Required to Reduce Rail Deflection

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10.2.2.3

10-36 10.2.2.4

ROADSIDE DESIGN Vaulting Considerations and Policy on Curbs and Curb/Barrier Combinations

Vaulting is said to have occurred when a vehicle passes over a barrier. Vaulting is highly undesirable for two reasons. First, once the vehicle is past the barrier, it is free to strike the shielded object. Second, the vehicle will usually be airborne and more likely to roll over which usually causes a more severe accident. A distinction should be made, however, between the shielding portion of the barrier (downstream of the point of need) and the portion upstream from the point of need. The portion that is upstream should not be shielding any fixed objects, as the area behind that portion of the rail should be clear back to, at least, the limit of the clear zone (see Figure 10-4f). Any vehicles that leave the road at a divergence angle of 15 or more (10 on interstates, etc.) and either gate through or pass over the barrier upstream of the point of need, should not encounter any fixed objects behind the rail until reaching at least the extension of the clear zone limit. While flaring the portion of the barrier upstream of the point of need away from the road, past the shoulder break, and down a slope may increase the likelihood that an errant vehicle will push through and over the barrier, the concern is offset by the lack of fixed objects behind the barrier and the speed reduction that will occur in the process of pushing through or over the barrier. Therefore, it is acceptable to flare the portion of the barrier upstream of the point of need down a sideslope. As in most cases, flatter sideslopes enhance safety. For the shielding portion of the barrier (downstream from the point of need), efforts should be made to avoid conditions that could contribute to errant vehicles vaulting the barrier. The likelihood of vaulting may be increased where a barrier has been placed past the shoulder break and down a slope. Under these conditions, a high-speed vehicle diverging from the road at a high angle may momentarily have its bumper at a higher than normal height above the ground surface. This increased bumper height increases the likelihood of the vehicle going over the barrier. To minimize this risk, align guide rail posts at least 1.5 ft in from the shoulder break. Alternatively, align the guide rail at least 12 ft past the shoulder break, provided the slope is not steeper than 1:10 or, in the case of cable barriers, 1:6. (Tests have indicated that cable engages vehicles better than other rail systems do on a 1:6 slope.) While it is desirable to provide as much clear area as possible between the traveled way and an obstacle, there are additional considerations with guide rail. The condition of the surface is of critical concern. Unstabilized surfaces, including grassed areas, may become uneven over time, causing an errant vehicle to bounce and be more likely to vault a guide rail. Additionally, when guide rail is set well back from the road, there is an increased possibility of high angle impacts with consequent increases in accident severity and penetration rates. Preference should normally be given to locating the run of guide rail close to the edge of shoulder. Curbing has been shown to be a major contributor to vaulting and destabilization problems, particularly at high speeds and with higher curbs. When the tires of an errant vehicle strike a curb, the impact tends to bounce the vehicle upwards which can contribute to vaulting or penetration of the rail. The problem is generally worst for curbs located more than 1 ft and less than 10 ft in front of the guide rail. In addition to the vertical bounce, striking the curb tends to slow one side of the vehicle. Both of these effects contribute to destabilization. When the destabilizing or vertical bounce effects act in combination with either the destabilizing effects of striking a concrete barrier or the large deflection of cable guide rail, unsatisfactory results may occur. Therefore, do not place curbs of any height in front of concrete barrier (other than bridge barriers) or use (except in low-speed situations) in conjunction with cable barriers.

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A. Curbs and Curb/Barrier Combinations on High-Speed (>50 mph) Highways Curbing of any height is not to be used in conjunction with concrete barriers, attenuating devices, or cable guide rail. Due to its destabilizing effects, vertical faced curbing (formerly referred to as nonmountable) is not to be installed on new construction projects on high-speed highways (operating speeds greater than 50 mph) and is to be removed when practical on reconstruction projects. Vertical faced curb is not to be placed or permitted to remain along the mainline or in gore areas of interstates, freeways, or high-speed parkways. Refer to the Bridge Detail sheets for exceptions at abutments. Any other necessary exceptions are to be explained in the design approval documents. Mountable curbing of any height is not to be installed on new or reconstruction projects, except that, when curbing is necessary for drainage control on high-speed roads, mountable curbs with a maximum height of 4 inches may be used at the outside edge of shoulder where the shoulder is of the minimum width specified in Chapter 2 of this manual. Preference should be given to using the T100 traversable curb profile rather than mountable curb. Curbing is not to be placed along high-speed highways for the purpose of shielding pedestrians. Curbing is ineffective as a barrier, and, at high speeds, vehicles that come into contact with curbing are at increased risk of being pulled out of the traveled way and into areas frequented by pedestrians. Because of the vaulting concerns mentioned above, when it is necessary to use guide rail adjacent to mountable curbs on high-speed highways, the preferred location is within one foot of the face of the curb. The second place choice would be ten or more feet behind the face of curb. Placement in the zone between one and ten feet behind the face of curb shall be avoided unless the preferred locations are not reasonable options. Documentation of the latter choice should be provided if the unreasonableness of the other choices is not readily apparent. AASHTO's A Policy on Design Standards - Interstate System, 1991, further stipulates that, where it is necessary to use mountable curb and guide rail together, the face of the curb should be flush with the face of the guide rail or behind it. Where the 4 inch high, 12 inch wide gutter/berm is used as a curb at the outside of the shoulder width, the guide rail post should be placed as close to its back face as possible. This requirement applies to freeways as well. Theoretical studies have indicated the potential for curbs located under flexible or semirigid guide rail to increase the chances of vaulting or rollover. Therefore, the allowable deflection of barriers used in conjunction with mountable curbs should not exceed 4 feet. Whenever a parkway project calls for any curb to be located closer to the travel lane than a standard-width shoulder (see Chapter 2 of this manual for design criteria), the 4 inch (100 mm) high, 12 inch wide T100 traversable curb or other approved traversable design is to be used. Examples of this would be curbed, raised, grass shoulders on parkways or curbed reduced shoulder sections approaching a bridge.

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B. Use of Curb and Curb/Barrier Combinations on Medium-Speed Highways (with Design Speed of 45 mph to 50 mph) Curbing of any height is not to be used in conjunction with either concrete barriers or cable guide rail. Curbing is not to be used in conjunction with attenuating devices. The designer should judge whether the project area conditions are typically rural, in which case the high-speed guidance presented as Section A, above, should be followed, or whether the conditions are predominantly urban or developing urban, in which case the guidance presented in this Section B should be followed. Mountable curbing may be used in conjunction with rail systems other than cable, but because of the vaulting concerns mentioned above, when it is necessary to use guide rail adjacent to mountable curbs, the placement preferences should be as noted in Section A above. The T100 traversable curb profile is acceptable for use with any guide rail at any offset. As general guidance, vertical-faced curbs (formerly referred to as nonmountable) may be used, but should only be used where justified by present or anticipated pedestrian traffic. Note that vertical-faced curb has little redirective or shielding capacity and is meant primarily to discourage the mingling of vehicular and pedestrian traffic. Because of destabilization problems, guide rails should preferably be no farther than 1 ft from the face of vertical faced curb. (Even though the effect is most pronounced between 1 ft and 10 ft, there is still a potential for vehicles to destabilize when striking a vertical faced curb and to vault a barrier even if it is located 10 ft or more from the curb.) As mentioned above, theoretical studies have indicated the potential for curbs located under flexible or semirigid guide rail to increase the chances of vaulting or rollover. Therefore, on highways with design speeds of 45 mph to 50 mph, the allowable deflection of guide rails used in conjunction with mountable or verticalfaced curbs should not exceed 5 ft. Since vertical faced curb has little redirective capacity (for the low-speed range it may redirect low angle impacts), efforts should be made to address clear zone concerns behind curbs exposed to traffic rather than being satisfied with the 18 inch lateral clearance requirement discussed in Chapter 2 of this manual. The designer should try to maintain the quality of the clear zone by limiting the number of obstructions behind the curb and should try to maintain the quantity, or width, of the zone by locating any required obstructions as far from the curb as possible. Note: The AASHTO guidance on curbs originally recognized high-speed, medium-speed, and low-speed highways. The 2001 AASHTO A Policy on Geometric Design of Highways and Streets consolidated the medium-speed into the low-speed design category.

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C. Use of Curb and Curb/Barrier Combinations on Low-Speed Highways with Design Speeds of less than 45 mph. Curbing of any height is not to be used in conjunction with concrete barriers. Curbing is not to be used in conjunction with attenuating devices. As general guidance, vertical-faced curbs may be used in low-speed situations (less than 45 mph). Note that vertical-faced curb has little redirective or shielding capacity. When used in conjunction with guide rail, the rail should generally be placed within 1 ft of the face of the vertical faced curb. However, offset is not critical, as there is little risk of vaulting at these lower operating speeds. Where the rail is being placed for the protection of pedestrians, a system with an appropriately low deflection distance should be selected. See the Bridge Detail sheets for exceptions at abutments. See Chapter 18 of this manual for details of treatment for the back side of guide rails to reduce the potential hazard that posts represent when in close proximity to sidewalks or bicycle paths. Mountable curbing may generally be used in low-speed setting in conjunction with any type of guide rail.

10.2.2.5 Horizontal and Intersection Sight Distances Concrete barriers and, to a lesser extent, W-beam obstruct visibility. Where either of these barriers are needed on the inside of curves, the horizontal sight distance should be checked in accordance with the criteria for safe stopping distances presented in Chapter 2 of this manual and Chapter III of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004. In addition, some of the sites where glare screens are most needed are sites where horizontal sight distance is most likely to be affected. The designer should check to determine whether the above conflicts exist on a given curve and should carefully weigh the alternatives before selecting the barrier configuration. Options to consider are: 1. offsetting the barrier to the inside of the curve enough to obtain the required sight distance, 2. flattening or extending roadside slopes so the barrier may be moved farther from the traveled lanes, 3. using cable or box beam barriers as opposed to the more obstructive W-beam or concrete barriers, and 4. providing overhead lighting to aid night-time visibility. Nonstandard feature justification will be required if sight obstructions can not be eliminated. Note that the fourth option above is a mitigation measure that will still require nonstandard feature justification if the sight distance is inadequate. Where the plan location of W-beam or concrete barrier indicates the potential for sight obstruction, the effects of any sag vertical curves should be taken into consideration to determine whether the line of sight may be above the top of the barriers.

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10.2.2.6 Continuity and Access Gaps Because of the large cost of anchor blocks or crash attenuating terminals relative to running lengths of guide rail and the potential hazard that end sections represent, short gaps of less than 100 ft should not be left between rail installations, unless gaps are required for access. (Note, however, that the Type I and Type IIA box beam terminals are inexpensive compared to their running lengths and may be considered relatively safe if placed at or near the back of the clear zone.) If expensive terminals would otherwise be required, gaps of up to 200 feet may be closed. Refer to Section 10.2.5 for guidance on the treatment of barrier terminals at access gaps. Chapter 3 of this manual provides guidance on the use of access gaps. A related consideration is the need for emergency stopping areas where the shoulders are relatively narrow and there are long runs of rail. In such situations, a vehicle may not be able to move fully onto the shoulder and out of the traveled way. Where the right-side shoulders are less than eight feet wide and the runs of rail exceed 2000 feet, consideration should be given to providing an intermediate stopping point with a width of at least eight feet between the edge of traffic and the guide rail.

10.2.2.7 Shielding of Pedestrians In general, it will not be appropriate to provide shielding for bicyclists and pedestrians. Exceptions might include settings such as bridge sidewalks where there will be (1) no reason for pedestrians to cross the road, (2) no reason for passengers to get out of vehicles, and (3) a constricted pedestrian space that would prevent them from being able to avoid an errant vehicle. Where high-speed, high-volume traffic will be near high-volume pathways, consideration should be given to providing a barrier to protect users of the pathway from errant vehicles. Even in medium-speed situations, the use of barriers between heavy traffic and jogging paths in park-like areas could contribute significantly to the peace of mind of the pedestrians. As stated elsewhere, vertical faced curbs are only effective at redirecting lower speed vehicles that contact the curb at very shallow angles. In heavy traffic areas where pedestrians will frequently be present and using medians as a refuge area, use of curbing should be considered to delineate and help separate pedestrian and vehicular traffic. However, even vertical faced curb does not provide positive shielding. It may be appropriate to provide positive shielding, particularly if the median design includes numerous other fixed objects. One typical treatment is to place heavy, ornamented posts (bollards) in the median next to the crosswalk area. At intersections, bollards should be offset at least 3 feet to minimize the potential for problems with oversized vehicles. When bollards are used, they should be strong enough, and anchored firmly enough, to prevent an errant vehicle from shearing the bollard and reaching the pedestrians. It is not appropriate to design a bollard or its anchorage system in a manner that, when struck, would permit it to become a missile flying into opposing traffic or the pedestrians it is intended to protect. When the pedestrian traffic is seasonal, consideration may be given to using removable bollards. By removing the bollards during winter months, snow plowing may be facilitated and a potential hazard will be eliminated. Another means of protecting pedestrians is to provide precast concrete barriers with sections other than Jersey Barrier shapes. One low profile alternative that was developed and crash tested by the Texas Department of Transportation consists of long concrete blocks with a height of 20 inches and reverse 1 on 20 slopes on the faces (wider at the top than the bottom). The 10.2.2.6 6/28/2010

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individual units are approximately 2 feet wide and should have weights around 2 to 3 tons. Aesthetic treatments could include textured, raised aggregate, or colored faces. As with the bollards, installation and removal could be performed seasonally. Bollards and barriers are likely to produce severe collisions for errant vehicles and therefore should only be resorted to in instances where there is either a history of vehicles striking pedestrians in the refuge island, or where it is judged likely that such an accident could occur.

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10-42 10.2.3 Barrier Types

ROADSIDE DESIGN

There are four types of barrier in common use in New York: cable guide rail, corrugated metal or W-beam guide rail, box beam guide rail, and concrete barriers. They are discussed in the following subsections in order of increasing rigidity. W-beam may be mounted on either weak posts or heavy posts (see Section 10.2.3.5) and, in the latter case, is much more rigid. The selection of an appropriate barrier is primarily governed by safety considerations and secondarily by cost. In general, the most flexible barriers will have the lowest lateral deceleration rates and will perform better at gradually redirecting an errant vehicle. Unfortunately, barriers with large deflections may not perform well adjacent to steep slopes. Additionally, when a flexible system is struck, it will usually require extensive repair work before it will function properly again. In areas with frequent accidents, this may result in a significant accumulation of time during which the barrier is not operational. Also, the regular presence of repair crews must be considered as a potential hazard, both for the motorist and for the workers themselves. In such circumstances, use of a heavy-post blocked-out corrugated barrier or a rigid concrete barrier may be warranted, as they seldom require repair work. Refer to Section 10.2.4.1 for further discussion. The safety of a given barrier system will also vary depending on the type of vehicle involved. Most barrier systems presently in service have been crash tested with either a standard passenger car or a standard and a lightweight car. Recently installed systems were crash tested with a 4450 lb pickup truck and a small car. As a result, the barrier systems are well adapted to the protection of the most common vehicles, but may not be well adapted to larger vehicles such as vans and tractor trailers. The point should be stressed that the barrier systems that have been developed are a compromise intended to provide protection for occupants of the average, more common vehicles in a fleet with broad diversity. Preference should be given to improving clear zones where practical rather than simply installing barriers. However, it should also be pointed out that, with modern testing and improvements, barriers, and particularly terminals, are much less likely to contribute to unfavorable outcomes than they once were. While lateral decelerations on stout barrier systems can still be very harsh, the results of collisions with other fixed objects will almost always be more severe, especially if the effective clear area is at or less than the recommended clear zone width. Because of their size, buses and large trucks are not well protected by W-beam guide rails. Box beam is unlikely to rupture, but may get pushed down under large-tired vehicles. Cable stands the best chance of capturing a vehicle, but the extra vehicle weight may cause larger than normal deflections. If the cable is adjacent to an embankment, large vehicles may still reach the slope. With their higher centers of gravity, they will be more likely to roll over, even on relatively mild slopes. Concrete barriers function best for large vehicles and higher barriers reduce the chance that the large vehicles will trip and flip over the barrier. The designer should review the distribution of vehicle types expected on a finished project as a factor in selecting appropriate barrier types. The Design Quality Assurance Bureau should be consulted for barrier selection and design guidance for areas where truck penetration is deemed unacceptable. In some situations, it may be desirable to evaluate the cost of providing a barrier system for comparison to other options such as buying right of way so slopes may be flattened. When evaluating the cost of a barrier system, the designer should consider (1) the initial cost of the system, (2) the cost of the types of repairs that may be required, (3) the frequency at which the various repairs will be required, and (4) the anticipated relative safety benefit. The first factor may be estimated from previous bid prices which are published in the Department's "Weighted 10.2.3 6/28/2010

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Average Item Prices". The second factor should be available from maintenance records for that Region or, for new roads, predictions may be obtained by the use of the computer program Roadside. The third factor may be estimated based on a combination of traffic projections, accident history data, and maintenance records. The fourth factor will generally be based on professional judgment and consideration of such concerns as frequency, type, and severity of accidents. In some situations, the potential for damage to adjoining property and road closures due to truck overturning should also be considered. In general, the initial cost of weak-post W-beam will be about twice the cost of cable guide rail. Heavy-post blocked-out W-beam will be about three times the cost of cable guide rail. The cost of box beam will be about four times the cost of cable, and the cost of concrete may be as much as ten times the cost of cable. The maintenance costs may be significant for weaker systems and will be strongly controlled by traffic conditions.

10.2.3.1 Cable Various types of cable guide rail have been used in New York State since the early 1900s. The older configurations are still in service along some rural roads. The currently accepted standard details for cable guide rail are shown on the Standard Sheets for 606 items (https://www.nysdot.gov/main/business-center/engineering/cadd-info/drawings/standard-sheetsus/606). The system is designed to yield more readily than any of the other barriers. The inch cables are fastened to light metal posts. At impact, the cables are intended to engage the vehicle either in grooves they form in the sheet metal or around projections such as bumpers. As the vehicle impacts the cable, the posts are bent aside and the lightly fastened cables pull away from the connections. Lateral movement is arrested by the combined effect of the bending of the posts and the tension built up in the cables. Since it is essential that the cables develop tension to restrain the vehicle, each end of the run must be anchored. Details of the terminals are discussed in Section 10.2.5.1. To limit the total deflection distance, it is important that the system provide adequate tension in the cables prior to an accident. This requirement imposes a limitation on the curvature at which the cable guide rail may be installed. To guard against the maintenance problem of having the posts pulled over by the centripetal force from the cable tension, the system should typically not be installed on curves with a centerline or horizontal control line radius of less than 715 feet when using 16 post spacing, 440 feet when using 12 post spacing, or 200 feet when using an 8 post spacing. To avoid potential lean problems where cable guide rail would be placed on a tight radius, one of the following actions should be taken. Whenever it is reasonably possible to do so, eliminate the need for railing in the affected area. Use another type of guide railing that may be installed on the radius. Transition from cable to box beam before the area of the tight radius. As indicated on the Standard Sheets, intermediate anchors should be used, if necessary, to limit the length between terminal sections to 2000 ft or less. Continuous runs which exceed that length may experience unacceptable amounts of thermal expansion and contraction. When measuring for payment, the overlapped sections are to be treated as separate runs. There are also minimum length concerns for cable runs. On short runs, it is likely that all of the cable will be pulled from the posts, significantly increasing the deflection distance. Anchor to 6/28/2010 10.2.3.1

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anchor lengths of less than 200 feet should be avoided and lengths of less than 100 feet should not be used. The main advantages of cable guide rail are that it: produces the lowest deceleration rates, has the lowest initial cost, is relatively easy to repair, provides the least obstruction to snow plow cast, does not induce snow drifting, and produces little visual obstruction. The last advantage is both a safety consideration and an aesthetic consideration. The disadvantages of cable guide rail are that it: requires the largest distance between the barrier and the shielded object, may develop lean problems on tight curves, requires repair after almost every impact, old style anchor blocks may experience pullover after repeated impacts into the run, should not be used adjacent to slopes steeper than 1:2, unless its post spacings are reduced to limit its deflection to 8 feet or less, may have performance issues adjacent to vertical or mountable curb on medium- or high-speed highways, requires regular maintenance to maintain tension, may have problems stopping low frontal geometry vehicles from passing under the rail system, requires that a large area behind the guide rail be maintained free of trees larger than 4 inches in diameter, and is the least effective barrier for reducing headlight glare. Note that extra length posts may be required when guide rails are used adjacent to steep slopes and that use of those posts should be assumed to increase the deflection distance by 30%. Refer to Section 10.2.3.5. Because of the increased deflection distance, cable guide rail should generally not be used in situations that would require the use of extra length posts. Cable guide rail may be warranted if: the appropriate clear zone width can not be economically obtained, the hazards are beyond, or can and will be removed from within, the relevant deflection distance of the cable, and any adjoining slope is 1:2 or flatter. Because its impact durability is so poor, cable guide railing should generally not be installed on highways with AADTs in excess of 5,000 vehicles per lane per day. However, cable guide rail may be used for roads with higher traffic volumes if the correspondingly increased effort can be made to provide timely repair and maintenance and it is believed that repairs can be made safely. Distance from traffic will reduce hit frequency and increase the safety of repair operations. Regardless of volume, the use of an approved barrier system other than cable will be acceptable if it is anticipated that there would be significant problems with maintaining a 10.2.3.1 6/28/2010

ROADSIDE DESIGN cable system in that location. 10.2.3.2 W-Beam

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W-beam (corrugated beam) guide rail may be mounted on either a weak post or blocked-out on a heavy post. The difference in the two post systems is discussed in Section 10.2.3.5. In many respects, the systems are similar except for the increased rigidity of the heavy-post system. Section A, below, describes the weak-post W-beam and is generally applicable to heavy-post except as noted in Section B.

A. Weak-post W-beam W-beam guide rail consists of lengths of corrugated steel sheeting with a cross-section shape similar to a W. These are bolted directly to S3 x 5.7 -beam posts with 5/16 inch bolts. Note however, that when extra posts are added as backup, these are not to be attached to the rail. The connection bolts are designed to permit the rail to separate from the posts on impact so that the rail will stay with the vehicle rather than being pulled down under it by the posts. In addition to the connection bolts, there is a support bolt positioned at the bottom edge of the rail. These support bolts were added to the system soon after it was placed in service. It was noticed that some connection bolts were shearing under the load of snow and ice that sometimes adhered to the rail. The support bolt is not intended to affect impact results. Refer to the Standard Sheet for 606 series items for details of the Wbeam system. Weak-post W-beam (G2) was been a Department standard for many years. It successfully redirected four-door sedans during the NCHRP 230 testing. NCHRP 350 moved to a 2000 kg pickup truck as the primary test vehicle. Due primarily to the higher center of gravity of the pickup truck, the weak-post W-beam failed high-speed NCHRP 350 crash testing and briefly fell out of favor. The system was modified and retested. The modified system (Modified G2) passed the NCHRP350 high-speed crash tests at test level 3. The weak post W-beam, in modified form, is once again acceptable as a TL3 barrier. The modifications consisted of moving the rail splice off of the support post, adding a backup plate at the support post, and raising the working height of the rail. Many runs of original G2 weak post W-beam were installed prior to NCHRP 350 and remain in service. Because existing runs of weak-post W-beam rail will generally function satisfactorily for most of the passenger fleet, it was not judged necessary to have a separate program to replace them. In some instances, however, an accident analysis may indicate a significant number of crashes on a W-beam guide rail and a high percentage of penetrations. In those instances, either the Modified G2 or an alternative system should be installed. (Note that, on lower volume roads, it may be helpful to examine more than three years of accident data to get a statistically significant evaluation of the penetration rate.) The Department has decided to either retrofit existing runs of weak-post corrugated barrier to meet Modified G2 details or replace the old G2 with a different rail system on reconstruction projects with operating speeds in excess of 50 mph. It has also been decided to replace this system on 3R type projects on freeways. On other 3R projects, replacements of existing weak-post W-beam with another system may be made at the discretion of the Regional Design groups, but will not be considered necessary unless the first three of the following conditions are met or the last one is met:

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10.2.3.2

10-46

ROADSIDE DESIGN

the operating speed is over 50 mph, the rate of reportable accident impacts on the weak-post W-beam guide rail exceeds 0.3 crashes/year/mile, and the percentage of impacting vehicles that penetrate through, over, or under the weak-post W-beam guide rail exceeds approximately 10%, or the subject highway is an interstate or similar high-speed, high-volume facility. Note, however, that replacements are encouraged if convenient for the particular project or if the run of existing guide rail requires significant work to be done, particularly if the run has a history of penetrations or rollover accidents. With regard to 100% State-funded repair and maintenance contracts, weak-post corrugated guide rail and median barrier may be repaired and maintained, without replacement, under these contracts on facilities of all types, although replacements are encouraged in the situations noted above. When W-beam is installed, individual pieces of corrugated beam must be mounted so that, for the normal traffic conditions (as opposed to a temporary construction condition), the trailing end of each, rather than the leading end of the next section downstream, is exposed to the predominant flow of traffic. That is, the direction of overlapping should shield the leading (upstream) ends. Individual sections of W-beam are fastened together so they can develop longitudinal tension and a restraining component similar to cable guide rail. As with cable guide rail, it is essential that the W-beam be properly anchored and continuously connected to provide the tension component. In addition, W-beams have significant lateral rigidity and therefore have lower deflection distances than cable. This lateral rigidity also requires that W-beam must be shop curved for installation on curves with radii of less than 150 feet. Because of their lower deflection distance and their degree of in-plane rigidity, Wbeam guide rail may be used adjacent to steep slopes. Refer to Section 10.2.3.5 for limitations on how close the supporting posts may be placed to the shoulder break. The main advantages of W-beam guide rail are that: its lower deflection distance permits it to be placed closer to a hazard than cable guide rail may be, the system is more durable than cable, as the damage from a mild hit affects only the impacted zone rather than the entire run (as with cable), and the system is significantly less expensive than box beam or concrete barriers. The main disadvantages of W-beam are that: its deflection distance does require a significant separation from shielded hazards, it is rigid enough to be considered a mild hazard in itself (though much less of a potential hazard than almost any other fixed object), it is more visually obstructive than cable, it frequently needs repair after being hit, it has a long-term tendency to be pushed over by the lateral force of snow plowing, exposed segment ends may present a snagging or spearing hazard to wrong way traffic,

10.2.3.2

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ROADSIDE DESIGN

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it may act as a snow fence and induce drifting, and in accordance with the NYSDOT Guidelines for the Adirondack Park, corrugated beam guide rail (W-beam) shall not be used within the Adirondack Park. W-beam guide rail may be warranted when: the appropriate clear zone width can not be economically obtained, site conditions do not permit the use of cable, and the rail can be positioned so the distance from a nonremovable hazard to the roadside face of the rail meets or exceeds the relevant deflection distance.

B. Heavy-post Blocked-Out W-beam To remedy the high repair incidence while still providing a yielding system, the heavy-post blocked-out W-beam guide rail was developed. The blockout piece holds the rail away from the post to reduce the chance that part of an impacting vehicle will extend under the rail and snag on the posts. The heavy posts are much stouter than the weak posts and snagging on them could cause a vehicle to turn and roll over. The typical details are shown on the Standard Sheets for 606 items. To limit deflections and the potential for pocketing and wheel snagging, the typical post spacing is only 6-3. The main advantages of heavy-post blocked-out corrugated beam guide rail are that it has a low deflection distance and it can survive mild hits with minimal need for repairs. The main disadvantage of the system is that it produces more severe lateral deceleration of impacting cars than do the weak-post systems. A secondary disadvantage of the HPBO system is its total width, which can be difficult to fit between the paved shoulder and a steep shoulder break. The heavy-post system may be warranted where barrier is needed and the traffic volume exceeds 50,000 vehicles/day. The decreased safety due to the high rigidity is offset by the increased safety obtained by limiting repair interruptions. In instances where a guide rail is needed but there is not enough clear area to accommodate cable, either heavy-post blocked-out W-beam or box beam are the logical alternatives to weak-post W-beam guide rail.

10.2.3.3

Thrie Beam

Thrie beam is a corrugated steel rail similar to W-beam, but with three corrugations instead of two. The third corrugation increases the height of the section from 12.25 inches to 20 inches. The section is significantly stiffer as a result, and can be placed to provide shielding over a larger vertical range. Because it is a comparatively expensive product, its uses along mainline highway sections have been limited. Its chief use in New York to date has been as a transition section between the yielding W-beam guide rail along highways and the unyielding concrete parapet walls on bridges. Refer to the Bridge Detail sheets for further information on the thrie beam transitions. Thrie beam has also been used as a side component in some proprietary impact attenuators. In special instances, the Department has used thrie beam to assist in rockfall control along highway rock cuts. The main disadvantage of thrie beam is its cost, and, in particular, the cost of the transition piece. For the foreseeable future, thrie beam will not be used in New York for normal highway use.

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10.2.3.3

10-48 10.2.3.4 Box Beam

ROADSIDE DESIGN

This railing is a square structural steel tube, 6 inches on a side with a 3/16 inch wall thickness. The rail is significantly more rigid than a W-beam and must be shop curved for radii under 720 feet. Details of the system are shown on the Standard Sheets for 606 series items. The system develops most of its redirective strength through beam action and therefore does not require anchor blocks. Note that runs must be at least 125 feet in length (measured as full length of rail, toe to toe, of terminals) for the system to develop its intended deflection resistance. The main advantages of box beam guide rail are that: It requires less space for deflection than an equivalently supported W-beam. Its splice connection detail practically eliminates spearing problems. It is less of a visual obstruction than W-beam. It has a stronger, more rigid rail element and is therefore better at bridging between points of support. (When struck, the corrugations in W-beam tend to flatten, reducing its beam strength and increasing its tendency to fold around objects behind the rail, rather than supporting itself as a rigid beam against them. This only becomes an issue when vehicles strike the rail and cause more than the standard deflection or objects are present within the deflection distance.) The main disadvantages of box beam guide rail are that: It is less forgiving than cable or weak-post W-beam guide rail. It is significantly more expensive than cable or weak-post W-beam guide rail (but only about 20% more expensive than heavy-post blocked-out corrugated rail). It is more difficult to repair. Significant repair delays may occur if damaged rail must be replaced with sections shopcurved to the correct radius. Box beam guide rail may be warranted when either of the following conditions apply: The appropriate clear zone width can not be economically obtained and the available space between any nonremovable hazard and the edge of shoulder is adequate for box beam but not for cable or W-beam on weak-posts. It is necessary to transition to a rigid barrier system.

10.2.3.4

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ROADSIDE DESIGN 10.2.3.5 Post Systems

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Whenever guide rail or fence posts are being positioned, the location should be checked for the presence of underground utilities. Most of the barriers discussed above (heavy-post, blocked-out W-beam being the exception) are supported on "weak-posts". These posts are S3 x 5.7s, designed to bend aside when struck, rather than contributing to vaulting or rapid deceleration problems. Depending on the system and rigidity desired, weak-post spacing may vary from as much as 16 feet to as little as 3 feet. (See Table 10-3.) The reduced post spacings are achieved through the use of backup posts which provide additional lateral resistance. The backup posts for W-beam and box beam rails are not fastened to the rails. This is intended to minimize the potential for snagging. All weak-posts require soil plates to enhance their lateral resistance to impacts. In some cases, the light steel -beam posts may be bent back into position and reused. Because the posts are weak, however, they require maintenance after most of the impacts. In locations with a high frequency of accidents, the downtime and repair costs can be significant problems. The "heavy post" is a W 6 x 9 (or W 6 x 8.5), which is approximately four times as rigid as the weak-post, and must, therefore, be considered as more of a potential hazard. To minimize the danger of vehicles snagging on the posts below the rail, the rail is blocked-out in front of the posts. The traditional metal block-out has been replaced with a solid block-out that provides 7.5 inches of separation between the rail and the post (versus the traditional 6 inches). The solid block-outs are to be made of either wood (Standard Specifications 710-20 and 710-13, issued by EI 97-016) or plastic and synthetic (Standard Specification 710-26, issued by EI 99-035). Steel block-outs should not be reset or used for repair of damaged HPBO guide rail. To maintain the usable shoulder widths, heavy steel posts should now typically be positioned 10 inches from the edge of usable shoulder. When additional rigidity is needed in the heavy-post system, the post spacing may be reduced from its normal spacing of 6-3 to 3-1. At this spacing, soil plates are required to be welded to the posts. The plates are positioned just below ground surface. They serve to increase the area of soil that is resisting overturning at impact. To ensure that a sufficient amount of soil is present to provide the lateral resistance, posts should be placed no closer than 1 foot to shoulder breaks where the embankment slope is steeper than 1:4. In addition to the steel heavy-post system, a pressure-treated wood post system with brown rail was used as an aesthetic treatment along some parkways. (Rustic, A-588 steel rail is no longer to be installed.) The posts and blockouts are 8 x 8. To maintain the usable shoulder widths, the front of the wood post should be positioned at least 10.25 from the outside edge of the usable shoulder.

A. Extra Length Posts When the recommended offsets from the back of the posts to the shoulder break can not be achieved, the lateral soil support at impact may not be adequate. To compensate, extra long posts, Items 606.48xx, should be used. Note, in the item specification, that the soil plates are placed deeper than on the standard posts. Extra long posts should be used when the embankment slopes away from the normal shoulder break at steeper than a 1:2 slope. Extra long posts should not be used past the shoulder break. (The shoulder break is the line of intersection of the plane of the embankment with the plane of the shoulder slope and 6/28/2010 10.2.3.5

10-50

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should normally be located 2-3 from the outside edge of the usable shoulder.) In situations where the normal offset and embankment slopes can not be used, Table 10-4 provides guidance on post selection as functions of slope, offset and soil type. When 7 foot posts are required, the weak-post guide rail deflections should be considered to be 1.3 times the values in Table 10-3. The designer should note that the driving of any post requires that extra care should be exercised in locating underground obstructions such as utilities, shallow culverts, and top of rock. As part of the normal design process, all utility companies with known facilities within the project limits need to be contacted to ascertain their facility locations. Street lighting conduits, ITS facilities, and telecommunications lines are particularly susceptible due to the fact that they are often approved for shallower depth installations. Table 10-4 Minimum Shoulder Break Offsets (in feet) to Back of Guide Rail Posts Embankment Slope 1:3 1:2.5 1:2 1:1.5 7-0 Long Weak Posts (S3x5.7) 0.0 0.0 0.0 0.5 5-5 Long Weak Posts (S3x5.7) 0.5* 1* 1.5 2.5 7-0 Long Heavy Posts (W6x8.5) 0.0 0.0 0.0 0.0** 6-0 Long Heavy Posts (W6x8.5) 1* 1.5 2 2.5

*Use 7 foot long posts if post is within 6 inches of the minimum offset and the soil is sandy or weak. (Example: With embankment slope of 1:2.5, sandy soils, shoulder break at 16 inches from back side of weak-post, use 7 foot extra long post since 16 inches is within six inches of the one foot minimum shoulder break offset.) **Do not use with an offset of less than six inches in sandy or weak soil.

B. Vegetation Control Strips Vegetation management is an important element to be considered when designing a project. Vegetation management is needed along roadsides to prevent the growth of (1) vegetation that would reduce safety by obscuring sight distances, (2) trees that would be potentially hazardous fixed objects, and (3) vegetation that would encroach into the shoulder area and effectively reduce the shoulder space available for safe walking and bicycling. A particular maintenance problem is the area close to and under guide rail. Mowing machines are difficult to maneuver in these locations and, even with very careful use, can not be fully effective at controlling vegetation adjacent to posts. Furthermore, unintended contact can result in damage to both mowers and posts. Two different control measures have typically been used as alternatives to mowing: total vegetation control herbicides or an optional (hot-mix asphalt) Vegetation Control (formerly Mowing) Strip beneath the rail to suppress plant growth. The Department continues to strive to reduce the use of herbicides. It is part of the Departments vegetation management policy to encourage the use of vegetation control strips (VCS) under guide rail when that use will contribute to reducing the Departments use of herbicides. The typical VCS shall consist of hot-mix asphalt with a minimum thickness of 3 inches. (Lesser thickness were not durable.) The width of the VCS will be dependent on the specific site conditions. In the normal shoulder section, the 10.2.3.5 6/28/2010

ROADSIDE DESIGN

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shoulder break is 2-3 beyond the edge of shoulder and the width of the strip that can reasonably be compacted will be limited to 2 feet for embankment side slopes of 1:6 or steeper. Where the presence of a wider, sufficiently level area behind the rail permits placement and compaction of asphalt, the mowing strip should extend to 20 inches beyond the guide rail and posts to make mower control easier. Rail-type median barriers and flared-back guide rail can normally be accessed from both sides. The aesthetic benefits to managing the vegetation by mowing may be sufficient to warrant that effort. Furthermore, running paved strips diagonally down a slope runs the risk of concentrating sheet flow and inducing erosion. However, if it is determined that vegetation management under a rail is required, but that mowing is not practical, then preference should generally be given to using a VCS rather than resorting to a total vegetation control herbicide. Where the guide rail or (rail-type) median barrier is not adjacent to the shoulder and there will be mowed areas between the shoulder and the railing, the width of the VCS should be 3 feet, except that a width of 5 feet should be used for HPBO median barrier. The strip should be positioned to permit equal mowing offsets from either side of the rail system. Where vegetation control strips are needed and the guide rail is not adjacent to, but is less than 5 feet from the edge of a shoulder, the space between the shoulder and the mowing strip should typically be paved, unless it is judged that a mowed space has sufficient aesthetic or storm water management value to warrant the effort and risk of mowing. Where guide rail flares away from the road, the VCS, if required, should follow the line of the rail. This would typically result in a triangular area requiring mowing between the rail and traffic. To minimize the danger to both the mowing crews and the traveling public, the mowing strip should be widened to cover the area between the shoulder and the railing in areas where both (1) the distance between the edge of traveled way and the railing is less than 13 feet and (2) the traffic volume exceeds 2000 vehicles per day. Measurement will be made on the basis of the number of tons satisfactorily placed and compacted. Where the VCS can be placed as an extension of the shoulder paving operations, the quantity will be included in the shoulder items. Where the VCS must be placed separate from the shoulder paving operations, payment will be under Item 608.020101 M Asphalt Concrete Sidewalks, Driveways and Bicycle Paths and the corresponding Plant Quality Adjustment Factor (Item 608.020110).

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10.2.3.5

10-52 10.2.3.6 Concrete Barriers

ROADSIDE DESIGN

In some situations, it is necessary to provide for redirection without deflection. In these instances, a rigid concrete barrier may be appropriate. The New Jersey Department of Transportation developed a cross-section that flared out at the base. It was intended that the base would deflect tires on low angle hits, thereby minimizing property damage. This shape came to be known as the Jersey Barrier and has been widely used. Details for the shape and the half section are shown on the Standard Sheets for 606 series items. One potential problem with the standard Jersey shape, and with similar shapes that have toes projecting out in front of the face, is the possibility for small vehicles that impact at an unfavorable angle to ride up the face and roll over. To minimize the likelihood of this occurrence, the surface of the shape should be smooth to reduce the traction of tires that impact the barrier. Also, the height of the vertical face of the toe should not exceed 3 inches. Taller toe faces have been shown to increase the tendency of vehicles to climb the barrier. (Some of this climb may be due to the sloped portion above the toe being raised to where the frame of the vehicle strikes that inclined surface.) Foundation and overturning support conditions for half sections should be reviewed for the specific conditions of use. A 9 inch embedment is typical for most soil conditions. The designer should consult the Regional Geotechnical Engineer for any special foundation design requirements. A specific concern with concrete barriers, particularly precast barriers with their more frequent joints, is the possibility that an impacting vehicle might cause one segment to displace laterally, which would then permit the vehicle to strike the end of the next segment. Several measures may be used to help avoid this problem and ensure that all segments act as one continuous barrier. First, for precast and cast-in-place (set-formed) half section barriers, either backup posts and continuity connections are to be used or compacted earth berm backfill is to be placed as shown on the Standard Sheets. For slip-formed, half-section barriers, since the longer lengths provide for substantially more massive segments, backup is only required at the expansion joints. Where the available space allows, properly embedded full sections may be used. Their wider base and greater mass will generally permit their use without backup or continuity connections. Because of the added threat posed when vertical elements, such as bridge piers, are in close proximity behind concrete barriers, extra measures should be taken to reduce the likelihood of vehicles climbing or leaning over the top of the barriers. As shown on the "Pier Protection" Standard Sheets, a box beam should be mounted to the top face of the Jersey-shaped barrier to limit vehicle climb. Although no testing has been performed to confirm the premise, it is anticipated that the box beam would also help to limit roll angles and "lean over" of tall vehicles. Details of the above options are, as of this writing, presented on the 606 series Standard Sheet titled "Pier Protection". Because the Pier Protection arrangement is essentially a rigid system, its use should be limited to the cases where it is specifically warranted. The arrangements on the Standard Sheet "Pier Protection" should be used when a bridge pier exists so close to the roadway that placement of guide rail, with its corresponding deflection distance, could not be made without encroaching onto the shoulder. (NOTE: It is anticipated that, soon after this chapter is issued, new standards for pier protection will be issued. The anticipated changes are intended to protect piers from damage by large truck impacts. The revised pier protection barrier is anticipated to be a 42 single slope barrier if 10 ft or more from the pier, and a 54 single slope barrier if closer to the pier.) 10.2.3.6 6/28/2010

ROADSIDE DESIGN

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Other concrete barrier alternatives have been successfully used for protection of large vehicles. These have primarily involved increased heights, either as vertical extensions of half shapes or straight-faced walls. If the designer encounters a situation that may warrant a nonstandard concrete barrier, the Design Quality Assurance Bureau should be consulted for information on acceptable options. Refer to Section 10.2.4.9 for a description of innovative barriers. The main advantages of concrete barriers are that they: provide redirection when there is no space available for barrier deflection, require very little maintenance or repair, and may effectively block headlight glare. The disadvantages are that they: are unyielding hazards that may produce severe decelerations at all but low-angle impacts, may restrict horizontal sight distance, have a high initial cost, may interfere with drainage, and are considered aesthetically unappealing and visually obstructive. (See 10.2.3.7 B.) Concrete barriers are warranted where positive redirection must be obtained and very little deflection space is available.

10.2.3.7

Barrier Options for Aesthetically Sensitive Areas

Designers will occasionally encounter projects where visual considerations are a major priority. The conventional barrier types may not be considered appropriate from an aesthetic standpoint. The systems that are briefly described below provide some alternatives. Other designs may prove acceptable. In general, these systems will be more or much more expensive than the standard alternatives. There may also be some reduction in safety. For these reasons, there should be strong reasons for using one of these systems instead of one of the normal standard types. In any event, before proposing use of an aesthetic barrier, it should be verified that the system has had an adequate safety evaluation. Any new systems proposed for use should be reviewed by the Design Quality Assurance Bureau. A. Brown Steel Guide Rail Systems (formerly Rustic) In the early 1970s, several park agencies and environmental groups requested that the Department use brown guide railing in some park areas. This was desired as a way of branding the park areas in a manner similar to the brown and yellow signs used for the same purpose. At about that time, the steel industry had marketed A588 steel, an alloy with copper in it that was supposed to weather to a rust brown and then leave a surficial coating, a patina, that would significantly retard any subsequent rusting action. This material was used to produce steel guide rail which was installed in a steadily increasing number of aesthetic settings. Unfortunately, it turned out that this patina-forming process did not function adequately 6/28/2010 10.2.3.7

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when the rail was placed in settings where there were regular moisture and elevated salt levels, conditions typical for roadside settings. Rustic rail replacements were needed much more frequently than desired. In 2007, the Department decided to phase out the use of A588 for guide rail. New projects should no longer specify any A588 guide rail. It is anticipated that essentially all runs of A588 guide rail will be removed from service by 2017. Extensive experiments were conducted to identify a durable means of coating galvanized steel to a brown color, but all have shown aesthetic deterioration within a few years of installation. To maintain the desired aesthetics, coated rail would need to be periodically repainted or recoated. Because of the distraction that regular field repairs would create for tourist traffic, as well as the risk to the crews, the Department decided that only locations of special aesthetic value, such as scenic overlooks, rest areas, fishing areas, and some special gateway locations, would receive special aesthetic treatment, such as painting, powder coating, or the use of timber-faced steel guide rail. In most other locations where A588 guide rail has been used, that rail will be replaced with plain galvanized guide rail.

B. Stone-faced and Textured Barriers The primary reason for having stone facing or textured surfaces on barriers is to establish or reinforce an identity for an area, or to complement or reflect existing features of historic districts, downtown redevelopment, historic restorations, or tourist areas. From a purely aesthetic perspective, the ideal appearance (colors, textures, materials, scale, etc.) will be reflective of the immediate environments context. There are however, other factors that must be considered when selecting aesthetic treatments for barriers. For example, while the context might call for a laid-up wall of natural stone, few roadside situations, for reasons given below, would be appropriate for such a treatment. Instead, such barriers often need to be reinforced concrete walls or, at the least, include one in their construction. To provide an appealing appearance to a concrete barrier, its surface may be textured by using formliners, acid etching, sandblasting, etc., and coloring may be added through surface applications or mixed integrally into the concrete. The location of a barrier should be taken into consideration, before considering aesthetic treatment. If in a location where it is likely to get struck by snow plows or errant vehicles, then a durable barrier design should be selected. Some designs use surface-applied stains to color the concrete. Stains are also often used when more than one color is desired i.e., simulating different colored stones, or to emphasize a formliner texture. When struck, some of the stained surface concrete will be broken off, exposing the unstained concrete underneath. Depending on the stain coloration that was originally used, the raw concrete may be highly visible. To minimize this aesthetic problem, and also when a uniform color is desired throughout, integral color additives can be mixed in with the concrete so that the color is present even after a surface has been knocked off. Another possibility is to specify aggregate with a color that blends better with the integral color. For instance, a limestone aggregate will provide a gray to dark gray color, while the typical pea gravel will tend towards yellow and brown. Some manufactured lightweight aggregates can provide a reddish color.

10.2.3.7

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ROADSIDE DESIGN There are five primary safety concerns with stone-faced and textured barrier walls. Redirective capability Disaggregation Vehicle climb Vehicle snagging Continuity

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Redirective capability refers to the barriers ability to withstand the impact of a vehicle and redirect its path back along the road. If a barrier can overturn as it is being impacted, the impacting vehicle is likely to ramp up and over the barrier. If the barrier breaks apart, the vehicle may similarly go beyond it. This is particularly a concern for laid-up or mortared stone barrier walls. While such a barrier, when new, may have well-adhered stones, a prolonged exposure to freezing and thawing is likely to leave the mortar and stone loose. When subject to impact, the upper stones may fly, while the lower stones act to ramp the vehicle up and over. For this reason, real stone barrier walls should be reserved for locations that are not safety-critical, such as low-speed environments, scenic overlooks, and rest areas. Concrete barriers have occasionally been broken by high-speed impacts or large-vehicle impacts. The reinforcing and thickness of the concrete should take into consideration the anticipated operating speeds and vehicle weights. A vehicle does not have to pass beyond a barrier for breaking of the barrier to have a serious consequence. With either a stone or concrete wall, if a portion of the wall breaks out the vehicle may collide with the end of the broken out section. Stone-faced barriers should therefore include a reinforced concrete core wall to prevent a vehicle from passing beyond. Disaggregation refers to portions of a barrier subjected to impact becoming missiles that may endanger people beyond the barrier. The critical locations for this concern would be where the barrier is on an overpass or adjacent to or above an area where people are likely to be present. The type of barrier of greatest concern would be those having some form of capstone that could be knocked loose. In general, capstone designs should be avoided in such locations. If such a design is considered important to the historic or aesthetic character of a location, the capstone should be mounted well onto a dowel set firmly into the barrier. Additionally, consideration should be given to having the traffic-side face of the stone set at least half an inch back from the face of the barrier. Vehicle climb refers to the tendency of vehicles to rise when they strike barriers. This tendency becomes more pronounced as the face of the barrier becomes less vertical. Additionally, the spinning tires often come into contact with the face of the barrier and create a lifting effect. Smooth walls, such as are supposed to be present on Jersey-shaped and single-slope barriers, tend to minimize this effect. When texture is added to a barrier for aesthetic effect, the texture will provide a better surface for the spinning tire to grab. With excessive texturing, vehicles can roll over as a result of climbing the roughened face. For concrete surfaces exposed to vehicle impact, texturing should not be used on faces with slopes in excess of 21 on 4 (the slope of Single Slope Barrier) and steeper faces are preferred. The California Department of Transportation tested several texturing designs to determine which would or would not be considered safe. Their website provides useful information and 6/28/2010 10.2.3.7

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is located at http://www.dot.ca.gov/hq/LandArch/barrier_aesthetics/index.htm. NYSDOT generally endorses Californias research results and guidance on texture. In particular, the width of joints between stone courses should not exceed 1 inch and the depth of the joint should not exceed inch. Any greater texturing should be on the upper part of the barrier and should not extend down into the primary contact zone for frame and tires, which is taken to have a height of 2 feet. Additional coverage may be found in NCHRP Report 554 Aesthetic Concrete Barrier Design, which is posted at: http://www.dot.ca.gov/hq/LandArch/barrier_aesthetics/nchrp_rpt_554_small.pdf Vehicle snagging is said to have occurred when the corner of an impacting vehicle experiences enough friction against the textured wall to slow that side of the vehicle relative to the rest of the vehicle. When this occurs, the vehicle is likely to begin to yaw (spin) towards the barrier. In some cases, the vehicle may end up sliding sideways down the highway, potentially progressing into a rollover accident. To minimize this potential, the effective surface roughness of features running up and down the face of the barrier should be minimized. This roughness would be affected by the amount of projection of any such texturing from the face, the number of such projections, and beveling of the projecting edges. Any such projecting features should not extend more than inch beyond the face of the barrier. Continuity refers to the barriers ability to act as a continuous structure. With any precast systems, there will be a joint between the individual pieces. Unless there is a reliable connection across the joint, there is a risk that an impacted piece will lean back, exposing the end of the next piece to direct impact by the errant vehicle. As little as two inches of differential lean could permit severe vehicle deceleration. A variety of specialized stone-faced and textured masonry wall designs have been used on New Yorks state highways, but none have been accepted as standards. As experience with some of the newer products is gained, it is anticipated that specific designs will become accepted and their details made available on our Internet site. For some examples from other states that have been used across the United States, FHWA has a Roadway Aesthetics Showcase website, available at: http://gallery.company39.com/flh/

C. Timber-faced Steel Guide Rail Systems The purpose of these systems is to provide the strength and continuity available with a steel guide rail, but to provide the appearance of wooden elements. Because such systems derive their strength primarily from the steel elements, the cost of the steel portion alone is usually equivalent to that of a steel guide rail with similar deflection distances. The wooden elements add to the cost, resulting in a barrier system that is generally about three times as expensive as a steel system. As a consequence, steel-timber systems should only be used where the aesthetic need justifies the added expense. The systems may be suited for use on certain parkways, scenic overlooks or scenic highways in the Adirondack, Catskill and Southern Tier regions as is deemed appropriate in consultation with the Regional Landscape Architect. Several systems have been installed as special case uses on Department projects. These include 10606.4771 M Steel Backed Timber Guide Rail with Timber Posts and Blockouts, 10606.4791 M, its median barrier equivalent, and 08606.1801 M for a single steel-backed timber rail element fastened to steel posts. Before considering 10.2.3.7 6/28/2010

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use of any of these on a project, the designer should verify with DQAB that the system is still approved. Terminals are a problem with any timber-steel rail system as the wood is not ductile like the steel and so will not be amenable to a yielding terminal. At present, there is no acceptable terminal for the generic steel-backed timber guide rail. One proprietary system that has passed crash testing is the Ironwood Guide Rail and End Terminals issued as items in the 91606.13 M through 91606.2350 M series. This system has a peeled log appearance. The manufacturer can also provide this system in a squared timber. Its use is authorized on an experimental basis, meaning that it has been crash tested successfully, but the Department has not yet had enough satisfactory field performance with it to accept it for general or widespread operational use. The Ironwood consists of an 8 diameter peeled log timber rail with a thick steel channel embedded into and bolted to it. This composite rail is attached to 5-3 long S 3 X 5.7 steel posts set 38 into the soil and spaced six and a half feet on centers. Each post includes a 2 by 8 soil bearing plate (steel spade plate.) The exposed front portion of each post is clad by a routed, 6 diameter timber post. This post cladding provides an all-wood appearance to the barrier from the traffic side of the installation. Ironwood Guiderail will follow a curve of 180 ft radius, inside or outside, when the standard four meter long rails are used. If shorter two meter rails are used, Ironwood Guiderail will follow an 80 ft radius curve, again inside or outside. More sharply curved radii are possible with custom splice plates and special timber rails. The manufacturer should be contacted if more sharply curved radii pieces are needed. The preferred termination method at approach ends is to carry the Ironwood Guide Rail full height into the back slope, burying and anchoring the ends there. The recommended flare rates are: 1:14 at 62 mph (100 km/h) 1:10 at 45 mph (70 km/h) 1:7 at 30 mph (50 km/h). The Ironwood manufacturers have received FHWA approval for using a Type III box beam terminal with a transition to their rail. While the result meets the safety criteria, the juxtaposition of the timber and the box beam is rather harsh aesthetically. Ironwood products are manufactured and distributed by Structures of Ironwood, LLC., P.O. Box 600, Saranac Lake, NY, 12983, tel. (518) 891-1669.

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10-58 10.2.4 Median Barriers

ROADSIDE DESIGN

Median barriers differ from roadside barriers in that they are designed to withstand impacts from either side. Descriptions of the various types of median barriers are presented below in Sections 10.2.4.4 through 10.2.4.6 and in 10.2.4.9. The design of medians is discussed in Chapter 3 of this manual. Barriers may be warranted in medians to either (1) reduce the potential frequency of crossover accidents, (2) limit access, or (3) shield potential hazards, fixed objects, steep slopes, etc. When objects within the median require shielding, it will typically be necessary to use roadside barrier. When a median warrants a barrier system purely for separation of opposing traffic, median barriers will usually be the preferred choice both for economy and for the added clear area that they permit when compared with using roadside barriers on both sides of the median. Sections 10.2.4.2 and 10.2.4.3 present barrier design guidance for wide and narrow median geometries. Figure 10-7 is a graphical summary of the guidance for use of barriers in medians on high-speed (50 mph or greater) freeways and expressways. In general, appropriate barriers should be installed in medians when: As announced by EI 07-023, median barriers are now warranted on freeways and expressways with high-speed (50 mph or greater), high-volume (AADT20,000) traffic, the median is level (slopes 10%) and less than 50 feet wide, an existing facility has a history of median crossover accidents, potential hazards within the median of a limited access highway compromise the clear zone width for one or both directions of traffic, midblock turns need to be limited and there is not adequate space for a raised median, opposite direction ramps are adjacent to each other, or wrong-way movements would otherwise be possible onto exit or entrance ramps. Additionally, if an existing facility has a history of accidents related to headlight glare from opposing traffic, this factor should be taken into consideration when determining whether a median barrier would be appropriate. In this case, the need for glare screens on top of the barrier (Section 10.2.4.7) should also be evaluated. Median barriers should generally not be used on cross slopes which exceed 1:10. Cable median barrier (Section 10.2.4.9 D) may be used on slopes up to 1:6. Placement of barriers in uneven medians is discussed in Section 10.2.4.8. Both the deflection distance of the selected median barrier and its placement within the median should be such that it will not deflect into either stream of opposing traffic when subjected to a standard impact (described in Note 1 of Table 10-3). When selecting an appropriate type and location of barrier for narrow, curved medians, the designer should review the horizontal sight distance requirements. Similarly, intersection sight distance requirements should be reviewed when selecting a type and location of a median barrier at intersections. While not required by the warrants shown in Figure 10-7, consideration should be given to placing cable median barriers in the middle of wider, traversable medians on high-speed highways, particularly where the AADT exceeds 5000. The central location will minimize the potential for damage by snow plows and from brush hits, while providing an unobtrusive, low cost means of limiting the number of head-on, cross-median fatalities. Where provision is needed to permit mowing machine access, breaks in the runs should be provided, with the ends overlapped in the direction of traffic.

10.2.4

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Figure 10-7 Guidance for Median Barrier Use on High Speed (50 mph or greater) Freeways and Expressways

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10.2.4

10-60 10.2.4.1

ROADSIDE DESIGN Traffic Volume and Maintenance Considerations

A. Mainline As with roadside barriers, traffic volume and maintenance considerations are key issues in median design. On high-volume divided highways, a cross-median accident greatly increases the probability of a severe outcome. Higher volumes also increase the maintenance problems as barriers will tend to be hit more often. If they are one-hit barriers, they will be ineffective more often as they await repair. High volumes hamper repair work, which is, in turn, an increased danger to both the motorists and the workers. Where possible, the median barriers on high-volume roads should be positioned so that repair and emergency vehicles can approach at least one side of the barrier without encroaching on travel lanes. For example, rather than placing a median barrier in the middle of a 13 foot wide median, it may be offset to permit an 8 foot emergency parking width on one side. Concrete median barrier, however, should normally not be set more than 10 feet from the edge of the traveled way as higher angle, more severe impacts become more likely with increased distance from the traveled way. B. Adjacent Ramps The selection of a median barrier to use on adjacent, opposite-direction ramps may be influenced by numerous factors. If an existing ramp has a history of frequent impacts, then a durable barrier, typically concrete, should be favored, due to its ability to resist damage. Minimizing the need for frequent repairs minimizes the risk for repair crews and the likelihood of accidents due to drivers being distracted by the repair crew. While impacting a concrete barrier may be harsher than impacting a steel barrier, the narrowness of most ramps and the likelihood that drivers will have slowed before entering the ramp should minimize this factor. If the ramps are handling a lot of truck traffic, metal barriers may not be sufficient to prevent trucks from tipping over the rail. The extra height and rigidity of a concrete barrier may be preferred. Where ramp volumes and barrier impact rates are low, the risk of a vehicle encountering an opposite direction vehicle if it breaches the barrier is low. With those low volumes and low impact rates, an economical barrier such as Weak-Post W-beam may be used. This barrier will function adequately for most passenger vehicle impacts. While box beam median barrier is a reasonably safe option for adjacent ramp, its posts are easily damaged, shop curved rail pieces may be difficult to replace, and the repair operations are more complicated that with W-beam systems. As a convenience consideration, box beam median barrier should generally be avoided where opposite direction ramps are in close proximity.

10.2.4.1

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ROADSIDE DESIGN 10.2.4.2 Wide Medians

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For the purposes of this document, wide medians will be defined as those with widths that exceed the relevant Desired Minimum Clear Zone distance (see Appendix A) for either direction of traffic. Unlike the passive threat of stationary hazards, opposing traffic is a mobile, active threat. Clear zone widths should only be relied upon for traffic separation under special conditions. Each of the following cases is considered sufficient to permit the use of clear zones instead of median barriers for traffic separation. 1. The median width exceeds 72 feet. 2. The AADT is less than 10,000 vehicles per day. 3. For medium- and low-speed highways (<50 mph), the desirable clear zone width for each direction is satisfied between the edges of traveled way using a symmetrical depressed median with slopes of 1:6 to 1:4, inclusive, or a raised berm median with berm slopes of 1:4 or steeper. These allowances shall not be applied to existing facilities with a significant history of crossover accidents. Where the median geometry and traffic conditions are between those given above and the warrants given in Section 10.2.4, barriers are not required in medians, but should be considered, with the final decision being based on the designer's professional judgment and consideration of the many factors involved.

10.2.4.3

Narrow Medians

For the purposes of this document, narrow medians will be defined as those with widths less than the relevant Desired Minimum Clear Zone Width (see Appendix A) for either direction. Median barriers should be considered for all narrow median, limited access highways. For narrow-median highways, where access is not limited, the need for median barriers is a function of the traffic volume and speed and the number of barrier openings required for median crossings. Barrier end treatments at openings are, in themselves, mild hazards and, if too many are required, the barrier may not be advisable. Barriers may not be warranted on narrow medians in each of the following cases. 1. 2. 3. The AADT is less than 10,000 vehicles per day (5000 for two-lane divided facilities). The operating and design speeds are less than 45 mph. The distance between required median openings is less than 300 feet and the median width is at least 10 feet.

These allowances shall not be applied to existing facilities with a significant history of crossover accidents. Where the median geometry and traffic conditions are between those given above and the warrants given in Section 10.2.4, barriers are not required in medians, but should be considered, with the final decision being based on the designer's professional judgment and consideration of the many factors involved. In developed areas with medians less than 10 feet wide, frequent openings in median barriers should be avoided as the terminals at each opening require a more expensive treatment and

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10.2.4.3

10-62

ROADSIDE DESIGN

constitute more of a potential hazard than a continuous run of barrier without openings. If median barrier is warranted in medians less than 10 feet wide, midblock openings should be eliminated or separated by 300 feet or more. Where median barriers will be close to traffic, and particularly where there are curves, appropriate delineation should be provided on or above the barrier.

10.2.4.4

W-Beam Median Barriers

There are two forms of W-beam median barrier: the weak-post system and the heavy-post blocked-out system. Both have two W-beams, one on each side of the post. The typical details are shown on Standard Sheets for 606 items. The advantages and disadvantages of W-beam median barriers are similar to those for W-beam used as roadside guide rail. The restrictions on the use of weak-post median barriers on high-speed facilities are the same as those for weakpost guide rail. (Refer to Section 10.2.3.2 A.) Table 10-3 lists the deflection distances required with standard impacts for the different W-beam mounting arrangements. The heavy-post Wbeam system is significantly more impact-durable than the weak-post. The disadvantage of this increased durability is that the increased rigidity tends to produce more severe lateral decelerations. However, the accidents are generally less severe than those involving rigid concrete barriers. W-beam median barriers may be the appropriate choice when: There is sufficient space in the median to accommodate both the barrier and its deflection distances on either side (to arrest the lateral movement of impacting cars before they enter opposing lanes). A more flexible barrier than concrete is desired. Note, however, that the heavy-post is considered a semirigid system and has the same warrants as concrete median barrier discussed in Section 10.2.4.6. For new projects, the heavy-post system should be selected over the weak-post system if either: The design speed is 50 mph or greater. The median is less than 22 feet wide and the AADT exceeds 40,000 vehicles per day. The location is likely to receive more than one hit during a single icy weather event. Likely locations might include curves that follow long tangents, long downgrades or crest vertical curves, curves that are shaded, or where maintenance or accident records indicate a problem. For new projects on the National Highway System, the heavy-post system shall be selected over the weak-post system if the operating speed is greater than 45 mph.

10.2.4.5 Box Beam Median Barrier The box beam median barrier is a weak-post system similar to the roadside box beam guide rail. The main difference is that the median box is wider and its wall thicker. Its dimensions are 6 by 8 with a inch wall thickness. Its standard deflection is listed in Table 10-3 and is greater than that for the heavy-post W-beam median barrier, but less than for the weak-post W-beam median barrier.

10.2.4.4

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The disadvantages of box beam median barrier are that it: must be shop curved for curves with radii less than 1525 feet, is heavy to work with, is likely to have posts bent out of service on even mild hits, can not be conveniently bent back into shape, and has less vertical range for protection against vaulting, under-run and headlight glare. The main advantages of box beam median barriers are that it: may be the most economical choice, depending upon prevailing supply conditions, produces lower lateral deceleration on impact (more forgiving) than either concrete median barrier or heavy-post corrugated median barrier, and may be considered aesthetically preferable. Its use may be warranted when: a median barrier is warranted and a barrier with more deflection can not be used. Because of the cost differential between median barrier systems, where permitted, it is advantageous to transition from box beam median barrier to weak-post corrugated beam median barrier when the deflection criteria no longer warrants the use of the box beam median barrier, but continuation of a median barrier is appropriate. Refer to the 606 series Standard Sheets for details of the transition. 10.2.4.6 Concrete Median Barrier Concrete median barriers (CMB) are similar to the concrete roadside barrier discussed previously. The main difference is that it is designed to be hit on either side. This requires extra base width which provides greater stability. The barrier is assumed not to deflect upon impact by personal passenger vehicles. Therefore, impacts are more likely to be severe. Another potential disadvantage is that CMBs may contribute to horizontal sight distance problems on curves with narrow medians and/or median shoulders. The main advantages of concrete median barriers stem from their durability. They are: seldom out of service, so there is little potential for accidents related to repair and maintenance operations, and their maintenance costs are low. In addition, the barrier is more easily seen than others and is the most effective barrier at preventing crossover accidents and reducing headlight glare problems. The use of concrete median barrier may be warranted whenever: a median barrier is required on a freeway, expressway, or parkway with a free-flowing operating speed of 50 mph or greater, the clearance from the edge of travel lane to the barrier is less than 10 feet (or the barrier is placed at the edge of wider shoulders) and the peak average volume exceeds 12,000 vehicles/lane-day (Level of Service C). 6/28/2010 10.2.4.6

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The types of concrete median barrier are shown on the Standard Sheets for series 606 items. There are several types of concrete barrier. Currently, the type most commonly used by the Department is the Single Slope barrier shape. Additional types may be used and are discussed in Section 10.2.4.9 Innovative Median Barriers. The single-slope concrete median barrier may be used for any barrier applications that the standard NJ barriers were used for, as the warrants for the two barriers were the same. The single-slope concrete median barrier was crash tested in accordance with the requirements of NCHRP Report 350. The reports of the tests are published in Transportation Research Record 1302 (TRR 1302). The single-slope concrete median barrier has several advantages over the standard NJ shape. The following is a partial list. Increased safety, especially for the small car, because of lower roll angles. The extra height and thickness of the barrier will increase its strength and mass. Therefore, it will better contain a large vehicle. The extra height will lessen headlight glare without the use of glare screens. Resurfacing of the roadway adjacent to the barrier that changes the grade by more than 3 inches may be made as long as the resurfacing does not reduce the height of the barrier to less than 32 inches. The grade from one side of the barrier to the other can differ without the necessity of a complex asymmetrical barrier, provided the height of the barrier on the high side is not less than 32 inches. The single-slope barrier is easier to construct because of its simple shape. Two possible disadvantages surfaced in the research report. The first is that computer simulations indicate that the occupant risk of the single-slope concrete median barrier is slightly higher than the New Jersey barrier. However, the crash tests indicated that the occupant risk was within the limit of NCHRP Report 350. The second is that the extra height may reduce the sight distance of the operator of a vehicle. In addition to the standard crown width of 8 inches (see Figure 10-9), a 12 inches wide version is permitted for mounting of objects such as light poles. However, mounting of large objects on median barrier should only be resorted to if other locations are not reasonable. Due to its long history of use as the primary concrete barrier in New York, the New Jersey Barrier was often referred to simply as Concrete Median Barrier. There has been an almost complete shift to the use of single-slope median barrier in recent years. The Jersey barrier was used in several widths and a variant, the F shape, is now also being used with a greater height as an Innovative Median Barrier called the Truck Barrier (see Section 10.2.4.9). The Type "A" (symmetrical, narrow-stemmed, 6 inch crown width) median barrier is for general use in all cases where it is not required to accommodate truck traffic or to mount lamp posts or other similar objects on top of the barrier. Where appropriate for urban truck traffic, the Type "B" barrier, with a 9 inch crown width, should be the minimum width used. There are numerous situations in urban areas where the most economical and most effective location for a light pole, sign, or similar object would be on top of a concrete barrier in a narrow median. Unfortunately, mounting such objects on top of concrete median barrier may create a risk that the object could be struck and knocked down into opposing traffic or that it could snag a leaning vehicle and act as a fixed object. In general, preference should be given to alternatives that do not require mounting objects on concrete barriers where they could potentially be struck. As stated above, the risk of such an accident occurring increases with the narrowness of the

10.2.4.6

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barrier, the size of the vehicles in traffic, and the traffic volume, but decreases with increasing barrier height. When it is deemed important to mount an object on top of a concrete median barrier, the risk of striking such object during an accident should be minimized by increasing the effective barrier width in advance of the mounting location, on both side of the barrier, in order to minimize the chance of a vehicle leaning and contacting the object. Light poles mounted on median barriers are inconvenient and potentially dangerous to service. For this and the above reasons, mounting of light poles on median barriers should be avoided unless there are compelling factors favoring that placement. In general, the Jersey-shaped concrete median barrier (32 tall) should be considered too low to mount large objects on. Even when the Type "C" barrier, with its 12 inch crown width, is considered, mounting large objects on Jersey barrier should be avoided for speeds over 45 mph. Where trucks and large vehicles are not permitted, 42 high concrete median barrier may be used when it is deemed necessary to accommodate lamp posts or similar objects on top of the median, provided that at least four inches of separation are present between the face of the barrier and the side of the mounted object. However, on high-speed facilities, consideration should be given to even wider crown widths. When objects are mounted on top of the barrier and within eight inches of the face, box beam should be mounted to the top face to limit the vehicle climb and lean. As noted previously, although no testing has been performed to confirm the premise, it is anticipated that the box beam would help to limit roll angles and "lean over" of tall vehicles. The box beam should be tapered on the approach end to reduce the chances of snagging. For a typical taper example, see the details on Standard Sheet M606-33, Transition between Box Beam Guide Rail and Single Slope Half Section Concrete Barrier. Longitudinally, the three feet of taper on the box beam should precede the mounted object by at least ten feet. The box beam should extend at least two feet past the mounted object. If there are any breaks in the plane of the face, the box beam should be bent or cut and welded to follow the contour. Downstream from the five initial bolts shown on the Standard Sheet, additional connecting bolts should be provided on a spacing not to exceed four feet. Where truck traffic is permitted and it is deemed necessary to mount structures on top of the median barrier, the barrier should be widened and/or raised to reduce the chances that a vehicle impacting the barrier will contact the mounted structure. The preferred minimum separation is 18 between the face of the barrier and the side of the mounted object. Where space is restricted, the barrier height may be set at 54 or greater, a face to object separation of at least 12 used, and a box beam bolted to the upper face (as described above) to reduce vehicle lean. Where more space is available, the width of the barrier should be increased, either locally at the structure, or continuously where a series of structures need to be mounted at regular intervals. Local widening may be achieved by lapping median barrier at the mounting point and filling the space between them to create a wide mounting surface.

10.2.4.7

Glare Screens

While glare screens are not barriers, they can be a useful addition when there is a need to block headlight glare from opposing traffic. Glare screens are vertically mounted panels that may be fastened in series to the tops of concrete median barriers, box beam barriers, and the posts of heavy-post barriers. Several different fastening arrangements and screen designs have been developed.

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Glare screens may be warranted on divided highways where there is a significantly increased chance of headlights shining directly into the eyes of drivers. Typical situations would include gradual curves where the inside roadway surface is slightly elevated above the outside roadway surface. Glare screens should be considered where frontage roads carry traffic opposing the mainline. Glare screens may also serve to minimize "rubbernecking" in construction zones. It has been the Departments experience that glare screens are a valuable safety device that should be used wherever it is appropriate. However, because of maintenance issues, increased height concrete barriers should be considered as an option to limit glare problems where concrete median barriers are to be placed or poured. Glare screen paddles have been particularly susceptible to snowplow damage when used on guide rail, but have fared better on higher concrete barriers. Even on concrete barriers, however, paddles or panels get broken off. While damage can be conspicuous and the replacement effort can be complicated by access concerns and rusted bolts, in appropriate locations, the benefits justify their use.

10.2.4.8

Uneven Medians

In many instances, medians will divide highways into roadways at different elevations. The resulting uneven median will influence the selection of an appropriate position for a median barrier. In general, the median barrier should be placed on the high side of the median since a decline will extend the required clear zone width while an incline will decrease it. However, if the maximum slopes do not exceed 1:10, a central placement should be used to maximize the clear zone space available to both roadways (note a possible exception in 10.2.4.1 for narrow medians). Barriers should be placed at any median side where the appropriate clear zone width can not be reasonably obtained due to the presence of fixed objects. The various cases are displayed in Figure 10-8, which is adapted from AASHTO's Roadside Design Guide. In all cases, it is assumed that a barrier is, in fact, warranted. Narrow, uneven medians may present special design challenges. The Regional Geotechnical Engineer should be consulted on any applications where a barrier must be placed on a steep slope or where consideration should be given to constructing a wall that will serve both as a retaining wall and as a barrier. In such instances, the bottom of the wall exposed to traffic should have the same shape as one of the currently approved concrete barriers. Note that vertical faces at least 42 inches tall are included in that category. Various types of asymmetrical concrete barriers have been developed and used for narrow, uneven medians.

10.2.4.9 Innovative Median Barriers The 1991 Intermodal Surface Transportation Efficiency Act (ISTEA) mandated that 2.5% of the median barriers installed each year by any state on Federal-aid projects on the National Highway System (NHS) be of an innovative design type. With the Transportation Equity Act for the 21st Century (TEA21), that mandate was dropped. Consequently, several median barrier systems that were being classified as innovative are now being upgraded to standard items. This process will take some time and may not result in all of the innovative types being made standard. Until the issue is fully resolved, designers should continue to use the following barriers in appropriate situations.

10.2.4.8

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ROADSIDE DESIGN Movable Concrete Barrier Truck Barrier (Extra High) Self Restoring Median Barrier Modified Thrie Beam Barrier

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These median barriers are briefly discussed in the following sections. The designer may consult the Design Quality Assurance Bureau for a description of any additional systems that are under consideration. It should be noted that the Movable Concrete Barrier is a proprietary system which requires additional approval as described in HDM Chapter 21, Section 21.3. A. Single-Slope Barrier (Now considered standard, 10.2.4.6, rather than innovative) B. Moveable Concrete Barrier The moveable concrete barrier (MCB) consists of a set of concrete barriers that are pinned together to form an articulated chain. A special transfer and transport vehicle can move along the chain, lifting and transferring the chain laterally for a distance of one lane width or up to 18 ft. The cross-section of the barrier is similar to that of a standard safety-shaped barrier except for its "T"-shaped top. See Figure 10-10. An adjustable conveyor on the transfer vehicle has sets of rollers that engage the undersides of the arms of the "T" to lift the barrier. The rollers can lift the barrier up to 10 inches off the pavement so that it can be moved up on top of a curbed surface. The transfer vehicle itself moves at approximately 5 mph and may be positioned so that it is always in the lee of the barrier rather than being exposed to oncoming traffic. Refer to Chapter 16 for a discussion of the possible uses of MCBs on construction projects. At permanent installations, the MCB may be used to increase the capacity of a highway without adding additional lanes by making one traffic lane contraflow (opposite direction) in the peak hours. The MCB has been crash tested and the results of the tests are published in Transportation Research Record 1258 (TRR 1258). In addition to the crash test data in TRR 1258, NYSDOT Research Report 145 - Movable Concrete Median Barrier: Risk Analysis of Deflection into Opposing Traffic gives additional information. The following is a partial list of identified advantages. The roll angle of an impacting vehicle is lessened because of the special shape at the top of the barrier. The cost of increasing capacity by using this movable barrier may be significantly less than the cost of adding an additional lane or lanes in urban or heavily populated areas. The barrier movement from one location to another is relatively fast (up to 5 mph) and may be performed with traffic running adjacent to the barrier. After an impact, the barrier may be rapidly realigned by the transfer vehicle without the need to place workers on the ground to manually adjust the barrier. The transfer vehicle can readily replace damaged units of the barrier thereby reducing maintenance crew effort and time required to repair the barrier.

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10.2.4.9

10-68

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Figure 10-8 Recommended Barrier Locations for Uneven Medians

10.2.4.9

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ROADSIDE DESIGN

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Figure 10-9 Single Slope Concrete Median Barrier

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10.2.4.9

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Figure 10-10 Moveable Concrete Barrier

10.2.4.9

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ROADSIDE DESIGN Possible complications include the following:

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The need for staff to operate the transfer vehicle and a shed or sheds to house it. Problematic amounts of snow and ice can be left behind after each move when an MCB is utilized in areas where snow accumulates. Snow and ice accumulations may also prevent movement of the barrier. Special compressible hinge arrangements are necessary when the barrier must be used at a location with significant horizontal curvature. During research, the barrier translated 4 feet when impacted with a 4400 lb car at 60 mph at a 15 angle. It should be noted that the amount of translation reported in the fourth item is judged to be acceptable for most situations in which an MCB will be used, since conditions will usually limit either speeds or approach angles or both. For this barrier, a small deflection into the opposing traveled way is deemed acceptable. The benefits of using an MCB system should be weighed against the cost of supplying and operating the system, including the cost to house and staff the transfer vehicle. Quantifiable benefits of using the system include reduced delay to the public, the cost of which can be estimated using the Highway User Cost Accounting (HUCA) computer program and available in Lotus or Quattro-Pro formats from the Mobility Management Bureau. Safety and public relations factors are less tangible, but should be considered.

C. Truck Barrier (Extra High) Truck barrier may be used on divided highways with heavy truck traffic of 3000 or more trucks a day or at locations with a high rate of truck accidents. This concrete median barrier is a configuration F-shape barrier that is 42 inches tall with a 12 inch thick stem. (The F shape designated a testing configuration which had a 7" high sloped section near the base as opposed to a 10" high sloped section on the New Jersey shape.) See Figure 10-11. This barrier has been impacted with and contained a 40 ton vehicle in a crash test. The passenger car impacts were within the limits of NCHRP Report 230. The truck barrier has specialized advantages in areas where it can be justified. The following is a list of some of the advantages over the traditional New Jersey barrier. The F-shape barrier will impart a lower roll angle to a heavy truck thereby increasing the vehicle's stability after an impact. The extra 10 inches of barrier height (above the normal CMB) better contains heavy trucks and helps to keep them from penetrating the line of barrier by rolling over the top of the barrier. The extra mass of the truck barrier helps to contain heavy vehicles. The extra height reduces headlight glare problems. A possible disadvantage of truck barrier is that the extra height may reduce the sight distance for operators of lower height vehicles.

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10.2.4.9

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ROADSIDE DESIGN

Figure 10-11 Truck Barrier (Extra High)

D. Cable Median Barrier Cable median barrier is used to prevent crossover accidents on wide traversable medians (over 22 feet). Because of its large deflection distance, cable median barrier must be located well away from traffic, often placing it close to the center of the median. In addition to New Yorks cable median barrier, several proprietary cable barrier systems are on the market. Effective in January 2008, NYSDOT radically revised the design of its cable median barrier to conform closely to the recommendations issued with test reports from the Federal Outdoor Impact Laboratory. The barrier has four cables spaced six inches apart vertically, with the lowest cable only 10 inches above grade. Other states that use cable median barrier had experienced problems with vehicles under-riding bottom cables that were more than 16 inches above grade. New Yorks new cable median barrier is shown on Standard Sheets M606-52, 53, and 54 (metric) and on 606-02 (US Customary. The following list covers the identified advantages of this barrier. It uses hardware that is similar to familiar standard cable guide rail hardware. The deflection characteristics are the same as the deflection characteristics of cable guide railing. In terms of repair costs, the cable median barrier is economical. Even though longer

10.2.4.9

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sections may need to be repaired, the cables are rarely damaged, and the simple design of the system facilitates repairs. On projects where aesthetics are a factor, the cable median barrier offers a less obtrusive appearance than other median barriers. The cable median barrier may be used with median cross-slopes as steep as 1:6. When it comes to capturing large trucks, the cable median barriers are the most effective of the common metal barriers. Disadvantages are listed below. Damage to the barrier, placing it out of service, may be expected even with moderate impacts. However, the number of impacts will be minimized due to the barriers location near the center of the median. Cable barriers are basically "one hit" systems and impacts on damaged barrier may allow penetration. Therefore, cable median barrier will require maintenance after every impact and may require periodic inspections to ascertain if there is any damage from unreported impacts.

E.

Self-Restoring Median Barrier or SERB

Though still an approved system, the SERB has not been specified in any recent projects. Maintenance must stock specialized hardware for repair and has had difficulty in getting parts. If the system is proposed for use, it should be discussed with the Maintenance personnel who will be responsible for its maintenance.

F. Modified Thrie-Beam Median Barrier (MB9 Modified) This barrier is a modification of AASHTO's Thrie-Beam Median Barrier (MB9). This barrier may be used as a median barrier in narrow medians on highways with heavy truck traffic. The system passed NCHRP 350 testing with a steel blockout, but does not appear to offer any significant advantage over the Departments normal median barriers. Furthermore, it is anticipated that its large vertical extent will contribute to snowdrifting problems and be more visually obtrusive. Parties interested in pursuing use of this system may obtain more information from DQABs Standards and Specifications Section.

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10-74 10.2.4.10 Median Transitions

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Median transitions refer to locations where there are significant geometric, landscape, and safety-related changes to the features separating adjacent streams of traffic. Of specific concern are those situations where traffic will be approaching raised curbed medians containing fixed objects. As mentioned elsewhere, it is not desirable, from a safety perspective, to introduce features such as vertical faced curb or trees and other fixed objects into medians near medium- or highspeed traffic. However, there will be situations where it is judged appropriate to include trees and other fixed objects in medians, typically on aesthetically sensitive arterials. When a landscaped median with fixed objects will be introduced on a medium- or high-speed highway, a transition should be designed to alert drivers that they are approaching a change in the roadside (median) environment that has safety implications. The design of the physical transition may be complicated by a desire to achieve a simultaneous speed transition, specifically a traffic-calming reduction in speed. The purpose of this section is to provide guidance on preferred treatments and to describe features that the designer may consider for inclusion in the median transition design. This section is not intended to address how to design the median features on either end of the transition; merely how to design the transition between those conditions. The guidance is intended to apply primarily to medium- to high-speed arterials.

A. Purposes of Median Transitions The primary purpose of median transitions is to alert drivers to changes in the roadside (median) environment that have safety implications. As a secondary purpose, there may be the simultaneous intent to reduce operating speeds by changing the character of the highway environment. (See also Chapter 25 - Traffic Calming.) Where a traffic calming effect is intended, changes to the median, traveled way, and roadside environment should be coordinated, as practical, to work in harmony towards that end.

B. Locating Median Transitions At any medium- or high-speed location where a median begins, a transition should be provided along the approach. The transition treatments should, to the extent practical, merge with the median. As discussed later, the transition should begin far enough in advance of the point of concern to provide sufficient advance notification for drivers. This distance will be a function of the approach operating speed and the desired/anticipated speed in the area being transitioned to. Consideration should be given to the location of the transition with respect to current development and reasonably anticipated (planned) development. For instance, if the transition is intended to contribute to reducing speeds prior to a landscaped median in a village or city, it is desirable that the transition be positioned at the approach to the community so that the speed reduction will be encouraged before the vehicles enter the village or city. 10.2.4.10 6/28/2010

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The planned development of the adjoining area should be discussed with municipal planning officials. If it is likely that the desired zone of speed reduction will soon extend further out from the municipality than at present, then a correspondingly longer transition zone should be considered. Consideration should also be given to adjusting the type and the location of the features to facilitate shifting the speed reduction zone in the future.

C. Median Transition Progression Progression refers to the recommended sequences for the addition of features into a median area. Speed zone and other signing should be provided in accordance with the MUTCD. If the speed limit is being reduced, the signs should precede the features that are intended to encourage the corresponding speed reductions. The following list indicates a typical order in which features could be added to a median. Full Barrier (double yellow) lines. (Solid white lines if the lanes to be separated are not in the opposite direction.) Split double yellow lines with crosshatching between the pairs. (White lines with chevron pattern if the lanes are in the same direction.) Consider the use of Centerline Audible Roadway Delineators (milled-in rumble strips) along, but set back from, the median edge of the approach direction. Also consider the potential for neighborhood objections to the noise that might be generated and balance that against the urgency of warning of the widening of the median area and any accident history that might develop. Flush median with color-contrasted and/or textured pavement materials. The Landscape Architecture Bureau should be consulted for information on options. Raised paved median with traversable curbs. Landscaped median with low plantings (flowers and shrubs, no trees over 4 inches in diameter) and traversable curbs. Landscaped median with trees and traversable curbs. Landscaped median with trees and curbs as permitted for the operating speed. Landscaped medians with pedestrian refuge areas and structural shielding. A given transition may be between a median that already contains some of the features and a median that contains most of the features listed. As with the design of the median itself, the design of the transition should be coordinated with and reviewed by the project stakeholders. Of particular importance are the Landscape Architect, Maintenance, Traffic and Safety, and, where takings are involved, Real Estate. Particularly where plantings are involved, maintenance jurisdiction must be resolved. Additional features that can be considered as means of reducing traffic speeds, or at least alerting drivers to changing conditions, include the following: Discourage the use of left-turn lane drops by through traffic by including: appropriate regulatory lane designation signing supplemented by prominent leftturn arrow pavement markings well in advance of the drop, plowable speed humps at the point where turning traffic would slow, and milled-in rumble strips along the dividing line between through and turning traffic lanes, provided they are not near a residential area. Use of signs, plantings, and breakaway street hardware along the roadside. Signs 6/28/2010 10.2.4.10

10-76

ROADSIDE DESIGN should be included to announce the village or city. Where sufficient warranting factors exist, traffic signals may be added at intersecting streets to periodically control traffic. Provision of dedicated enforcement sites, if requested by local authorities. The ideal site will include a paved entry point to permit an enforcement vehicle to enter the road with a full view of approaching traffic. Grading and other landscaping features should be provided to prevent easy determination of when the site is not in use. Placement of warning signs in advance of periodically active enforcement sites.

D. Lengths of Median Transition Areas The appropriate lengths for transitions will be a function of their purpose and the speeds involved. If no speed change is involved and the purpose of the transition is merely to make the driver aware that a median will begin soon, then the length of the transition may be shorter than if a speed reduction (traffic calming) is intended. Obviously, the faster traffic is moving, the greater the length that is required for drivers to react to the median features. Similarly, the greater the change in the median conditions, the longer the length of the transition should be. The following transition lengths are recommended minimums. The operating speeds are the free flow (off-peak) 85th percentile operating speeds that are reasonably anticipated after construction of the project (including any adjacent programmed projects). Refer to Chapter 25, Section 25.6.3 for a discussion of reduced operating speeds. Condition Recommended Minimum Transition Length

Operating Speed of 35 mph or less. 60 feet of curbed area with low plantings. Transition from median turn lane to a treed median with a similar width. Consistent Operating Speed of 45 mph. 300 feet (150 feet with markings, 150 feet Transition from a median turn lane to a with low plantings.) treed median of similar width. Consistent Operating Speed of 45 mph. 600 feet (300 feet to widen markings to full Transition is from a center line marking median width, 150 feet with color contrast or to a treed median. crosshatching, 150 feet with low plantings) Consistent Operating Speed of 50 mph. 600 feet (300 feet with markings, 300 feet Transition is from a median turn lane to with low plantings.) a treed median of similar width. Consistent Operating Speed of 50 mph. 900 feet (300 feet to widen markings to full Transition is from a center line marking median width, 300 feet with color contrast or to a treed median. crosshatching, 300 feet with low plantings) Speed Reduction from Operating Speed of 50 mph to 40 mph. Transition starts from a median turn lane and ends at a treed median with a similar width. 600 feet (300 feet with color contrast or cross-hatching, 150 feet with raised paved median with traversable curbs, 150 feet with low plantings)

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Speed Reduction from Operating 1050 (450 feet to widen markings to full Speed of 50 mph to 40 mph. Transition median width, 150 feet with texture, color is from a center line marking to a treed contrast, and/or crosshatching, 150 feet with median. raised paved median with traversable curbs, 300 feet with low plantings) Speed Reduction from Operating 1350 feet (600 feet to widen markings to full Speed of 55 mph to 40 mph. Transition median width, 300 feet with texture, color is from a center line marking to a treed contrast, and/or crosshatching, 150 feet with median. raised paved median with traversable curbs, 300 feet with low plantings) Speed Reduction from Operating 1500 feet (600 feet to widen markings to full Speed of 55 mph to 35 mph. Transition median width, 300 feet with texture, color is from a center line marking to a treed contrast and/or crosshatching, 300 feet with median. raised paved median with traversable curbs, 300 feet with low plantings) Speed Reduction from Operating 1200 feet of low plantings. Roadside signs Speed of 55 mph to 35 mph. Transition and speed enforcement sites should be is from a grassed median to a treed considered. median.

E. Other Median Transition Considerations Section 10.2.2.7 discusses some options for shielding pedestrians in median refuge islands. While it may be appropriate to use such fixed object measures in medians that contain numerous other fixed objects, bollards or concrete barriers should not be used for pedestrian shielding in the transition areas leading up to those medians. In some treed median settings, typically on high-volume, medium- to high-speed urban arterials, it may be appropriate to provide barriers to shield errant vehicles from the trees. The low profile barrier described in Section 10.2.2.7 has a face configuration that may be used for this purpose. The median could be raised to the height of the barrier and landscaped. The primary points of safety concern would be at leading ends of the barrier, such as the start of the median or where breaks in the median are required for intersections. The recommended leading end treatment is to ramp the barrier up from the pavement level to full height over a length of about 30 feet. In addition to eliminating any vertical faces that could be struck, this ramping would facilitate establishing access for mowing equipment. No nonbreakaway fixed objects (includes trees) should be permitted in the vicinity of the ramp. For operating speeds of 40 mph, there should be a minimum clear area of 60 feet longitudinally from the start of the ramp. For operating speeds of 50 or 55 mph, a clear length of at least 100 feet should be used. 10.2.4.11 Police/Maintenance Crossover Areas In most instances, these crossover or turn-around areas will constitute a lateral embankment. If the embankment slopes are accessible to vehicles that enter the median, the slopes could act as ramps, launching the vehicles into the air or, if the slope is steep enough, acting as a fixed object which could be impacted. To minimize this possibility, the approach slopes should be flattened to a maximum steepness of 1:6, with a 1:10 or even a 1:12 slope preferred. 6/28/2010 10.2.4.10

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Where barriers are used in the medians, their downstream ends should be close to the side of departing traffic. With this positioning, protection of vehicles in the crossover will be maximized. Additionally, the likelihood of errant vehicles passing through the crossover gap will be minimized. Depending on the width of the median, it is possible that the end of one barrier may be able to effectively shield the end of the barrier on the other side. For concrete median barriers, if the angle between the ends of the barrier is 30 degrees or more, the ends may be considered mutually shielding and no crash worthy terminals will be required. For steel barriers, due to the deflections that may occur near the ends, the terminals should only be considered mutually shielding if the angle between them exceeds 40 degrees. At lesser angles, crashworthy terminals should be used. Figure 10-12 Terminals at Crossover Areas

10.2.4.11

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ROADSIDE DESIGN 10.2.5 Barrier Terminals

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While a barrier that is impacted on the side will usually redirect a vehicle, the result of running into the end could be much more severe. Some early end sections, or terminals, had exposed rail ends which could penetrate into the passenger compartment. These "spearing" accidents were sometimes fatal. Additional problems occurred with end treatments that were so strong as to be fixed hazards in themselves. Other end treatments tended to lift the vehicle and often produced rollover accidents. Rollovers tend to result in more severe injuries. The main strategy that NYSDOT traditionally adopted to limit terminal accidents was to move the terminals away from the roadway and ramp the ends down to ground level. This has the effect of limiting terminal impacts to just the vehicles that have traveled a substantial distance off the road and eliminates spearing type accidents. Additionally, by aligning the terminal axis away from the road, angled impacts, rather than head-on, become more common, which helps to reduce the number of rollover accidents. The Standard Sheets indicate the amount of flare that should be used for each type of guide rail. Since the advent of the NCHRP 350 crash testing criteria, there has been a major trend towards the development of proprietary products. (See Section 21.3.4.) In general, newer terminal types may be specified by Regions for research purposes or upon the directions of the Regional Director with the concurrence of the Deputy Chief Engineer, Office of Design. Ideally, selection of a specific system from a set of similarly performing systems should generally be based on the preferences of the maintenance forces in the individual residencies. However, because specification of specific proprietary products may prove problematic, the Department has strived to develop optional items, which are intended to introduce competition by allowing the contractor on a project to choose from among two or more proprietary products that each meet basic needs for the system. In some cases, such as for NCHRP 350-compliant box beam terminals, there are only two such proprietary products available. Most of the new terminals are sacrificial gating type terminals. For high-angle hits near the leading end of the system, these typically allow the impacting vehicle to break the terminals connections to the ground and push the rail elements aside (gating). For end impacts that are more in line with the guide rail, the terminals tend to function as attenuating structures, cushioning the vehicles impact by compressing, crushing, bending, folding, breaking, and otherwise mangling their own elements. While this may reduce the peak decelerations and thereby the severity of the crash, the terminals themselves are significantly more expensive than the traditional ones and most are generally prone to greater damage and are more difficult and time-consuming to repair. This last factor is a safety issue due to the repair crews exposure to, and disruption of, traffic. Moreover, during the period prior to completion of repairs, most of the impacted terminal types will not be capable of providing the desired impact attenuation and, particularly for W-beam, will not provide the anchorage needed by the guide rail. Additionally, as discussed in Section 10.2.2.1 Point Of Need, with flat areas or cut slopes and terminal located relatively close to the shoulder (as most of the new NCHRP 350 terminals are) there is a concern that vehicles may end up traveling close behind the guide rail and risk striking the shielded object. As a result, where clear zones are not wide, the Departments general preference is to avoid using the newer terminals, opting instead to use traditional terminals located well away from traffic, typically close to, at, or beyond the limit of the clear zone or, where back slopes are near, to use a Type 0 terminal for box beam or, for cable and W-beam, to set anchor blocks terminals into the back slopes. These two preferred options will appear regularly throughout the discussion of barrier terminals, so they are explained in detail in the following paragraphs. 6/28/2010 10.2.5

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Where a barrier terminates near a cut slope, particularly near a normal longitudinal drainage ditch in cut, the barrier should generally be extended to the cut slope, where practical, and terminated with a Type 0 for box beam or anchor blocks if that barrier is corrugated or cable rail. If the end of a guide rail run is carried to a back slope, a sloped terminal section is not required and is generally discouraged. Where a rail system crosses a ditch, attention should be given to the vertical distance from the ditch invert to the rail to reduce the chances of the front of an errant vehicle in the ditch passing under the rail, as that could move the point of impact to the windshield and possibly the passenger compartment. To extend the barrier to the back slope or the limit of the clear zone, the flare rates in Table 10-5 should be used as maximum limits. The horizontal alignments of the rail systems are curved to increase the separation from the road prior to the use of the steep flares. For details, refer to Figures 104c and 10-4d. The steep flare rates and wide separations from the traveled way will result in a larger percentage of high-angle impacts. This, combined with the embankment sloping away from the road, will reduce the percentage of impacts that redirect and will increase the need for the guide rail to function as an attenuating structure. For this reason, for back slopes 13 feet or more from the shoulder, the heavy-post blocked-out corrugated rail should be softened by transitioning to a weak-post before going to the steep flare. (Standard Sheet M606-18 covers Transitions between Weak-Post Corrugated beam and Heavy-Post Blocked-Out Corrugated Beam Guide Rail and Median Barrier.) Similarly, box beams are only anchored with weak-posts rather than being fastened to anchor blocks. Type I ends should not be included when burying box beam ends. When it is intended that a vehicle should gate through a flared back box beam end, the end of the terminal should be able to release from its anchorage. The approved end treatments are grouped by barrier type and described in the following sections along with discussion of appropriate conditions for use. Table 10-5 Recommended Barrier Flare Rate Limits for Permanent Installations System Cable Weak-post W-beam Box Beam Heavy-post W-beam Concrete Concrete Concrete Concrete Concrete Concrete Concrete Concrete Anticipated Operating Speed (mph) All All All All 70 60 55 50 45 40 35 30 Flare Rates (See Fig 10-4c and 4d) 1:3 1:3 1:2.73 1:8 (or transition to weak post with 1:3 flare rate) 1:20 1:18 1:16 1:14 1:12.5 1:11 1:9.5 1:8

The second preferred alternative to using a proprietary NCHRP 350 compliant terminal is to use a conventional terminal carried close to, at, or beyond the limit of the clear zone. The logic behind this preference is as follows. The main objection to use of turned-down end sections 10.2.5 6/28/2010

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was that they are reputed to increase the likelihood that vehicles will destabilize when they ramp up them and will then have a rollover. If a terminal is placed well away from the road, near the limit of the clear zone and, therefore, probably close to a tree or other fixed object, it should make little difference that the vehicle is beginning to destabilize, as it will strike the fixed object before it has a chance to roll over. The fact that the vehicle will not encounter the turned-down terminal until near the limit of the clear zone also means that the driver will have already had nearly the full width of the clear zone, or more, in which to brake and attempt to redirect back towards the road. The interpretation of the terms close to or near the limit of the clear zone is open to judgment for special conditions. As general guidance, it may be interpreted as 5 feet, but the preference should be to place it farther away whenever reasonable. Conditions that might require terminating near as opposed to beyond the limit of the clear zone would include the need to provide for mowing equipment access to the area behind the rail and the presence of buried utilities at the limit of the clear zone. By the same token, the clear zone limit should not be used as an excuse to limit a terminals offset, if the terminal could readily be set further back. For instance, if the clear zone width for a highway segment had to be set at a low figure of say 13 feet, but, at the station of the terminal, the right of way locally included 26 feet of cleared area and there was not a requirement for mower access behind the rail, the preferred terminal setback should be closer to the 26 foot width, rather than at the limit of the 13 foot clear zone. In general, it will make more sense to use conventional terminals, set back near, at, or beyond the clear zone, on the lower-volume, secondary roads that have narrow clear zones, than it will to extend guide rail long distances across broad clear zones, such as those typically found on interstates and freeways. Where a highway has broad, high quality clear zones, professional judgment should be used to decide whether it is preferable to use an NCHRP 350 compliant terminal close to the shoulder or to carry the guide rail across a wide clear zone area before terminating it with a conventional terminal. In these situations, the choice between leaving fairly long safe runout areas or placing a barrier that blocks access to potentially hazardous features must be considered.

10.2.5.1

Cable Anchorage

The end of a cable guide rail must be adequately anchored to maintain the tension in the system. The vast majority of cable systems presently in service have a mildly outmoded traditional anchorage system which uses a single block of concrete with a plan area of approximately 1 yd2 either cast or set into a 3-6 deep hole in the ground. An anchor angle was bolted to the concrete as a bracket with a U slot for each cable end assembly. The open slot design permits the cables to release when a snared vehicle runs to the end of the system. A light "keeper rod" prevents the ends from walking out prematurely. The first post was set 18 feet away from the anchor block to ensure that any ramping effects were very gentle. Over time, two potential problems with the design were realized. First, repeated heavy impacts into the run gradually tilted some blocks towards the run. The tilting was greatest if the impact happened during Spring thaws when the soil surrounding the block was saturated and had not yet settled from the frost heave. A few runs on high-speed, high-volume highways received so many hard impacts that the anchor blocks tilted enough that the cable ends could slip up and out of the anchor angles on a subsequent impact. Resetting 6/28/2010 10.2.5.1

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those anchor blocks to vertical has required a significantly larger effort than normal guide rail repair tasks, adding to cables standing as a system requiring significant maintenance attention. Second, vehicles that deflect cable could be well behind the line of the run when they arrive at the end anchor. In that position, they would be pulling the cable sideways relative to the block, and might have difficulty moving the cable end vertically up and out of the anchor slots. If the ends did not release, larger vehicles could be expected to snap the cable end bolts at the slots, but smaller vehicles might be brought to an abrupt stop. Because of these concerns, the anchorage was redesigned and the new guidance issued in 1996. To limit block movements caused by impacts to the run, the newer design has a much larger concrete anchor, with a plan area of nearly 2 yd2. The anchor angle on the anchor block was modified to have V slots to increase the likelihood of the ends releasing when a snared errant vehicle nears the end of the run and is pulling the cables sideways. To increase the likelihood that such a vehicle will be directed over the release slots, the last post in the run is now mounted directly to the anchor block, but is isolated from rigid embedment by the use of a slip base. The post also serves to apply a vertical component to the tension if a vehicle is pulling the cable laterally when it reaches the end of the run. Another reason for modifying the block was to mount the first post in a manner that would prevent it from being gradually pulled over in the soil. The latest anchorage details are shown on the US Customary Standard Sheets for 606-01. To reduce the potential for snagging the undercarriages of impacting vehicles, the top of the block should not protrude more than 4 inches above grade. A five foot chord with end points on either side of the anchor block is used to define grade. As of this writing, the anchor block comes with either a right-handed or left-handed cross slope to facilitate matching to the ground surface. The right-hand block should be ordered for the situation where the anchor unit is placed at the approach end and, with respect to the oncoming motorist, the ground slopes down to the right. Either option is paid for under the same pay item. (Strong consideration is being given to returning to a single-block system where the block is set to place its top flush with the ground surface.) The initial setting may need to be in a slight depression if significant surface wash may be expected before turf is established. Note that cable terminals passed the NCHRP350 criteria and may therefore be used within clear zones. Still, there will be situations where it is desirable to run the cable terminal close to the limit of the clear zone to try to prevent errant vehicles from reaching the area behind the rail. Where cable is run through a curve and carried on a flare to the outside of the clear zone or to anchorage in a back slope, it is important that extra posts be used through the curve to prevent the tension in the cable from pulling the posts over. Refer to Figure 10-4d. To provide cable guide rail anchorage in a soil back slope, the standard anchor block arrangement should usually be used, but without a post set in the block, and with the slope across the top selected to match the surface of the back slope as closely as practical. The block-mounted post is not considered necessary in this instance as the anchorage will be set back from traffic and out of the line of the run. The cross slope of the block will need to be towards the road, rather than away from it. Special anchorage arrangements may need to be custom designed for rock back slopes and some problem slopes. Where existing terminals are not likely to be subjected to these wrong way hits, existing concrete anchorage units may remain in place. A wrong way hit occurs when a vehicle strikes the guide rail at a point between the anchorages and then, while still engaged with the cable, 10.2.5.1 6/28/2010

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10.2.5.2 Terminals for W-Beam Guide Rail As with cable guide rail, terminals for both weak-post and heavy-post W-beam guide rail must provide anchorage for these guide rails to develop their full capability to redirect errant vehicles. This means that the ends must either be bolted to a competent structure or an anchor block set into the ground. The traditional anchorage units shown on the Standard Sheets for corrugated rail are embedded concrete blocks to which several lengths of corrugated rail are bolted. The rail is mounted at heights varying from near ground level to full height for the system. These units very effectively anchor the guide rail and, because they bring the rail element down to grade, make spearing very unlikely. With heavy-post systems, special triangular mounting brackets make snagging unlikely. Unfortunately, these ramped-down terminals have the potential to contribute to errant vehicles turning over. Because of this, these end terminals are not approved as Test Level II (40 mph) or Test Level III (60 mph) devices. This means that these devices should not be installed within the clear zone close to medium- or high-speed traffic. However, initiation of rollover becomes only a minor concern for a vehicle that has already crossed most or all of the clear zone, so these devices may be installed with the center of the anchor block within two feet of, at, or beyond the limit of the clear zone. W-beam terminal types can be divided between those for weak-post and those for heavy-post. There are a limited number of options for the weak-post, since the rail system itself initially failed crash testing at Test Level 3, the high-speed criteria. The heavy-post blocked-out system, on the other hand, passed the NCHRP 350 testing. Therefore, private industry developed a variety of HPBO terminal choices that comply with the FHWA mandate that terminals meet NCHRP 350 Level 2 and Level 3 test criteria. The Department approved a number of those new terminals. These new end terminals may be used with strong (heavy)-post blocked-out or weak-post corrugated rail systems. However, if used with the weak-post system, it is generally necessary to have a transition length of approximately 50 feet of the heavy-post blocked-out guide rail to connect to the terminal. If a terminal has been successfully crash tested with a direct connection to weak post W-beam, this 50 foot length of HPBO is not required. As of this writing, the X-Tension terminal is the only proprietary terminal that does not require the 50 feet of HPBO to connect to weak post W-beam. Most of these new systems absorb impact energy through permanent deformation/destruction of some of their elements. Consequently, these systems tend to be easily damaged and require extensive repairs when solidly impacted and lesser repairs with minor impacts. They have higher initial and maintenance costs than the Departments traditional ramped-down terminals, which can generally still function normally and provide system anchorage after an initial hit. In view of that, and the number of property-damage-only brush hits and generally lower speeds in urban areas, an exception was discussed with and agreed to by the FHWA to permit the use of sloped terminals, such as those shown on Standard Sheet series M 606-9R2 and M 606-10R2 (metric) and 606-07 (US Customary), where design speeds on urban highways will be predominantly 40 mph or less. Part of the rationale is that it is preferable to have a fully functional second best sloped terminal than an NCHRP 350 terminal that may be damaged and nonfunctional. In brief, any of the newly approved terminals may be used in low-speed locations (40 mph or less in urban areas, 30 mph or less in rural areas), but, because of cost and repair issues, use of the traditional ramped end sections is preferred where permitted. At higher speeds, the 6/28/2010 10.2.5.2

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traditional ramped end sections are generally not to be used well within clear zones except where site restrictions prevent satisfactory installation of the new alternative terminals or where the location will not be subject to impact by approaching traffic. Stated another way, where an HPBO terminal is required and (1) design speeds are 35 mph or greater in rural areas or 50 mph or greater in urban areas, (2) the terminal can not be located close to the limit of the clear zone, (3) there are no geometric conditions that would preclude their use, and (4) they are not shielded from approaching traffic, one of the new NCHRP 350 compliant terminals should be used. NCHRP 350 compliant terminals may be further classified into those parallel types that can be installed either parallel to the roadway or with a flare, and those shedding types that can only be installed with the terminal flared away from the road. The parallel types are capable of capturing a vehicle that impacts the end in a roughly parallel direction and bringing it to a controlled stop. The shedding types are designed to pass an end-impacting vehicle behind the rail system. They must be installed with the ends flared back from the road to avoid in-line hits and facilitate shedding vehicles away from the line of the guide rail. Flexibility of installation options favors the former type, which can be installed either parallel or flared. For maintenance purposes, though, the free end of parallel type terminals should be offset from the traveled way a minimum of approximately 10 feet, unless conditions require a more parallel alignment. To avoid the risk of an inadvertent installation of a shedding type terminal where a parallel type is needed, the Department has only approved the use of the parallel -type NCHRP350compliant terminals. However, given an unrestricted choice between using (1) an NCHRP 350 or MASH proprietary terminal close to the road or (2) a traditional terminal flared back and either anchored in a back slope, or extended close to, at, or beyond the limit of the clear zone, the latter choice is recommended. When anchoring in a back slope, the traditional means of attaching the rail to the top of the block will generally prove awkward due to the different direction of approach and the different slope of the ground surface. The Department has not yet standardized a detail for this connection, but one Regional method has been used with success. This method utilizes the traditional anchor block, but mounts a heavy T-section, cut from a WT380 x 128.5, on the top of the block. Holes are provided in the upright leg to allow bolting to the holes in the valley of the W-beam rail. The block is rotated about its vertical axis to align the T to the approach direction of the guide rail. In this manner, the guide rail may be maintained in a vertical plane as it passes into the back slope. While the above system, Special Specification 08606.3402 M, is approved for general use, Regions are not discouraged from attempting alternate anchorage arrangements until a standard detail is accepted. Designers interested in anchorage to rock slopes are referred to Special Specification 08606.3401 M as an example.

A. Weak-Post Turned-Down End Sections Turned-down end sections may be used on weak-post W-beam guide rail at approach ends inside the clear zone wherever their use is acceptable, typically where the design speed is 40 mph or less in urban areas, or 30 mph in rural areas. As of this writing, the only NCHRP 350 approved end section which may be directly attached to weak-post W-beam is the XTension. Therefore, if termination well within the clear zone is necessary on higher speed highways, use one of the other approved NCHRP 350 compliant HPBO end terminals will require a 50 foot transition length of heavy-post blocked-out guide rail between the terminal 10.2.5.2 6/28/2010

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While the minimum offset for the conventional anchor units is shown on the standard sheets, preference should often be given to extending the anchorage to a back slope or to near or beyond the limit of the clear zone. As detailed in Figure 10-4e, a weak-post, turned-down terminal is one of the preferred methods of terminating a run of HPBO, provided a transition has been made from HPBO to weak-post, away from the shoulder, and the terminal is located close to, at or beyond the clear zone. The concrete anchor block for the weak-post W-beam guide rail is essentially the same as the formerly approved unit block for the cable system. A line of eight bolts is embedded in the block. Ten holes are provided in the valley of the W-beam to permit adjustment. The first post is spaced approximately 25 ft downstream from the front of the anchor block. The rail is mounted approximately 6 inches lower than normal. The second post is 12.5 ft from the first with the rail mounted 3 inches lower than normal. The anchor position for the typical roadside guide rail approach and terminal section is 4 ft farther from the traveled way than the line of the guide rail. Additional flaring back should be done where practical. The standard end treatment for openings such as driveways is more abrupt. The intent is to minimize the length of the zone in which the guide rail is not fully functional. The designer should similarly design openings to be as narrow as possible. For weak-post corrugated median barrier terminals (acceptable for design speeds of 40 mph or less in urban areas and 30 mph or less in rural areas), the anchorage is in line with the barrier. The W-beam end from the terminal side of the barrier is twisted and bolted to nest under the W-beam from the opposite side of the post at a point halfway between the anchorage and the first post. The purpose of this arrangement is to prevent the abrupt vertical acceleration of a vehicle which would be conducive to rollover. The details of the weak-post corrugated beam end treatments are shown on the US Customary 606-08 Standard Sheets.

B. Heavy-Post Turned-Down End Sections The heavy-post blocked-out (HPBO) corrugated beam guide rail end terminals are considered only NCHRP 350 Test Level I (30 mph) devices. Therefore the turned-down terminal is no longer approved for installation within the clear zone of medium- and highspeed highways with design speeds above 30 mph in rural areas and, because of an exception, 40 mph in urban areas. If HPBO guide rail must be terminated within the clear zone, the terminal must (with the exceptions noted herein) be an approved NCHRP 350 compliant terminal (termed gating terminals as a class), qualified at Test Level II or III, as appropriate. In lieu of these gating terminals, the rail may be terminated by using a turned down end placed close to, at, or beyond the limit of the clear zone. To carry the rail across the clear zone, the approach end treatment must either be provided with a gradual flare (due to the unyielding nature of the heavy-post and the consequences of a high-angle impact), or a transition must be made to a weak-post system so that a more abrupt flare can be used, as shown in Figure 10-4e. (As covered in Research Report 83 - Crash Tests of Sharply Curved Light-Post Guiderail, the Department conducted research in 1980 which indicated that highangle impacts into weak-post guide rail systems had acceptable deceleration rates, since 6/28/2010 10.2.5.2

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the weak-post rail system essentially functioned as an attenuating structure.) In some restricted situations, use of an NCHRP 350 compliant end terminal may not be appropriate and use of a turned down terminal on the end of a run with significantly more abrupt flare may be required. In general, it is preferable to keep vehicles close to the road and accept the risk of high-angle impacts on HPBO rather than use a gating system that would permit vehicles to strike rigid fixed objects or plunge into bodies of water behind the rail. C. Parallel Type Gating End Terminals The ET 2000+, the Sequential Kinking Terminal (SKT SP), and the X-Tension are proprietary parallel type, or controlled stopping, gating end terminals designed to be used on leading ends of runs of heavy-post corrugated beam guide rail. The systems may be installed on either a parallel or flared alignment. The key component of the ET-2000 and SKT end terminals is a long "shoe" that fits over, and in line with, the end of the rail. When impacted, the shoe is driven along the rail, separating several weak-posts from the rail. As the shoe passes along the rail, the ET 2000+ forces the rail through an opening that flattens the corrugations. The flattened rail is then bent 180 to be extruded back out ahead of the shoe. The SKT 350 resembles the ET2000 and functions in a similar fashion, except it forms a series of kinks in the rail instead of flattening the rail. With either product, the kinetic energy of an impacting vehicle is primarily absorbed in the flattening and bending or kinking of the rail. The + on the ET 2000+ denotes that the impact head was modified to be narrower and deeper than the original square design. This modification should reduce the likelihood of the head being snagged by snowplow blades and should improve the outcomes in accidents involving lateral skids, since having the bottom of the head at a lower height should be better at engaging the frames of vehicles, rather than punching through door elements and into passenger compartments. For these reasons, the + configuration should be the preferred selection for Department projects. Unless specifically indicated otherwise, references to the ET 2000 should be taken to mean the + configured extruder head. The systems are manufactured to be supported on either timber or steel breakaway posts. However, the wooden variants have occasionally proven to be a maintenance problem and are no longer accepted by NYSDOT. The steel posts from Trinity, manufacturer of the ET 2000, have an upper and lower (base) post with splice plates lap-welded as vertical extensions on each of the flanges of the base post. Two bolts pass through these splice plates and the flanges of the upper posts. The larger is a inch bolt which acts as a pivot point. The smaller is a 3/8 inch bolt which acts as a shear bolt when the ET 2000 is impacted head on. The result of this pair of bolts is a hinged breakaway post that is very yielding when bent around the web, but retains strength when the face of the rail is struck. The concept is similar for the SKT, except that the hinge and shear bolts are replaced by a single 1 inch plug weld through each of the splice plates to the flange of the upper post. During tests with a 2000 kg automobile impacting at approximately 60 mph, 52 ft of rail passed through the extruder. For this reason, shielded objects should not be permitted in the zone which is within 13 ft behind the rail and within 75 ft of a leading end terminal for design speeds of 60 mph or greater. This length may be reduced to 60 ft for design speeds of 50 or 55 mph, and to 45 ft for design speeds of 45 mph or less. For shielded objects farther back from the rail, the Point of Redirection for the rail may be 10.2.5.2 6/28/2010

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taken as the third post, which is roughly 14 feet downstream from the lead end of the terminal. The Standard Sheets indicate different flare options and the special grading requirements for the systems. For planning purposes, the installed cost may be estimated at $3000 in the upstate regions and $4000 downstate. There is an optional pay item which permits the ET 2000, the SKT SP, and the X-Tension to be bid competitively. The pay item series is 606.3402. D. Shedding Type Gating End Terminals There are a number of proprietary terminals that have passed NCHRP350 crash testing as TL 3 devices but require installation on a flare. These include the Modified Eccentric Loading end Terminal (MELT), the Slotted Rail Terminal (SRT 350), the FLared Energy Absorbing Terminal (FLEAT 350), and the REdirective Gating ENd Terminal (REGENT). Because of the risk that shedding terminals might accidentally be installed in a parallel configuration (where they presumably would not function satisfactorily), the Department has not approved, or has disapproved, their use.

10.2.5.3 Terminals for Heavy-Post Blocked-Out W-beam Median Barrier As with other W-beam configurations, the terminals must provide anchorage so that the barrier can develop tension when struck by an errant vehicle. In most high- and moderate-speed situations, recent FHWA guidelines essentially preclude reliance on vertical redirection through ramping over the terminal. Terminal arrangements are now supposed to either redirect vehicles laterally or provide crash attenuation. Note that curbs or other vertical separations are not to be placed in proximity to any attenuating systems. Existing mountable or traversable curbs 4 inches or less in height may be retained if required for drainage.

A. Sand Barrel Array Shielding of Conventional Turned-Down Ends Where median widths are sufficiently wide, it is permissible and economically preferable to use a conventional turned-down end and provide a sand barrel array to shield the approach to it. The layout for the conventional heavy-post median barrier turned-down terminal carries both guide rails to an anchor block. To accommodate the two corrugated beams, the width of the block is increased to approximately 3.5 ft. Refer to the Standard Sheets. The design is intended to provide a gentle ramping effect for direct end impacts. Because the heavypost median barrier is relatively unyielding and vertical redirection is undesirable due to the possibility of rollover accidents, approach terminals within the clear zone of rural facilities with design speeds greater than 30 mph or urban facilities with design speeds over 40 mph should be shielded with appropriate impact attenuators, one of which is the sand barrel array, or they should be fitted with crash-worthy end terminals. These sand barrel array attenuators should be placed so as to minimize the likelihood of wrong way hits by opposite direction traffic. Where sand barrel arrays are used, they should be capable of decelerating a 2000 kg vehicle to under 22 fps before the end section is contacted. Where space is available in the medians, approach ends should be set back from traffic. For further guidance on design of sand barrel arrays, refer to Section 10.2.6.2.

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B. Brakemaster 350 Median Barrier Redirective Gating End Terminal This end terminal may be used to protect the ends of HPBO corrugated median barriers and, with the appropriate transition, to connect to concrete walls and barriers. The Brakemaster can not be attached directly to concrete barriers or to thrie beam barriers. The Brakemaster consists primarily of steel components, most notably corrugated beams that telescope and flare on impact. Two brakes are attached near the anchored end of a wire rope that extends for the length of the terminal. Energy is absorbed through friction when the brakes are forced to slide along the wire rope. The assemblies typically require extensive repair after a hit. The Brakemaster 350 may be used for speeds up to 70 mph. There is only one model and it has 5 bays. This single model can be assembled so as to protect unidirectional or bidirectional traffic. The terminal conforms to the general behavior mentioned in Section 10.2.2.1, in that it typically will redirect vehicles that impact the third diaphragm or further downstream. The exposed length of the system from the nose to connection to the HPBO is 32.5 ft. An additional 6-3 is required in front of the nose for the foundation tube anchor assembly that goes below grade. The effective length of the transition piece connecting the Brakemaster to the thrie beam barrier is 6-3. This piece is the standard corrugated/thrie beam transition piece. The effective length of the thrie beam transition used to connect the Brakemaster to concrete barrier is 16-8, measured from the nose of the concrete barrier to the Brakemaster. This includes the transition piece and nested 12 gage thrie beam panels mounted onto blocked-out timber posts. The pay item for the Brakemaster includes the required transitions. The last 32 ft of median barrier and the Brakemaster 350 centerlines must be lined up to within 1. The foundation must be firm soil, compacted subbase, asphalt, or concrete. The area under the unit needs to be flat and cross slopes steeper than 8% are to be corrected by leveling or grading. The width of the unit is 25 inches. However, since elements are likely to flare out 4 ft on both sides when the nose is impacted, installation should normally be limited to locations where the distance between the two traveled way edges is 10.5 ft or greater. Typically, extensive repairs and parts replacements are needed after an impact. This factor should be taken into consideration when considering installation at high-frequency impact sites. The Brakemaster 350 was specified as Item 15606.31 M Median Barrier Redirective Gating End Terminal. The manufacturer is Energy Absorption Systems, Chicago, Illinois (312) 4676750. The Brakemaster 350 is vended in New York State by Transpo Industries, Inc., New Rochelle, New York, (914) 636-1000, info@transpo.com. For planning purposes, its material cost may be estimated as $4000 with an installation cost of $2000. Add $500 for the corrugated/thrie beam transition pieces and $1500 for the transition from the Brakemaster to concrete barriers.

C. REACT 350 for Heavy-Post Blocked-Out W-beam Median Barriers The Reusable Energy Absorbing Crash Terminal was developed to meet NCHRP 350 criteria. It consists of a line of open plastic cylinders, a pair of cables on each side, a fabricated backup structure, and transition between the backup structure and the protected barrier or wall. The tough plastic has shape memory and can be reused. This terminal is intended for narrow hazards. In addition to attachment to HPBO median barriers, it may be used for a variety of other crash attenuation requirements. A more complete description is provided in Section 10.2.6.4, which is within the section on Impact Attenuators.

10.2.5.3

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The QuadGuard is a proprietary crash attenuation system. It was designed as the NCHRP 350 compliant replacement for the GREAT (GuardRail Energy Absorbing Terminal). Like the REACT 350, the QuadGuard may be used for a variety of other crash attenuation requirements. A more complete description is provided in Section 10.2.6.3, which is within the section on Impact Attenuators.

E. Crash Cushion Attenuating Terminal (CAT 350) The CAT 350 is a Test Level 3 device that has been approved by the Department. An Engineering Instruction on the terminal, EI 01-009 Crash-Cushion Attenuating Terminal 350 (CAT 350), was issued. The CAT 350 (CAT) is intended for HPBO corrugated beam median barriers, but, with a transition (M606-42, M606-43, M606-44, and M606-45), may also be attached to concrete barriers or narrow bridge piers. The CAT has six short breakaway wooden posts and a total length of 43-9. The CAT is installed in a straight line and requires no concrete footings or foundations, but does need a reasonably flat area under the unit. Cross slopes greater than 8% are to be avoided. If required for drainage, existing mountable curbs less than 4 inches high may be retained, but all others should be removed, and new ones not installed, in an area between the tail of the unit and a point 50 ft in advance of the nose of the unit. The CAT (Item 606.46000015) units are anticipated to cost around $6000 installed upstate, slightly more downstate.

10.2.5.4 Box Beam End Sections There were four types of end sections for box beam guide rail, designated as Types 0, I, II, and III. The Type II is no longer acceptable for new installations. A new terminal, the Type IIA, has been introduced. For box beam median barrier, there are three terminal options, designated A, B, and C. A particular concern that needs to be addressed with flared-back box beam terminals, such as the Types 0, I, and IIA, is the height of the rail after it crosses the shoulder break. If the height becomes too great, the front of a small vehicle may be able to get under the rail, allowing the rail to come up over the hood and into the windshield. That occurrence is referred to as clotheslining and it could lead to severe accidents, even at relatively low speeds. Four strategies should be considered to minimize this risk. $ Avoid locating the flares where the fore slope drops steeply. $ Adjust the profile of the rail to follow down the slope while maintaining the approximate normal height above grade. $ Adjust local grading so that vehicles will follow the slope smoothly and the rail will be at the appropriate height above the regraded surface. $ For the Type IIA, locate the flare immediately following a driveway so that an errant vehicle crossing the driveway entrance will strike the terminal before it has an opportunity to drop down into the ditch and go under the rail.

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A. Type 0 Terminal The zero designation is appropriate as there are essentially no special elements involved. The terminal consists of running the rail until it touches the back slope and then driving a pair of posts at that point as anchorage. The terminal is also referred to as the buried in back slope terminal, but no rail is actually buried. Details of the terminal are shown on US Customary Standard Sheet 606-04, Sheet 2 of 2. The plan alignment for Type 0 terminals should be similar to that for a Type I. Use of the Type 0 terminal is acceptable for all speeds, provided a back slope is in reasonably close proximity. A primary concern arises where the rail must cross a ditch. If there is too much space between the rail and the invert of the ditch, a vehicle may be able to get below the rail, allowing the rail to strike the vehicle in the windshield. Where the rail must cross a ditch before reaching the back slope, the ditch cross section should be field checked. The ditch should not be so deep as to carry a car under the guide rail. Deep inverts may be raised with appropriately sized stone filling so that trapped cars will contact the rail at or below normal height. The piece of rail that makes contact with the back slope is likely to need to have its length shortened. If it is too long, the contact will tend to be too far up the slope and the rail may be too high on the fore slope. Contractors should bid the cost of Type 0 terminals to include any length adjustments, hole drilling, and post relocations necessary to allow the rail to cross the fore slope with a nominal rail height of 27 and without exceeding the maximum rail height of 30 inches. Minor local filling and grading may be needed in order to prevent excessive rail heights.

B. Type I Box Beam End Assembly In the Type I end assembly, the rail is carried at its normal height until the 7-4 long Box Beam End Piece is reached. The box beam end piece abruptly turns down on a 1:2 slope. This abrupt end should be considered a potential hazard for vehicles impacting in line with the terminal. The assembly relies on lateral distance from the road to minimize the number of end impact accidents and on flare angle to minimize the potential for end-on or near endon impacts. In the traditional standard plan arrangement, the rail is flared away from the road, using shop-curved box beam guide rail, until it is approximately 15 ft back from the tangent projection of the main run of the guide rail. When the end is struck from the side, it functions as a gating and attenuating terminal, allowing the vehicle to lose some speed as it rips the rail from the posts and/or extracts posts from the ground. (Note: Prior to this publication, the Type I Assembly described only the end piece as a separate item. The curved rail was paid for separately. With this publication, one item is being created for the Type I End Assembly and it includes both the curved portion and the end piece.) Type I terminals may be used on high-speed facilities where their end pieces will be close to (5 feet or less), at, or beyond the limit of the clear zone. Their installation well within the clear zone of medium- and high-speed highways at locations where they would be subject to end-on or near end-on impacts is not approved, although there may be special situations where it is appropriate. NYSDOT experience has been that, if the rail is flared to over 20 and the typical errant vehicle is departing from the road at an angle of 15 or more, the terminal will gate on impact. In medium- and low-speed configurations, the box beam end 10.2.5.4 6/28/2010

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piece may be within the clear zone, if it is flared such that typical impacts (assume 15 departure angle) on the end will be at least 35 off-line. Where back slopes are close by, the Type 0 buried end alternative should be considered. The Type I end piece should not be buried in the back slope as it is likely to serve as too much of an anchor, preventing the end of the box beam from yielding. The designer should avoid arrangements that place the 1:2 turned down ends in the bottom of ditches that are likely to capture errant vehicles. When box beam guide rail is flared away from the roadway, the top of rail should be maintained approximately 27 inches above ground surface. This may require shaving down the shoulder break where the terminal flares over it and may require minor filling on the fill slope. In general, Type I End Assemblies should not be carried across ditches as there may be too much potential for vehicles to underride the rail in the ditch. Instead, Type 0 terminals should be carried to the back slope of the ditch. In some situations with broad, relatively level clear zones, it may be desirable to use a Type I End Assembly, but the normal configuration will not place the end piece within 5 feet of the clear zone. In those circumstances, a new item has been introduced, the Type I End Assembly with Extension Piece. This consists of adding an 18 foot piece of straight box beam between the curved pieces and the End Piece, effectively moving the end piece 6 feet farther from the traveled way. The box beam guide rail should be assumed to develop full beam strength and redirective capability 60 ft from the turned down end of a Type I Assembly. For convenience, the point of redirection is typically taken as the point of tangency to the run.

C. Type II Box Beam End Assembly The Type II terminal is no longer approved for new installations, but may be retained in most of its existing locations. The Type II terminal was originally developed for use in laterally restricted locations and at driveway openings in otherwise continuous runs of box beam guide rail. At various times, its use was also approved to start a run of box beam, particularly at locations where a Type I terminal could not be flared away from the road. The Type II consisted of a two-part gradual ramp intended to minimize the vertical lift imparted to vehicles that run up onto it. The first bend was tack-welded at the lower corners so that it would open when a vehicle rode over it. The typical flare placed the end less than 3 ft from the line of the railing. Full beam strength and redirective capability were developed 22 ft from the anchored end of a Type II assembly, but the point of need was established at 27 ft, where full height is achieved. Unfortunately, high-speed crash testing has shown that small vehicles, even the new heavier small vehicles, may be lifted and rolled over in spite of the mild ramp and yielding hinge. A new terminal, the Type IIA, should typically be used instead of the Type II. Wherever Type II terminals must be taken down as part of the designed work, the Type IIA terminal should be used as a replacement, provided adequate lateral space is available and the 6/28/2010 10.2.5.4

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conditions for installation are met. Where adequate lateral space is not available and the design speed is 45 mph or greater, a Type II should be replaced with a Type III terminal. If the operating speed is less than 45 mph and lateral space is not available to install a Type IIA, an existing Type II may be reset. Trailing end Type IIs may be replaced with mildly flared Type I terminals if lateral space is not available for a Type IIA.

D. Type IIA Box Beam Terminals The Type IIA is a new terminal that includes the same turned-down Box Beam End Piece used with the Type I assembly, but connected to the run by 18 feet of box beam, shop curved to a 35 foot radius. (As with the Type I End Assembly, the Type IIA End Assembly pay item includes both the curved rail and the end piece.) This flare sets the leading end of the terminal 8-3 back from the face of the run, as opposed to the 15-2 for the standard Type I alignment. The Type IIA terminal may therefore be used with narrow clear zones where there is not enough lateral space to install a Type I and there is no back slope reasonably close to permit use of a Type 0. The Type IIA is also intended to be a replacement for the Type II, but requires a greater width for installation. Where the Type IIA can not be flared back, as for instance if there are shallow buried utilities, a Type III terminal should be the alternative to a Type II. If the ROW at the terminal location is not wide enough to accommodate the Type IIA, an easement should be sought for its placement, rather than resorting to a Type III. The Type IIA terminal was subjected to MASH crash testing designed to evaluate its acceptability for the specific condition of use in narrow clear zones. Two special crash tests, not required for normal testing, were run with a ditch close behind the rail. As a result of the successful crash tests on level ground and the unsuccessful tests with the ditch (not part of the required testing), conditional approval of the terminal as a TL-3 device was sought from FHWA and granted on May 18, 2010, subject to three limitations as follows. 1. The terminal should not be used well within the clear zone. The ramped portion of the end has the potential to destabilize a vehicle. If there is a good width of clear area behind the terminal, the destabilization could contribute to a rollover in an otherwise safe area. However, if there are fixed objects close behind the terminal, then the rollover will not have time to develop before the fixed objects are struck. The leading end of a Type IIA should not be farther than 5 ft from the limit of the clear zone. 2. The longitudinal location of the terminal should not place it where the front of a vehicle would be likely to nose under the flared back portion of the rail and cause a clotheslining type of accident. Where the fore slope is relatively gentle, the terminal can generally be made to follow the slope. Where a ditch must be positioned close behind the rail, consideration should be given to extending the longitudinal positioning of the terminal to place it either where the fore slope is gentler or adjacent to a driveway. If the flare closely follows a driveway, the driveway surface should prevent all but a very slow vehicle from dropping its nose below the rail. If a Type IIA needs to terminate adjacent to a steep-sided ditch, a pipe should be placed in the ditch and fill placed to limit the effective height of the flared back portion of the rail to 30. The leading face of the fill should be no steeper than 1:6 , the pipe should be cut to approximate the fill surface, and a grate should be placed over the leading end of the pipe. 10.2.5.4 6/28/2010

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3. The use of these terminals should be supervised to ensure that they are not being placed in inappropriate locations. To meet this requirement, designers should notify DQAB of the proposed locations for Type IIA to obtain confirmation that the locations are appropriate. Photos of the proposed locations will be needed. This should be done for at least the first five projects within a Region to use the Type IIA. In addition to confirming that appropriate locations are being used, the data will facilitate subsequent in-service evaluation of the new terminal assembly.

E. Box Beam End Piece Terminals Box Beam End Pieces are the same turned-down 7-3 long pieces found in the Type I and the Type IIA, but installed without any corresponding curved rail. A new item has been created for this specific use of the end piece. The End Pieces may be used without flare, or with minor flare, on the downstream ends of runs on one-way roads where they will not receive an impact from approaching traffic. They may also be installed on two-way roads where the downstream end is close to or beyond the design clear zone width for the opposite direction traffic. They should no longer be installed at driveways or other openings where they can not be flared well back and will be within the clear zone width of approaching traffic. (See possible exception in Section 10.2.7.5 Camp (Seasonal Residence) Areas.)

F. Type III Terminals - NCHRP 350 Compliant End Assemblies for Box Beam There are two box beam end terminals that have passed the NCHRP 350 testing criteria, the BEAT and the WyBET, both proprietary and available at the contractors optional choice as a Type III terminal. The earlier attenuating end assembly was developed by the State of Wyoming (hence, Wy Box End Terminal or WyBET) and the Texas Transportation Institute for installation on the ends of box beam guide rails. There are four working parts to the assembly. The assembly includes three telescoping steel structural tubes; two are 6 x 6, the other is 7 x 7. The fourth part consists of a pair of fiberglass composite pipe sections which are contained in, and crushed by, the other three components when the front of the assembled WYBET is hit. If it is hit on the side, at or beyond the third post, testing indicates that vehicles will normally redirect (establishes the rails point of redirection). The system passed the NCHRP 350 criteria. The system is marketed by Syro Steel Company, now a subsidiary of Trinity Industries. The Departments approval of the system was announced in EI 98-005. The more recently approved NCHRP 350 compliant terminal for box beam is the Bursting Energy Attenuating Terminal, or BEAT. This consists of a roughly 3 foot long mandrel that fits into the end of the box beam and has knife-like edges to cut the corners and push apart the sides of the box when the mandrel is driven into the box. The approach end of the mandrel is capped by a reflectorized face plate which distributes the force of impact over a larger area of the front of the car than the mandrel alone would. The foundation requirements are different from those of the WYBET, so the units are not interchangeable. For planning purposes, the cost of the Type III may be estimated as $4500 upstate and $6000 downstate, not including grading. Pay item 606.1203 allows either the BEAT or WyBET option. 6/28/2010 10.2.5.4

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G. Median Box Beam End Sections The Standard Sheets show the two types of traditional end treatments approved for box beam median barriers. Both types, A and B, rely on a ramping effect to avoid snagging. Because the ramped ends are relatively rigid, they could contribute to vehicle launch or rollover and are therefore no longer approved for routine application at locations where they will be exposed to errant vehicles on rural roads with design speed in excess of 30 mph or on urban roads with design speeds in excess of 40 mph. The Type A End Treatment, which is for use in narrow, low-speed medians, includes a concrete anchor block. The lower end of the box beam ramp is embedded and bolted into this block. The Type A concrete anchor is provided due to the higher percentage of end hits that occur in narrow medians. The Type B End Treatment is for use in wide medians and has no anchor block. The end of the box beam is buried flush with the ground surface. Two inverted posts are driven on either side to anchor the rail at the point where it clears the ground. The Type B terminal may be used in high-speed medians, provided either (1) the approach ends are shielded with other barriers or attenuating systems or (2) they are located where they will have a low likelihood of being struck by errant vehicles, such as where they are rendered inaccessible by topography or are in the lee of wooded areas in medians. The Type C median box beam end terminal was approved in the summer of 1998. It is essentially a Type III box beam terminal with different support post connections (underneath, rather than behind the rail) and an adapter piece to transition the wider median box beam down to the regular box beam size that the terminal can attach to. The Type C is the only approved terminal for box beam median barrier that may be installed within the clear zone at locations where it will be subject to direct impact by medium- and high-speed errant vehicles. The Type C is NCHRP 350 qualified at Test Level III. The Type C (optional) pay item is currently 606.1403.

10.2.5.5 Concrete Barrier End Sections Because of the hazard they represent, the ends of concrete barriers should always be given special consideration. Where a back slope is close by and the intervening ground is fairly level (1:6 or flatter), the end may be buried in the back slope. Refer to Table 10-5 for recommended flare rates. Where a broad level area is available, the end may be placed beyond the clear zone. When this is done, however, the ramped end section detailed in the Standard Sheets for 606 items should be used to avoid a blunt end. Ramped end sections should not be used in conjunction with attenuators. Ramped end sections are no longer approved for permanent installation within clear zones at operating speeds in excess of 30 mph. If ends can not be moved away from traffic, consideration should be given to either shielding with appropriate guide rail or preceding them with some form of crash cushion. Refer to Section 10.2.6 for a discussion of acceptable impact attenuators. Where guide rail is used to shield the leading end of the concrete (as with the traditional Pier Protection details), consideration should be given to the possibility that an errant vehicle will find its way behind the rail and impact the terminal. If this is considered a likely possibility, particularly where a redirecting back slope is present, the concrete barrier should be provided with a ramped end section and the leading end of the guide rail should be flared away from traffic. Where a back slope is in relatively close proximity, the terminal should be carried to burial in the back slope. If a vehicle is likely to bottom out and gouge into the redirecting back slope, then approximately 150 of guide rail should precede the beginning of the concrete ramp. If a vehicle can run smoothly up a back slope behind the guide 10.2.5.4 6/28/2010

ROADSIDE DESIGN

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rail and be redirected back towards the concrete ramp, then a runout length of 250 should be provided on freeways.

10.2.5.6 Transitions Transitions are defined simply as systems specifically designed to connect two different barrier systems. Two primary concerns must be addressed. First, the systems must be functionally continuous. Second, abrupt reductions in deflection distances between the two systems must be avoided. If a vehicle is moving along a "soft" barrier system at the full limit of its deflection distance and suddenly encounters a "hard" barrier system, it may either stop abruptly on the hard system or break through the soft barrier. A number of strategies are used to effect satisfactory transitions from "soft" to "hard" barriers. One approach is to increase the rigidity of the "soft" system. This may be done by adding more posts to the system. Table 10-3 lists deflections for the various guide rail systems when reduced post spacings are used. Reduced post spacings must be used for approximately 5 spaces before the reduced deflection is fully effective. The rail system may also be stiffened by adding elements to the rail. For example, Standard Sheets for 606 series items detail the addition of a nested thrie beam to a transition between concrete barrier and heavy-post blocked-out corrugated beam guide railing. The supplemental thrie beam panel reduces the deflection of the rail so that an errant vehicle may be carried past the end of a concrete barrier without contacting the corner. A second strategy is to start the "hard" system at a point beyond the deflection distance of the soft system and merge the systems together. Refer to the Standard Sheets for details of the typical cable-box beam transitions. Note that the merging area should be no steeper than 1:6 to minimize the threat of vaulting. Whenever a box beam-cable transition is to be used and the normal embankment is steeper than 1:6, the plans should accurately depict those areas where the embankment will have to be widened and/or flattened to accommodate the transition. The Standard Sheets detail the guide rail and median barrier transitions from box beam to corrugated beam railing. As with cable systems, it is essential that corrugated beam rails be anchored so the system can develop the tensile component of its capacity. When transitions are made adjacent to a bridge structure, they shall use the details shown on the appropriate Bridge Detail sheet. The transition to bridge rail should not begin before the "point of redirection" for box beam guide rail. It is desirable to have at least one normal box beam post spacing before beginning the reduced spacing for the bridge rail transition. Similar details should be used for transitions to other structures with zero deflections. It is noted that some exceptions may be required where bridges are close to intersecting roads or driveways. Transitions should not be made directly from weak-post W-beam to any bridge rail system or onto concrete barrier. Direct transitions should not be made because an abrupt reduction in deflection distance between the two systems could lead an errant vehicle to pocket. (Pocketing occurs when a vehicle is brought to an abrupt stop because the rail system ahead of the vehicle forms a "pocket" around the front end of the vehicle rather than directing the vehicle back towards the road.) In addition, transitions should not be made from cable to any other system except box beam.

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10.2.5.6

10-96 10.2.5.7 Intersections

ROADSIDE DESIGN

Intersections present special problems for barrier design. The main problem is that, rather than the acute angle impacts typical of highway tangents, the impacts may be at any angle, including right angle. The number of suitable choices becomes limited when guide rail must be carried around a corner, such as at the intersection of an overpass bridge and a ramp. As a special order, corrugated beam guide rail may be bent as tight as a 5 ft radius. Box beam may be fabricated down to a 5-3 radius. Cable can not be used in these tight radius situations. Such corners are preferred locations for signs, utility and signal poles, traffic control boxes, and manholes. In any intersection, the fixed hazards should be moved as far back from the traffic as practicable. With high-angle impacts, the barrier systems that could be installed to shield these fixed objects may represent as much, or even more, of a hazard than the shielded objects themselves. Where fixed objects will be no closer than 16 ft to the line of the guide rail, corrugated beam should be considered, due to its generally large deflection and correspondingly lower deceleration rates. Consideration should be given to the protection of the traffic on the road below the overpass. If the volume of traffic on the lower road is great enough that an errant vehicle coming down past the wing wall would be likely to be involved in a secondary accident, then it may be appropriate to provide a strong barrier above the wingwall/slope to minimize this threat. Concrete and box beam barriers are preferred in this situation. With tight bends, the box beam tends to develop arch-action strength which increases its rigidity significantly. The use of box beam is generally recommended instead of concrete barrier due to the more yielding nature of box beam and due to its limited interference with intersection sight distance.

10.2.6 Impact Attenuators In some situations, a fixed hazard may be present at a location where it is either impossible or impractical to provide a redirecting barrier. The most common examples are the ends of barriers in gore areas between diverging roadways. Impact attenuators may be categorized as either inertial or compression systems. Inertial systems are designed to transfer the kinetic energy of a vehicle to a series of yielding masses. Sand barrel arrays are a typical example and are discussed in Section 10.2.6.2. Compression systems are designed to absorb the energy of the vehicle by the progressive deformation or crushing of the elements of the system. Compression systems and certain inertial systems require anchorage and/or backup to resist the impact force of the vehicle. Compression systems which are approved for Department use are discussed in Section 10.2.6.3 QuadGuard (formerly the Hex-Foam Sandwich System and Guardrail Energy Absorbing Terminal, or GREAT) and REACT 350. Systems which are considered acceptable but innovative are described in Section 10.2.6.6. Whatever the system, it is important that the reaction plane of the attenuator system closely match the approach path of the errant vehicle. In particular, curb is not to be used with any of the attenuation systems. Vehicles striking curbs in front of attenuators have shown a tendency to rise, strike the front of the attenuation system, and continue over the top of the system. Since each of the approved attenuators can be designed to provide satisfactory safety results, the selection criteria are factors such as initial cost, impact frequency, maintenance cost, 10.2.5.7 6/28/2010

ROADSIDE DESIGN downtime, width requirements and redirection capability.

10-97

Sand barrels generally have the lowest installation cost. The arrays essentially have no redirection capability and should therefore normally extend a minimum of 2.5 ft (3 ft preferred) beyond either side of the obstacle being shielded. For restricted conditions, the offset may be 2 ft and in special adverse conditions, offsets as low as 1.5 ft may be approved. Sand barrels are essentially one-hit systems requiring complete replacement of any impacted barrels. Their use, therefore, is not recommended for heavily trafficked areas at sites with a high frequency of side impacts. They would be the attenuators of choice for situations where the impact frequency is expected to be low. The QuadGuard system (Section 10.2.6.3) may usually be repaired by replacing individual crushable cartridges and elements of the nose. The ADIEM (Advanced Dynamic Impact Extension Modules) is an innovative system (Section 10.2.6.6) that has also been approved by FHWA for use in narrow width conditions. The Department has previously used proprietary attenuator systems that rely on water-filled canisters. To prevent freezing, these units required that salt or antifreeze be added. The antifreeze was occasionally stolen and, in accident situations, tended to be quite slippery. The units had to be individually opened to check for leaks. Leaking salt may have contributed to bridge corrosion problems. Finally, the systems were not rated for traffic speeds above 100 km/h. For these reasons, water-filled canister systems are no longer recommended for general use in New York State. As a special exception, refer to Section 10.2.7.3 for use of Hydrocell Clusters on Local Urban Streets. Truck escape ramps are not widely used in New York and may not be thought of in a discussion of velocity attenuating devices. Still, they should be considered for long, steep downgrades with significant truck traffic. Section 10.2.6.5 discusses truck escape ramps. Vehicle Arresting Barriers or "Dragnets" have been used in a limited number of permanent locations. They are highly effective at preventing major damage to impacting vehicles and at covering wide areas, which makes them useful for lane or roadway closures as well as some permanent locations. Dragnets are discussed as construction zone devices in Chapter 16.

10.2.6.1 Delineation Regardless of the system selected, serious consideration should be given to providing delineation to warn motorists away from gore attenuators. This increases the overall safety, allows the attenuators to stay in service longer, and greatly reduces the maintenance costs. Department experience has been that the use of double-light warning beacons produces a distinct reduction in the number of vehicle impacts. Where warning beacons are installed, they should be placed behind the attenuator, on the obstacle, or on the post supporting the appropriate warning signs as indicated in the National Manual on Uniform Traffic Control Devices (MUTCD) and the New York State Supplement. In high-volume urban areas, a single-light warning beacon may be difficult to distinguish with a background of other city lights. Therefore, and particularly where existing attenuators have a significant accident history, consideration should also be given to providing overhead area lighting to increase the visibility of the system. Refer to the Department's "Policy on Highway Lighting" for detailed criteria and warrants. 6/28/2010 10.2.6.1

10-98

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Reflective sheeting placed on the front of attenuators tends to lose its reflectivity in a fairly short period of time due to damage from road debris and coverage by dirt, salt, etc. However, if attenuators are experiencing a high number of hits, even a mild reduction in the frequency could justify the cost of reflective sheeting and it should therefore be considered in those situations.

10.2.6.2 Sand Barrels Sand barrels (Inertial Barrier Modules) are arranged in arrays designed to gradually transfer the momentum of an impacting vehicle to the sand. Lighter barrels are placed near the front of the arrays to gradually slow small vehicles, which are usually considered to be in the 2000 lb category. Heavier barrels are placed farther back in the array to slow the larger passenger vehicles, which are in the 4000 lb category. The general requirements for the individual barrels are presented in Special Specifications Items 654.010X M - Inertial Barrier Modules. The standard module weights are 200 lb, 400 lb, 700 lb, 1400 lb and 2100 lb. The specifications require unbagged sand with a 3% to 5% salt (NaCl) content to prevent freezing.

A. Placement Design Where practical, gore areas should be designed with adequate room to accommodate the recommended array for the design speed. To allow additional stopping space, the desirable distance from the last modules to the fixed object is 2 ft. The minimum is 1 ft. The spacing between adjacent barrels directly affects the occupant deceleration rate; 1 ft is the standard spacing for normal conditions. On existing facilities with space restriction problems, the spacing may be reduced as needed to fit the array into the available space. Because sand barrels do not provide acceptable redirection, the width of the array should extend beyond both sides of the fixed obstacle. The desirable extension is 3 ft on each side. The normal minimum is 2.5 ft. On existing facilities, 2 ft may be used for restricted conditions and 1.5 ft may be approved in special adverse circumstances. These lateral extension distances should be at least 50% greater than the longitudinal separation between the barrel and the shielded object to minimize the likelihood of striking the last barrel and then the end of the object. The recommended space for placement of the arrays should permit placement so that none of the barrels encroach on the mainline shoulders. Note that, on new and reconstructed projects, this will normally require that the object to be shielded be at least 3 ft beyond the shoulder. On existing facilities, the minimum space should be such that no barrel is within 1 ft of the traveled way. The minimum conditions should only be applied to existing facilities where the geometry can not be readily modified to provide the recommended space. Figures 10-13 through 10-15 present the recommended minimum arrays for narrow hazards and typical design speeds. Note that, while some adjustments to lateral placement may be approved upon request, the longitudinal clear spacing between barrels (1 ft, measured at top of barrel) should not be compromised without a good rationale. The longitudinal distribution of masses within the arrays is designed to achieve a controlled deceleration for the speeds indicated. Shorter arrays will cause higher and more dangerous deceleration rates. In some existing situations 10.2.6.2 6/28/2010

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with exceptionally adverse geometry, it may be necessary to design arrays that do not achieve the desired decelerations, but are the best arrangement that can be provided. In such situations, the proposed designs should be submitted to DQAB for review as described below. For situations not covered by the typical examples, the designer should refer to the manufacturer's (see Figure 10-15) literature for more detailed design guidance. The proposed design and supporting details should be submitted for approval to the Specifications and Standards Section of the Design Quality Assurance Bureau. The submission should include the following: 1. A plan of the entire area, preferably 1:2500 scale, with all roadways identified and locations of attenuators indicated. 2. Complete description of the fixed object requiring protection. 3. A 1:100 to 1:250 scale drawing containing all necessary dimensions. In the case of a gore area, the length of the gore should be measured along a line equidistant from the pavement edges, and the width of the gore measured perpendicular to that line at the narrowest point, widest point, and at a point equidistant between the two. Distances between shoulders and pavement edges shall be noted along with any other pertinent information. 4. The highway design speeds and anticipated posted speed limits on all roadways involved. 5. Photographs of existing sites. (Digital images may be e-mailed.) 6. The impact attenuator design speed, which is defined as the greater of highway design, posted, or operating speeds.

B. Installation The axis of symmetry of the arrays should be directed along the most likely direction of approach for an errant vehicle. For gore areas, this would be back towards the intersection of the edges of pavement. Note, in Figures 10-13 through 10-15, the orientation of the leading barrels in the array with respect to the predominant flow of traffic. For roadside hazards, the angle between the axis of the array and the edge of the traveled way should not exceed 10. Obstacles in narrow medians should be shielded on both ends and the modules placed on the trailing ends (to shield opposite direction traffic) should be placed flush with the downstream edge of the obstacle to avoid wrong-way hits (by vehicles that have already passed the obstacle). The modules should be placed on a concrete or asphalt surface with a maximum slope of 5% in any direction. Each barrels location and weight of sand should be carefully spray painted onto the surface, at the position that will be covered by the barrel, to ensure that the array will be correctly reconstructed after an accident. Curbing is to be avoided and should be removed if its height is in excess of 4 in. There have been reports of vandals turning over lighter barrels and rolling them into traffic. In areas where vandalism has been experienced or may be anticipated, local law enforcement agencies should be made aware of the problem. If it persists, consideration should be given to providing the 200 lb and 400 lb modules with a system to fasten them to the pavement to

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10-100

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resist overturning. The fastening system should not interfere with the performance of the barrels and should not present a hazard to the errant vehicle.

C. Advantages and Disadvantages The main advantages of sand barrel systems are that: The systems are relatively inexpensive to install when compared with other impact attenuators. No backup wall or plate is required. By altering the weight in the barrels and the number of rows, a wide range of design speeds and vehicle weights may be accommodated. Wide obstacles can be shielded. There are several potential disadvantages of the system. Barrels will generally require replacement after almost any hit. The impact may scatter debris across the roadway. The arrays must extend closer to the road than the obstacle does (normally 3 to 2.5 ft). The weight of an appropriate array may overload some bridge structures. There may not be enough room available for the preferred array. The system does not redirect vehicles. The heavier barrels in the rear of the array can produce severe decelerations when hit first. In some settings, the barrels might be considered visually obtrusive. Note, however, that discrete gray barrels have been used where aesthetic considerations outweighed the safety benefits of the high-visibility yellow. This might be a good option for a parkway where shielding is needed for a fixed object that is not in close proximity to traffic.

D. Sources Additional information on design details may be obtained from an approved vendor, such as Energy Absorption Systems, Inc., 35 East Wacker Drive, Chicago, Illinois, 606012076, (312) 467-6750 or by e-mail at http://www.quixtrans.com/contact.htm. TrafFix Devices, Inc., 160 Avenida La Pata, San Clemente, CA 92673, (949) 3615663 or by e-mail at info@traffixdevices.com. Plastic Safety Systems, Inc., 2444 Baldwin Rd, Cleveland, OH 44104-2505, (800) 662-6338, or by e-mail at http://www.plasticsafety.com/contact.asp.

10.2.6.2

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ROADSIDE DESIGN Figure 10-13 Approved Sand Barrel Array for 90 km/h

10-101

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10.2.6.2

10-102

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Figures 10-14 & 10-15 Approved Sand Barrel Arrays for 100 and 110 km/h

10.2.6.2

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10.2.6.3 Proprietary Attenuating Systems When impact attenuators are to be included on a project, certain information should be shown on the plans. This includes a plan view showing the unit, its concrete pad (or a note that the existing pavement or foundation at the site is to be used), the locations of any drainage structures, utility information, expansion joints, working cracks, and edges of pavement(s), curbing or islands. The plans should also identify any special transitions required between these units and the shielded object. A. QuadGuard Both the Hexfoam Sandwich System and the GREAT attenuators were replaced with the NCHRP350-compliant QuadGuard system. Note that the minimum recommended thickness for the concrete base pad has been increased from 4 in to 6 in and that the reinforcement details are different. Unlike the sand barrel systems that rely on inertia, the proprietary QuadGuard System absorbs the kinetic energy of an impacting vehicle with a series of crushable blocks. To achieve the crushing, the blocks must be crushed between the vehicle and the anchorage for the system. The blocks consist of a matrix of hexagonal-shaped cardboard tubes filled with polyurethane foam and sealed in ultraviolet-resistant plastic as protection from the elements. To redirect traffic, the flanks of the system are protected with an overlapping array of fender panels. Under mild impacts, side hits may require very little or no repair work and nose hits may simply require (1) that the external walls be pulled back into position and (2) that the crushed hex-foam cartridges be replaced with new blocks. QuadGuards intended for permanent applications should be installed on reinforced (#5 rebar @ 24 c-c) concrete pads with a minimum thickness of 6 inches, on unreinforced concrete pads with a minimum thickness of 8 inches, or on existing concrete surfaces in good condition and equivalent thickness. Avoid crossing working cracks or joints as special hardware will be required to ensure proper operation during impacts. If they can not be avoided, contact the manufacturer or vendor for assistance with the design of the special hardware. The QuadGuard is available in five widths and up to twelve different lengths. With six or more bays, the QuadGuard is rated as an NCHRP 350 Test Level 3" device. This means the units can be used on all facilities, if the right number of bays is specified. QuadGuards with widths of 24 in., 30 in., or 36 in. have the same footprint as the GREATs of those widths, and may be substituted for those GREATs. (However, note the base pad thickness requirement in the first paragraph of this section.) The two remaining width options, 69 in. and 96 in., may be substituted for Hexfoam Sandwich systems of those widths. The manufacturer's data were used to generate the selection guidance below. Prices are for units delivered to the site to cover objects 24 wide. As the coverage widths increase up to 90, the prices increase by 20 or 30%. (Contact Transpo Industries as shown on Figure 10-15 for further information.)

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10.2.6.3

10-104 Impact Speed (mph) 43.5 50 56 63 70

ROADSIDE DESIGN Number of Bays Recommended 3 4 5 6 9 Effect. Length (ft-in) 11-8 14-8 17-8 20-8 29-8 Estimated Cost (2008) $11000 $13500 $16000 $18500 $27000

Pad width should be 4 ft for QuadGuard widths through 3 ft. Pads for wider units should extend a minimum of approximately 6 in outside of the unit components. Cross slopes steeper than 8% and changes in the rate of cross slope (twist) greater than 2% from the front to back of the slab are to be avoided. If the need for a twist is encountered, preference should be given to using a leveling pad. Certain information should be shown on the plans. This information includes a plan view showing the unit, its concrete pad (or note that the existing foundation is to be used), the location of any drainage structures, utility information, expansion joints, working cracks, edges of pavement, curbing or islands, and identification of any special transitions required between the QuadGuard and the protected object. If QuadGuards are to be attached to concrete barrier, the concrete barrier should be embedded and reinforced over the first 8 ft from the QuadGuard. Bar reinforcement, consisting of #4 epoxy coated bars at 8 in c-c each way, is required. Twelve typical stirrups (see Standard Sheets) spaced 8 in on centers, will provide the vertical reinforcement in both faces. Six straight bars, 8 ft long, should be spaced at 8 in to provide the horizontal reinforcement and replace the dowels shown on the Standard Sheets. The advantages of the QuadGuard System are that: Its redirection capability provides better protection than a sand barrel system for a small vehicle striking near the rear of the array. It may be conveniently repaired after mild side impacts. The system is light enough to be placed on bridges. The system does not have to be much wider than the hazard. The disadvantages are that: The system is complex to assemble. For equivalent protection, the system costs about four times as much as a sand barrel array. For severe hits, the repair costs approach the installation cost. The system requires more length than sand barrels for equivalent levels of deceleration. Use of the QuadGuard System may be warranted: on high-volume facilities at locations where frequent side impacts may be anticipated, at gore locations where the hazard to be shielded is less than 5 ft from either travel lane, and on structures where a sand barrel array would be considered too heavy.

10.2.6.3

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ROADSIDE DESIGN

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B. REACT 350 The REACT 350 (Reusable Energy Absorbing Crash Terminal) consists of a graded series of reusable heavy plastic drums, arranged in single file, open on the top and bottom and connected with cables on the sides. The reusability property is based upon the selfrestoring nature of the high molecular weight polyethylene cans. The system is to be mounted on a concrete slab with a minimum thickness of 8 in, a minimum width of 4 ft to accommodate the 3 ft wide drums, and a length that is at least 8 in longer than the unit being installed. On top of the slab, a railing system is used to contain and control the movement of the barrels. For full details of the system, see the currently approved Materials Details from the Materials Bureau. The REACT 350 should be specified using Item 15654.200X for permanent units on a new foundation, 15654.210X for permanent units on an existing foundation, and 15619.420X for temporary units in construction zones. In each item, the X ranges from 1 through 3, and indicates the nominal design speed the unit may be used for: 45, 55, or 65(+) mph. The table below indicates the number of bays, length, and estimated costs of the permanent units for each design speed option. Dimensions and Estimated Costs for Permanent REACT 350 Attenuators Design Speed (mph) 45 55 65 Number of Barrels 4 6 9 Overall Length of Unit 15 ft 21 ft 30 ft Estimated Cost of Unit (2008) $14,500 $17,200 $20,800 Estimated Cost of Slab $1000 $1250 $1750

The REACT 350 is a proprietary system vended by Transpo Industries, Inc. (914) 636-1000. The primary advantage of the system is its reusability, although the number of reuses will be dependent on the severity of the impacts. Its primary disadvantage is its relatively high cost.

C. TRACC (Trinity Attenuating Crash Cushion) The TRACC refers to a pair of redirective impact attenuators manufactured by Trinity Industries, Inc. One is a nine-bay device rated to NCHRP 350 Test Level 3", meaning it can be used on all facilities. The other device is a six-bay unit rated as Test Level 2", meaning that it may be used on facilities with design speeds of less than 50 mph. The ninebay unit is 21 ft long. The six-bay unit is 14 ft long. Either device is 2-8 wide and may be used to shield objects 24 inches or narrower. It may also be used as an end terminal for NJ-shaped concrete barriers by using manufacturersupplied W-beam pieces attached to wood or plastic blockouts which are attached directly to the last concrete shape. The TRACC may be used on the end of a run of single slope concrete barrier if the barrier is first transitioned to a NJ shape using our standard transition. Only with the appropriate manufacturer-supplied transition pieces may it be used in two-way traffic situations. These transition pieces can only be attached to a NJ shape. To accommodate the backwards movement of the side panels during a nose impact, it is very

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10-106

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important to leave a clear space with a minimum length of 5 ft behind the ends of fender panels on either side of the shielded object. TRACCs need to be mounted on and anchored to a rigid foundation. Typically, the anchorage should consist of 7.5 in studs in a reinforced concrete foundation with a minimum thickness of 6 in. Anchorage to asphalt concrete is not permitted in permanent applications because of concerns that the Department would not be able to repair a damaged asphalt foundation quickly enough following impact. Since, however, a Contractor will be at the site during construction, and an EIC will be watching over the work, asphalt anchorage can be a reasonable alternative in the work zone traffic control setting for moderate to moderately severe service conditions. While the above mentioned concrete foundation is preferred, the additional options for temporary (work zone) installations include: asphalt concrete with a minimum thickness of 6 in over compacted subbase with a minimum thickness of 6 in using 18 in anchor studs, or asphalt concrete with a minimum thickness of 8 in using 18 in anchor studs. The TRACC is reusable to a limited extent. If the stroke (movement of the front face of the sled assembly due to an impact) is not more than 4-5, then field repairs can generally be made; otherwise, the system must be replaced. Similarly, if the cross bars are not bent more than in (vertically) by a side impact, then field repairs can generally be made; otherwise, the entire system must be replaced. Upon severe redirecting side impacts, the anchor studs may come loose from a concrete foundation. With a temporary asphalt foundation, the anchor studs may come loose upon a moderate to severe impact. In either case, the foundation must be repaired and the studs reset before replacing the TRACC unit. These units may be installed on existing concrete foundations free of cracking or deterioration that could impair anchorage or the integrity of the foundation. Working cracks or working joints should not be bridged by these units. Cross slopes over 6% for TRACC foundations are to be avoided. If encountered, they should be corrected by means of leveling or grading. In addition, curbs and islands higher than 4 in should be removed from the area extending from the back of the unit to a point 50 ft upstream from the nose of the unit. Mountable or traversable curbs or islands with a height of 4 in or less may be retained if they are needed to collect and control pavement runoff. However, new curbs, of any height, are not to be installed within the above described limits. The TRACC crash cushion for permanent locations has a core item number of 654.3X M. The optional temporary attenuator item is 619.18XX M. In temporary (construction) situations, some provision must be made for repairs due to traffic damage. The designer should always include Item 15619.28, TRACC Bays Damaged and Repaired, in construction contracts. Solely to provide a basis for bid comparison, the Estimate should assume that 50% of the bays that need to be installed will require replacement over the life of the project. (If two nine-bay units are needed for shielding on the project, the estimate should reflect that nine bays will be damaged and need repair or replacement.) The cost of the nine-bay unit may be estimated to be $10,000; the cost of the six-bay $6,500. The respective foundation costs may be estimated at $1200 and $750. The cost of any metal transition would be another $175. These estimates do not include a contractor mark-up.

10.2.6.3

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ROADSIDE DESIGN D. TAU II

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Barrier Systems Inc. manufactures the proprietary Tau II system, specified as 712-21 Impact Attenuator, Thrie Beam Type with Expendable Modules. Details of the Tau II, including drawings of the crash tested systems and recommended design configurations, are available at http://safety.fhwa.dot.gov/fourthlevel/hardware/term_cush.htm (FHWA letter, codes CC-75, CC-75A and CC-75B). The following are some design considerations: These impact attenuators may be used in a parallel configuration to protect objects up to 27 inches wide. Flared transitions may be used to treat wider objects up to 8ft and a 70 mph configuration is available to treat objects up to 8.5 ft wide. These attenuators are available in several configurations up to 12 bays. They are considered to meet all pertinent NCHRP 350 evaluation criteria and are federally approved for use on the NHS. The 10-bay unit was successfully tested to a modified NCHRP 350 test 3-31 (head-on impact) at 70 mph. The overall length of the 4-bay, Test Level 2 unit is 15 -5. The length increases by approximately 3 ft for each additional bay (refer to table below). Additional lengths may be needed for transitions or for the concrete backup structure. Units may be installed as "stand-alone" or may transition to safety-shape concrete barriers, thrie beam, or the standard corrugated beam (using an intermediate thrie beam transition). The following table provides the manufacturers recommended parallel unit configurations for several design speeds, its corresponding length, and Contractor cost. These costs are based on data provided by the downstate distributor for units connected to a concrete barrier and a coverage width of 30. Steel backup estimates for parallel units are $2,500 for the 10-bay unit and $1,500 for the shorter units. Designers need to recognize that this is the distributors pricing for the units and will need to include additional costs in their estimates to include installation and markup. 441 4 11.75 $9,590 Design Speed, mph 56 622 7 8 20.25 23.1 $12,980 $17,050 683 10 28.75 $19,475 723 12 34.5 $22,800

Bays Length, ft Contractor Cost

50 5 14.6 $10,980

1. Corresponds to NCHRP350 Test Level 2. 2. Corresponds to NCHRP350 Test Level 3. 3. For design speeds over 62 mph, the indicated systems are available, but the 62 mph systems may be used.

Any curbing from the backup structure to a point 50 ft in front of the unit must either be reduced in height to 4 or less or removed, preferably the latter. On the nonapproach traffic side of bidirectional highways, the backup structure must not protrude beyond the article being protected by the impact attenuator. The specifications require transitions on the nonapproach side to avoid snagging of the backup structure. The plans should clearly identify the required transition to guide rail, concrete barrier, or concrete backup. The transition and/or concrete backup are included in the item for payment. Note: The lengths above do not include the necessary transition or concrete backup structure lengths. Cross slopes of up to 1 on 12 may be tolerated. Differential cross slope (twist) from front to back may not exceed two percent. Additional design guidance may be obtained from the manufacturer,

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Barrier Systems, Inc 180 River Road Rio Vista, California, 94571
or local vendor,

Internet: www.barriersystemsinc.com. Contact: Ron Keener (888) 800-3691 Internet: www.impactabsorption.com Contact: Michael Kempen (718-229-0046)

Impact Absorption, Inc. 46-04 245th Street Douglaston, NY 11362

E. SCI Smart Cushion Innovations Products, Inc. produces the SCI70GM for 45 mph impacts (70 km/h) and the SCI100GM for 62 mph impacts (100 km/h). The system is designed to be highly rugged and reusable. To achieve this, it has extra strong side panels and internals that give it an added weight, and cost, that exceed that for other systems that are not as durable. For the standard NCHRP350 crash tests, the repair parts were only two shear bolts and the labor was only two workers for less than an hour. The Smart Cushion reported an average of $39 in repair parts per incident in a documented two-year in-service evaluation posted on the FHWA website. Forty percent of those impacts were tractor/trailer (high mass) impact. The primary energy absorbing mechanism of the SCI system is a heavy cable and hydraulic piston system where the piston tube has a series of ports that the hydraulic fluid is forced through into the outer casing which retains this excess fluid. This fluid is automatically pulled back into the piston tube during a reset. As the piston is compressed, the number of ports remaining ahead of the piston head decreases, requiring greater pressure to eject the fluid at the same volumetric rate. The resistance of the system is thus a function of the rate at which it is being compressed and the amount it has been compressed. Transition pieces are available to connect to either Jersey-shaped concrete barrier of singleslope concrete barrier. Because of its unique reverse-tapered design, the attenuator itself is limited to shielding a width up to 2 and a height of 34. Transitions are available for wider hazards, but extra length will be needed to accommodate the flare from the back of the attenuator to the shielded object. Test Level TL2 TL3 System SCI70GM SCI100GM Length 13-6 21-6 Weight (lb) 2470 3450 Contractor Cost $15,700 $20,200

Further information is at www.workareaprotection.com/SCI100GM/Attenuator.pdf. The SCI Products, Inc. contact is Jeff Smith (JSmith@workareaprotection.com), 1-(800)-327-4417.

10.2.6.4 Nonproprietary Impact Attenuators

- (Vacant)

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On long, steep declines, heavily loaded trucks may experience brake failure. Gravel escape ramps are one system used to safely stop runaway trucks. The typical ramp leaves the roadway as a flared paved apron. Beyond the apron, the ramp surface is a thick layer of loose, well-rounded gravel. The loose gravel will not support a truck. Instead, the tires plow through the gravel, transferring the truck's momentum to the stones. The preferred ramp profile is a sag vertical curve that starts on the roadway grade and ends on an upward incline. The minimum width should be 25 ft. Drainage must be addressed to make sure the gravel does not become encased in ice or clogged with washed-in silt and sand. The ramp location must be made obvious with advance signs and ramp lighting. The advantage of the gravel escape ramps is that trucks can be stopped with very little damage. The disadvantages are that: The ramps require a significant amount of right of way. To ensure that the gravel remains loose, regular inspection is needed and regular maintenance may be required. Gravel escape ramps may be warranted for roads with long steep declines and significant truck traffic. Even if present truck volumes are low, the future addition of a ramp should be considered when locating the road and acquiring right of way. For further guidance on gravel escape ramps, refer to Chapter 3 of AASHTO's 2004 A Policy on Geometric Design of Highways and Streets and to the Transportation Research Board's May, 1992 NCHRP Synthesis 178 Truck Escape Ramps. The Department has also designed truck escape ramps that rely on Vehicle Arresting Barriers (Dragnets), although these devices are more commonly used in construction zones. Refer to Chapter 16 of this manual for a system description.

10.2.6.6 Innovative Attenuation Systems Numerous new impact attenuation systems have been and will probably continue to be developed. In the 1990s, the Department permitted use of five of these systems in New York State on a trial basis. In alphabetical order, these systems are known as the ADIEM, the CIAS, the ET-2000, the REACT 350, and the SRT. The ET-2000+ and the REACT 350 have subsequently been approved for general use. The CIAS was dropped by its supplier and was also not being used. The ADIEM had problems and was replaced with the ADIEM (II) which has a more durable skin. The SRT was dropped as the Department no longer approves proprietary systems that must be flared significantly away from the shoulder. Other new, properly tested systems may be used on a case-by-case basis subject to approval by the Design Quality Assurance Bureau. This bureau should be involved early in the plans to use any of these systems. Approval to use proprietary systems must be obtained in accordance with Section 21.3.4 of this manual. It should be noted that some of these systems will be significantly more expensive than the Departments traditional end sections. Whe re guide rails will be terminated close to the limit of the clear area, there will be little safety advantage to providing expensive end treatments. The general guidance is that high-quality rail terminals are 6/28/2010 10.2.6.5

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appropriate for high-quality clear zones, while low-quality clear zones (narrow width and/or questionable traversability) only warrant conventional, less expensive terminals.

A. Advanced Dynamic Impact Extension Module (ADIEM) Unless specifically noted, references to the ADIEM should be taken to mean the newer ADIEM (II). The ADIEM consists of a gently ramped concrete carrier beam on which are mounted ten crushable Perlite concrete modules. The carrier base is composed of reinforced Class A cement concrete. This base is designed to permit it to be strapped to the end of a standard or temporary concrete median barrier. The Perlite concrete modules are cast in three layers of varying strength. The lowest 3 has a compressive strength of about 120 psi, roughly 4% of normal strength concrete. The next 14 has a compressive strength of only 40 psi. The top 7 has a compressive strength of 120 psi. These modules are porous, but coated to prevent water infiltration. The ADIEM was originally crash tested in accordance with the requirements of NCHRP 230. Five developmental and four compliance tests were conducted. The results of these tests may be found on page 92 of Transportation Research Record 1367. The system subsequently passed NCHRP 350. In service, the ADIEMs safety performance has been good, with only one issue emerging. Along the top, outside edges of the concrete ramp, the design includes a steel tube bumper that projects out a bit over two inches from the face of the ramp. There have been two instances of semi-tractor trailers crashing after the lugs on their front tires caught under or in the bumper rail as the truck was exiting the system. The Department has used ADIEMs in both permanent and construction (temporary) applications, at a cost of from $8,000 to $15,000 per installation. While experience has been relatively good in temporary situations, there has been a noted deterioration of units placed as permanent installations. The worst problem appears to be caused by snowplow hits that slice through the outer protective covering and permit water to enter and damage the Perlite concrete. Other less severe breaches resulted from unknown causes. The manufacturer subsequently (1999) introduced a more durable outer covering on the modules. Based on current experience, it appears that the individual crushable units should be replaced after three years of service. Note that replacements will also be needed after impacts. The decision to use the ADIEM in a permanent application may still prove to be cost-effective over the long term. However, a firm commitment must be made to repair the covering as needed (repair materials are now provided with the units) and to provide replacement module as needed. The principal advantage of the ADIEM is its narrow width and ease of module replacement after an impact. The ADIEM is manufactured by Syro Steel, which is now a part of Trinity Highway Products. Detail drawings and specifications are available from their Girard, Ohio office by calling 800-321-2755.

B. Connecticut Impact Attenuation System (CIAS) The CIAS and NCIAS have been dropped from our list of attenuator options due to lack of use and the manufacturers decision to cease marketing them.

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C. EXTRUDER TERMINAL (ET-2000) The ET-2000 is now a standard system and is described in Section 10.2.5.2 C.

D. REACT 350 The REACT 350 is now a standard system and is described in Section 10.2.6.3.

E. SRT The Slotted Rail Terminal was dropped as the Department will not use proprietary terminals that must be significantly flared away from the shoulder.

10.2.7 Developed Area and Large Volume Exceptions Developed environments present more complicated safety design challenges than rural environments. Very often, the roadways that go through these areas are the centers of communities. Increasingly, citizens of these communities have requested that these highways be redesigned using roadside solutions that are not just safe and effective, but that balance the safety and mobility needs of pedestrians, bicyclists, public transit users, and motorists and accommodate community values. Due to these considerations, the Regional Landscape Architect should be consulted for input on many of the design decisions. The most significant problems in developed areas are the limited right of way and the many differing uses and functions of the urban roadside. The cost of the developed real estate adjoining urban highways frequently makes expansion of the right of way economically prohibitive. The successive expansions of the highway system to meet increasing demand have resulted in many highways where the available right of way can not accommodate the roadway and a clear zone. Because of the restrictions on reasonably available right of way, exceptions to the desired clear zone widths identified in Section 10.2.1 have been established for urban areas. While the clear zone widths selected in developed areas may have to be reduced for both practical and liability reasons, the designer should still strive to provide as much clear area as possible in those situations where vehicles may be expected to need that clear area. The effective clear area can be maximized by clustering the fixed objects (longitudinal placement) and by placing fixed objects as far from traffic as is practical. Where vertical-faced curbs are provided, the width of the clear zone should provide a minimum of 18 inches from the face of curb to any utility pole, hydrant, or other obstacle. The primary purpose of this offset is to permit passenger doors to be opened when cars stop next to the curb. As such, the 18 inches is primarily for convenience, rather than safety. The preferred minimum offset is 3 ft. At curbed corners where long trucks are more likely to encroach, the minimum clear zone distance from the curb face to obstructions should be 3 ft. For uncurbed streets, the minimum offset from edge of traveled way to obstructions should be 4 ft. (Note that Chapter 2 of this manual requires an 18 inch horizontal clearance, as a safety-related shy distance, from the edge of traveled way to obstructions, including breakaway signs.)

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While, in rural areas, attention may be focused primarily on protecting the motorist from the roadside, in populated areas, consideration must sometimes be given to protecting pedestrians and bicyclists from errant vehicles. (Refer to Chapter 17 for guidance on bicycle accommodation and Chapter 18 for pedestrian safety accommodation.) Vertical-faced curbs should generally be provided wherever pedestrians regularly travel along the roadside, provided it is not a high-speed highway. The designer should note that vertical-faced curb has little redirective capacity and is primarily provided to discourage the mingling of vehicular and pedestrian traffic. Barriers should be considered where areas of assembly, particularly playgrounds, schools, and parks, are across "T" intersections, outside of sharp curves, and at locations with a history of run-off-road accidents. Special consideration should be given to urban school zones. Guide rail should be considered both to protect children from errant vehicles and to direct pedestrians to designated crossing zones. Barriers should also be considered to shield features that, if impacted by an errant vehicle, could produce a catastrophe for the community, such as flammable or noxious gas storage facilities. Conversely, to guard against gas tanker or heavy-truck accidents, extra strength barriers should be considered on the approaches to overpasses that have heavy population concentrations below. Consideration may also be given to installing a barrier to shield structures which have been struck at sites having a history of run-off-road accidents. On principal arterials, consideration should be given to providing pedestrian overpasses. These overpasses should be enclosed to inhibit or prevent objects from being thrown into traffic. Refer to Chapter 18 of this manual and Chapter IV of AASHTO's A Policy on Geometric Design of Highways and Streets, 2004, for a discussion of pedestrian overpasses and screening. The roadways to be considered in this section will be broken into five categories for the convenience of discussion. Those categories are: Urban Freeways, Urban Arterials, Local Urban Streets, Suburban Roads, and Camp Areas.

10.2.7.1 Urban Freeways Urban freeways differ from rural freeways primarily in the volume of traffic handled. In some instances, the urban freeways may also be faced with much tighter right of way constraints. Because the reduced right of way limits the amount of space available for clear zone development, the designer must often resort to an increased use of roadside barriers. Where space permits, preference should still be given to providing the clear zone widths determined in accordance with Section 10.2.1. Because of the large volume of traffic using the urban freeways, durability of the barrier system is a concern. Preference should be given to systems that will tend to remain in service after being struck. On large volume roads, repair crews are at risk and inadvertently create a hazardous condition for motorists. Because its impact durability is so poor, cable guide rail should generally not be installed on urban freeways with AADTs in excess of 5000 vehicles per lane per day. However, cable guide rail may be used for roads with higher traffic volumes if the correspondingly increased effort can be made to provide timely repair and maintenance and it is believed that repairs can be made safely. Box beam guide rails are more durable, but may also require frequent remounting. The offset from the traveled way and the anticipated frequency of impacts are factors that should be considered in the selection process. Where frequent impacts are anticipated, the recommended

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barriers for large volume urban freeways are the heavy-post blocked-out W-beam and concrete barriers. Furthermore, where truck and large vehicle traffic is permitted, consideration should be given to using extra height concrete barriers in narrow medians. (Refer to Section 10.2.4.9 C.)

10.2.7.2 Urban Arterials Urban arterials, as indicated in Chapter 2 of this manual, often carry large traffic volumes within and through urban areas. Traffic speeds are generally lower than on freeways and access is only partially limited. Urban arterials tend to have too many signalized intersections and crossmedian access points to warrant regular use of barriers. Guide rail should be provided for major drop-off hazards such as approach ramps to overpasses or bridges. Where the operating speeds are 50 mph or greater, median barriers will frequently be warranted to prevent crossover accidents. (See Section 10.2.4.) At lower speeds, curbing may be provided instead of barriers. Because curbing may contribute to loss of control, it should generally be avoided where wide, obstacle-free medians or shoulders are possible. Wherever sidewalks are provided for pedestrian access, however, curbing should be provided. While landscaped arterials are popular, walled planters and other structures that present hazards should not be permitted within clear zone distances. Flush planting areas should be used instead of raised beds. Most trees will grow beyond a diameter of 4 inches and will become fixed objects. Therefore, they should usually be planted beyond the clear zone. Particularly near intersections and on horizontal curves, the landscaping should not interfere with the recommended sight distance. On arterials, ditches should be eliminated in favor of a closed drainage system. (Note that, in some situations, there may be a conflict between potential safety benefits of a closed drainage system and the environmental benefits of water infiltration from open systems. The conflict is less relevant where soils have low permeability or ditch grades are steep. The Regional Environmental Contact and the Regional Landscape Architect should be consulted for water quality implications, including SPDES permit compliance.) Utility facilities should also be placed underground or above-ground facilities moved beyond the clear zone. The designer should consult the Regional Utilities Engineer (RUE), and Title 17 of NYCRR, Part 131 of the Highway Law, Accommodation of Utilities within State Highway Right of Way to determine the influence of current utility policy on this aspect of roadside safety.

10.2.7.3 Local Urban Streets Local urban streets, especially in downtown areas, usually have frequent signalized intersections, typically at the end of each block. Frequently, buildings are close to the road. The roadside usually is curbed and has sidewalks from the curb to the buildings. Many downtown streets permit curbside parking. Where parking is permitted, errant vehicles will usually not reach the roadside. The speed limit is typically in the range of 30 mph. Because of the generally low operating speeds, few roadside design concerns apply to downtown streets. Large shade trees are popular and seldom present serious fixed hazard problems. On some streets, however, large tree trunks may impair sight distances. Due to the potential hazard of falling limbs, dead, diseased, and dangerous trees are to be considered for complete or partial removal.

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The main needs for barrier design are for drop-offs and for median features, such as bridge piers, traffic control masts, and pedestrian islands. In addition to the impact attenuators discussed previously in Section 10.2.6, Hydrocell Clusters may be considered as a special application. The Hydrocell Cluster is appropriate for locations where there is inadequate space ahead of the hazard to permit placement of a larger attenuator system. Use of Hydrocell Clusters should be reviewed by DQAB. 10.2.7.4 Suburban Roads Some of the most significant roadside safety challenges are presented by suburban roadsides. This category of exceptions recognizes an important type of roadside condition not well covered by AASHTO's Functional Classification of Highways. The suburban environment represents a transition between urban and rural conditions. Often there is no clear demarcation between rural and suburban or between urban and suburban conditions. Safety treatments should consider, and be based on, the operating characteristics in the area, rather than routinely using urban guidelines. The designer should maintain standard lane and shoulder widths and full clear zone widths (including traversability of ditches) as far into the suburban area as is reasonable. The suburban roadside environment is typically well established and less flexible than a rural environment, limiting the practically available space for clear zones and forcing the designer to regularly make safety concessions to the many preexisting constraints. These roads are bordered by numerous residences, other abutting property access points and intersections. In a typical situation, the residences are separated from the road by a ditch which is crossed by driveways. The ditch drainage is carried under the driveways by a pipe which may have a headwall constructed around it. Vehicles which leave the roadway are likely to be directed along the ditch to an abrupt stop at the pipe. Many of the residences are landscaped with large trees close to the road. The landscaping may include large raised planters, decorative rock walls and rail fences. Mail boxes may have been encased in masonry to resist vandalism. Businesses are likely to have signs close to the road, sometimes in large planters. Utility poles are commonly present close to the roadway. On many of the suburban roads, the operating speeds exceed 40 mph. In addition to relatively high traffic volumes, pedestrians, bicyclists, and often delivery and mass transit vehicles, may have unrestricted access. As noted in Section 10.2.7 above, protection for pedestrians from possible errant vehicles may be prudent. As stated in Section 10.2.2.4, curbing has limited redirective capacity. Consequently, rather than providing only an 18 in clear area behind the curb, a broader clear area, more reflective of the off-peak operating speed, should be strived for. In higher speed suburban areas, serious consideration should be given to providing a shoulder, rather than just a curb offset. In general, curbs should only be introduced where warranted, such as for drainage or access control, delineation, or where there are sidewalks. Refer to Chapter 3, Section 3.2.9 of this manual.

A. Longitudinal Drainage Features and Transverse Embankments Research has shown that vehicle control is much easier to maintain if the slopes on transverse embankments do not exceed 1:6. Several commercially available drain pipe end sections have been developed to match this slope. Various bar or pipe grate systems are available to allow vehicles to ride up over the end sections. On reconstruction projects where errant vehicles have a high probability of being directed into a limited number of end

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Where possible, the ditch cross-section should be smoothed to permit vehicles to recover sufficiently to avoid end sections. If space is available, the drain pipe may be set back from the ditch line beyond the path of vehicles trapped in the ditch and the portion of the embankment crossing the ditch line may be graded to 1:6 slopes. Rather than providing two separate pipes for driveways in close proximity, a single pipe could be used to eliminate two end sections. The safest treatment, however, is to eliminate all of the end sections and transverse embankments by installing a closed storm drainage system. The high cost of this measure may warrant a benefit-cost analysis. Note also the potential SPDES conflict discussed in Section 10.2.7.2. B. Landscaping Features Some roadside landscaping done by property owners may unintentionally produce potential hazards that may be difficult to deal with due to peoples personal association with them. Shade trees, walls, and decorative stones or boulders in front or side lawns may carry personal attachments that involved considerable forethought, time, money, and personal effort on the part of the property owner. Mail boxes, particularly those with special landscaping or atypical support and decoration, may become potential hazards. Mail box placement is subject to both Department and U.S. Postal Service regulations. (The latter may be obtained at most local Post Offices.) Refer to Section 10.5.1 for a discussion of mail boxes. Potentially hazardous features on private property can only be moved or removed with the consent of the property owner or the purchase of the necessary piece of property with the feature on it. The latter action requires a significant effort, time, money, and, usually, an actual accident history. (Dead, dying, or otherwise impaired trees that have a potential for falling on the road can, of course, be removed without consent or purchase of property. Refer to Section 45 of the Highway Law.) Potentially hazardous private features within the Department's right of way are usually less difficult to move or remove. Notice must be given to the property owner that an encroachment exists and must be removed from the Department's property. A business sign or small hedge may be fairly easy to relocate; a large tree or a part of a structure is not. The more difficult it is to remove or relocate a feature, the more resistant a property owner may be. Refer to Section 10.5.6 for a discussion of public relations issues regarding hazardous feature removal on Department right of way.

C. Utility Poles Because of the long lead times required for utility relocations, the need for relocations should be addressed during the scoping process. The Department's official policy on utilities and their impact on roadside design is found in

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Title 17 of NYCRR, Part 131, Accommodation of Utilities within State Highway Right of Way. The following information is subordinate to Part 131 and Chapter 13 of this manual. The Department's policy is that utility poles are not allowed to be located within the guide rail deflection distance or within a Department-designated clear zone. Relocation of utility poles from those locations will contribute to significantly improved roadside safety. Utility pole accident histories, including, but not limited to, the periodically issued "Bad Actor" list (poles that have been involved in several crashes), should be reviewed and used in connection with the determination of the clear zone. Relocating utility poles should not be required if numerous other similar hazards, such as trees, are to be left at similar or smaller offsets from the roadway. Utility poles located within the clear zone should be treated the same as other potential roadside hazards and evaluated according to the hierarchy of treatment options discussed in Section 10.2.1.2. and Chapter 13 of this manual. If relocations are planned, the designer should consult with the Regional Utility Engineer (RUE) to determine the current rules for the accommodation of utilities within State highway right of way and should start liaison with the Utility. The RUE, or the designer with the RUE's oversight, should negotiate the details of a form HC 140-Utility Work Agreement along with any other required agreements. All Agreements should be submitted as early as possible to facilitate proper coordination with DOT's final design. Refer to Chapter 13 of this manual for additional details of the utility relocation procedures. With regard to clear zone documentation, if, in their final location, utility poles are the closest hazards to the traveled way, they will generally set the clear zone width. In some situations, however, an isolated pole may be documented as an exception to an otherwise wider clear zone. Note that as much additional clear area as is practical should be provided behind a line of utility poles, provided there is no conflict with the Departments landscaping objectives. (While the defined clear zone may end at the poles, an errant vehicle may miss the poles and should be provided with as much additional deceleration distance as is practical.)

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Camp areas, such as those alongside many lakes, are a small part of the overall roadside environment, but they have generated a sufficient number of queries to warrant special coverage. While this section will refer to camp areas, the guidance should also be considered as applying to other areas with similar conditions. Camp-type areas present significant challenges for barrier design. Access breaks are required at short intervals for driveway openings and walkways. Right of way is usually very tight. Fixed objects are numerous and close to the traveled way. The adjoining terrain is often steep. Water hazards are often accessible. Alignments are often quite curved to follow terrain. Seasonal traffic volumes may be relatively high and operating speeds are often within the high-speed category. Typically, cable is not used because of its large deflection distance and the length needed to develop its lateral strength. Both cable and W-beam would be expensive due to the many anchor blocks that would be required for the frequent openings. W-beam also takes a significant length to be effective and is considered a poor aesthetic choice for camp areas. By default, box beam is generally the preferred barrier choice. When it is decided to provide shielding by installing box beam guide rail, none of the terminal options are without performance limitations. The following information addresses the issues with each of the terminals in turn and then offers suggestions as to when it might be appropriate to select a given system. Type 0 Terminals: The Type 0 (Buried in Back Slope Terminal) requires the presence of a back slope in relatively close proximity to the road. When there is such a relatively steep back slope in close proximity to the line of the rail, the Type 0 should be the preferred end treatment. In camp situations, the Type 0 terminals would be appropriate on the high side of the road at locations where box beam was needed to shield features such as incised watercourses cutting down the hillside. Type I Terminals: With its abrupt 1 on 2 turned down end, the Type I end piece should not be installed on lead ends parallel to high-speed traffic. An essentially end-on impact would have four possible outcomes, which might occur in combination. One outcome would be unfavorable. The other three would, most likely, be quite unfavorable. Although unlikely, the vehicle might ride up on to the rail and then roll sideways off of it. The vehicle could be launched into the air, resulting in a subsequent impact with a fixed object or a rollover. The vehicle could fail the weld at the turndown, causing the box beam to spear into the passenger compartment. The vehicle might stop abruptly on impacting the terminal. Because of the above, Type I end pieces should only be installed where the end can be flared away from the road. For special circumstances, exceptions may be necessary in low-speed areas or in medium-speed areas where the run is very short. Type I terminal assemblies are designed to be installed so that all normal impacts will be side impacts. Vehicles that hit the end at a high angle will cause the terminal and adjoining rail to yield laterally as a cantilever, thereby minimizing the severity of the impact. If the errant vehicle bends the rail aside and passes beyond, any subsequent impact will be less severe due to the energy that was absorbed in bending the rail. Provided the ends are flared away, short runs of guide rail (less than the normally recommended minimum of 125 ft) may be used if it is judged appropriate. In this instance, redirection is not assumed, only some amount of attenuation. In rare instances, where a Type I end can not be flared away from the road and the associated run is quite short, supported at no more than 7 post locations, it may be acceptable to install the

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terminals without flare. In this case, it is assumed that the run and its terminals will separate from the posts, allowing them to act like an attenuator, rather than a fixed, ramping, or spearing object. Type II Terminals: As stated in Section 10.2.5.4 C, the Type II terminal has been disapproved. While the terminal itself is not judged to be a hazard for low speed contacts, the camp environment typically has steep topography and hazards close to the road, making it preferable to use a terminal that absorbs impact energy rather than passing the vehicle over the terminal. Type IIA Terminals: In 2007, development began on a terminal that could essentially replace the Type II and function acceptably in high-speed locations. FHWA provided conditional approval for the new terminal on May 18, 2010. The Type IIA is basically a Type I end piece connected to the run by a tightly curved length of box beam (18 foot length, shop curved to a 35 foot radius). The ramped end piece could destabilize an impacting vehicle, so the Type IIA should generally only be used where the end will be close to the limit of any clear area. Type III Terminals: The Type III terminal is actually an optional item that allows the contractor to select one of two proprietary terminals. Both are designed to be energy-absorbing. Both have a face plate on the leading end of a normal-height guide rail. The WyBET includes a section of a larger-than-normal box beam that telescopes around the regular box beam. When the end is struck longitudinally, the telescoping action causes the crushing of a pair of sacrificial fiberglass pipes inside the box beams. The crushing action produces the energy absorption. One of the limitations of the WyBET is that it must have a completely straight alignment for the first 50 ft to permit the telescoping to take place. The BEAT absorbs energy by slicing open the box when a mandrel behind the impact face is driven inside the box. If Type III terminals were applied on each end of a run, their length alone, absent any other rail, would require minimum runs of 100 feet. Also, the extensive grading required (often around 60 cy) does not lend itself to this terrain or type of development. The Type III terminals are a relatively expensive option with typical installed costs of $4000. The large face plate and breakaway hardware make it the most visually obtrusive of the three box beam terminals. The large face plate should be flared away from the roadway by at least 2 ft to avoid the significant problems that would result if it were struck by a snow plow. The standards for installation of Type III terminals are intended to maximize safety for roadside conditions that are normally associated with interstate highways. They presume that the prevailing clear zone is broad and readily traversable. FHWA therefore recommended that any installation have a clear area behind the rail that runs for 75 ft along the rail and 20 ft back from the rail. These requirements are unrealistic in most camp areas and, if held to, would provide a spot treatment significantly safer than what would normally be found in adjoining unshielded areas. While designers should always strive to provide clear areas adjacent to highways, failure to provide that recommended clear area behind a Type III will not cause the Type III to malfunction. Any inability to provide the recommended clear area behind a Type III terminal should not be seen as preventing its use in camp-type situations. The objective should be to provide a terminal that is not a hazard in itself. While vehicles that strike the end of a Type III terminal (includes the rail back to the third post) are likely to pass into the area behind the rail, this is essentially what would happen with a Type I or Type IIA and little better than what would happen with a Type II installation.

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Before deciding what type of end sections to use, the question of whether or not to even use guide rail should be resolved. It should not be an automatic assumption that guide rail should be provided wherever possible, just because there are fixed objects near the road. The following questions should be considered. 1. Is there a history of ROR accidents that is significant enough to warrant the installation of barrier? Unless the number and severity indicate a need, the expense may not be justifiable. 2. Are there specific problem locations where there is either a history or the likelihood of ROR accidents? Suspect areas include the outside of blind or unexpected curves, areas with hidden driveways, curves at the bottom of ice-prone down grades, etc. 3. Are there areas where the consequences of leaving the road are unusually severe? There are many locations where a vehicle that skids off the road would impact a tree. Drivers who survive the initial impact without major trauma would likely survive the accident. On the other hand, if a vehicle rolls over on a steep slope and submerges in water, even a mildly injured rider would likely drown. It would, therefore, be appropriate to provide shielding where errant vehicles would be likely to reach bodies of water. 4. Are there areas where people adjoining the highway will need protection from the errant vehicles? While many camps will have trees between them and the road, some may not. Certainly, if the adjoining property owners wish to have shielding, that should be taken into consideration. 5. Will the installation of guide rail make the roadside significantly safer? If the driveways are relatively closely spaced, the percentage of the roadside length that will actually be effectively shielded will remain quite low. Most of the length will consist of driveway openings and end sections that are not capable of redirecting vehicles. Only a small part of the roadside will be shielded by the redirecting portion of rail between the terminals. In light of the above considerations, the most likely places to warrant box beam guide rail in camp-type settings will be where lengths of over 125 ft can be installed on the outside of curves, at common accident locations, and where an errant vehicle could be expected to reach a body of water. Additional use is left to the designers engineering judgment.

B. Terminal Selection for Box Beam Guide Rail in Camp Areas If it is judged that a run of box beam guide rail should be installed, the following are recommended guidelines for selection of the terminal type. Type IIA or Type I terminals should be used whenever the terminal can be satisfactorily flared enough so that near-longitudinal impacts on the ends are unlikely. The combination of the flare angle and the vehicles divergence angle should result in a combined impact angle that is often 45 greater than an in-line hit. The choice between a Type IIA and a Type I would depend on the available ROW and the amount of clear area.

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If the available ROW does not permit flaring the terminal enough to use a Type I or a Type IIA, than a Type III should be considered. If the curvature of the road requires use of curved rail at the terminal, a Type III can not be used and a Type IIA should be used and an easement obtained. The Type III terminal should be used when there is not enough available ROW to flare back a Type I end, but there is at least 20 feet of clear area behind the rail, the slope is 1 on 4 or flatter, and the rail and terminal can be installed along a straight line at least 100 feet long. The Type 0 should be used when a back slope is in close proximity. Designers should form their own evaluations of site-specific conditions and use their own engineering judgment to determine the shielding that they judge appropriate for each situation.

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ROADSIDE DESIGN 10.2.7.6 Driveways and Ramps Adjacent to Bridges and Culverts

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Perhaps the most commonly encountered special problem in developed areas occurs where the proximity of a driveway or ramp to a bridge or culvert prevents use of the standard length transitions from bridge rail to highway rail. Guidance on dealing with these situations may be found in numerous places throughout this chapter, but is compiled and repeated here for the designer=s convenience. The guidance has been organized in the form of a step by step procedure to determine an appropriate, customized barrier design for the specific conditions at a site where an access point (ramp, driveway, street) is too close to a bridge to permit use of a standard length guide rail transition. There are three primary areas of concern that should be addressed in the design process. Concern 1. The barrier transition should minimize the possibility of a vehicle crashing on the end of a bridge=s parapet wall or bridge railing system. This is usually the easiest of the three concerns to address. A range of acceptable details have been developed and are presented on the Bridge Detail drawings and the Standard Sheets. They, and therefore this Concern 1, will not be discussed further in this chapter. What would be the likely consequences of a vehicle reaching the feature(s) beyond the proposed location for the barrier? What would be the likely consequences of a vehicle striking the barrier or its terminal immediately downstream from the driveway or ramp?

Concern 2. Concern 3.

Concerns 2 and 3 help guide the judgments that must be made in the following recommended procedure. 1. 2. 3. 4. Evaluate the risks that would be encountered in the absence of a barrier. Based on the risks, decide what degree of shielding effort is desirable. Evaluate what restrictions there are that would limit installation of the desired shielding. Select barrier type and provide location details.

No process can provide satisfactory solutions for all possible occurrences. There is simply too much variability in the range of possible events. Outcomes will vary widely depending on highly variable factors such as vehicle speed, angle of departure from the highway, pavement surface conditions, side slopes, traffic volumes or depths of water under the bridge, growth or removal of trees from the shielded area, etc. Injury outcomes will also be highly dependent on the type of vehicle being driven. Based on both frequency of the vehicle in the stream of traffic and the ability to provide systems appropriate to the vehicle type, the vehicle type that should be designed for will be mid-sized vehicles, such as passenger cars, pickups, vans and sport utility vehicles, rather than large trucks or motorcycles.

A.

Risk Evaluation

In order to analyze the above Concern 2, the features that could be encountered can be classified into four levels of risk. Risk Level 1. The errant vehicle would endanger lives beyond those of its occupants. The typical case would be if the feature the bridge is crossing is a high-speed,

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high-volume freeway, where an intruding vehicle could produce a multivehicle pileup with multiple fatalities. Risk Level 2. The errant vehicle would encounter a feature(s) likely to kill its occupants. The most common example of this would be a deep body of water that could cause drowning deaths. The varying degrees of danger posed by water features are discussed in Section 10.2.1.1. Another example would be a deep gorge where the vehicle could land upside down. Risk Level 3. The errant vehicle would encounter features likely to cause a crash severity significantly greater than elsewhere along the roadside. Example would be a dry stream bed that the vehicle would dive into or a steep embankment likely to cause a rollover. Another example would be trees or similar fixed objects in locations that would offer significantly less braking opportunity than is available in the clear zone at other points along the highway. Risk Level 4. The errant vehicle would encounter features essentially identical to other features found along the roadside. An example might be found on a lowvolume rural highway with very narrow clear areas. A vehicle that went beyond the location proposed for the guide rail would typically crash promptly into trees at the edge of the clear area and would be very unlikely to reach the feature that the bridge crosses over.

B.

Selecting the Objective for the Barrier

When addressing Concern 3 (the consequences of striking the barrier), the designer should consider the risk level of the features being shielded. The more important it is to prevent the errant vehicle from passing behind the barrier, the more acceptable it is to use a barrier that yields little and whose rigidity is less forgiving when struck. For Risk Level 1 cases, where penetration by the vehicle will endanger multiple lives, it is appropriate to provide a barrier that will, with a high degree of reliability, prevent a vehicle from passing the barrier, even if a collision with the barrier is likely to endanger the lives of those in the errant vehicle. As an example, it might be appropriate to provide a concrete barrier to prevent an errant vehicle from crashing down onto a freeway and causing a multivehicle pileup. Whether the occupants of an errant vehicle crash into a concrete barrier or down into busy traffic, they are at risk. The freeway users should not also be placed at risk. For Risk Level 2 features, such as a deep body of water, it is desirable to provide barrier to prevent an errant vehicle from reaching the feature. However, the consequences of striking the barrier must be weighed against the consequences of reaching the feature. Shielding a stream with a concrete barrier would be a poor choice if ending up in the stream is likely to be more survivable than a high-angle crash into a concrete barrier close to the road. It will generally be preferable to provide a guide rail system that will yield when impacted, even if there is an increased chance that the yielding system may permit some vehicles to reach the water. (If trees are left in place that will prevent the errant vehicle from reaching the water, the potential hazard being shielded ceases to be the body of water and becomes the trees themselves; a Risk Level 3 problem.) A similar strategy can be adopted if the feature the bridge crosses over is a highway with high-speed traffic, but low volumes. In this case, there is some possibility that an errant vehicle which reaches the lower highway, at any speed, will be involved in a collision with a high-speed vehicle, but a large chance that it would not. The guide rail between the ramp or

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driveway and the lower highway should be flexible to minimize the consequences of colliding with it, particularly if there is a low probability of disastrous consequences if the vehicle reaches the area beyond the rail. For a Risk Level 3 condition, one where the area behind the rail has significant hazards but does not include Apotentially fatal at any speed@ hazards, it is desirable to provide a barrier system that could safely prevent vehicles from reaching the hazards. If that is not reasonable, the next acceptable option is to have the barrier function as an attenuating structure, slowing the vehicle, but not necessarily being able to stop it. If the speed can be significantly reduced before the vehicle strikes a fixed object, the accident severity will also be significantly reduced. For a Risk Level 4 situation, one where the conditions behind the rail are not significantly different from those of the prevailing clear zone, the primary requirement of the guide rail and terminal system is that the typical collision with the system not result in an accident that would be more severe than if the system had not been present. In other words, the primary goal should be to minimize the hazardousness of the guide rail and terminal. As a secondary goal, it is desirable for the terminal system to provide attenuation.

C.

Site Restrictions

Once it has been decided what the desired shielding should be, the site restrictions should be evaluated to determine what can reasonably be accomplished. In some instances, it may be reasonable to consider moving the driveway or street farther away from the bridge to permit placement of a better barrier transition. This would be the case if the relocation was relatively easy to perform and it was judged important to obtain additional space to achieve a reasonable barrier transition. In addition to longitudinal restrictions, there may be lateral restrictions to guide rail placement, typically due to Right-of-Way limits, but sometimes due to the presence of buried utilities or steep drop-offs. A given site may be categorized as: $ $ $ Laterally unrestricted, such as where the intersecting access is an on ramp within state ROW, Moderately restricted laterally, such as where there is a 10 ft to 20 ft width of ROW beyond the shoulder, or Tightly restricted laterally, such as where there is less than 10 ft beyond the shoulder within which the guide rail and its terminal may be placed.

In some instances, it may be reasonable to consider widening the space available for placing the terminal. This would be the case if it were relatively easy to flatten some side slopes. If it was deemed very important to provide additional width to permit placement of a barrier, it might be appropriate to purchase property or to arrange for a permanent easement.

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10-124 D.

ROADSIDE DESIGN Type Selection and Alignment Details

Once the Risk Level has been judged, the intended function of the barrier system has been decided, and the site restrictions have been determined, the designer should address type selection and placement options. D.1 Type Selection

There are essentially only three types of highway barrier that are currently approved for use in or immediately after transitions from bridge rail and parapet walls. These are box beam, HPBO corrugated beam, and concrete barriers. The concrete barrier is a good choice when the objective of the barrier is to prevent an errant vehicle from passing beyond the barrier and this objective over-rides concerns about the severity of the collision with the rigid barrier. A challenge to its use is how to place it on a tight curve. Prefabricated units are usually straight sections and poured concrete barriers are typically slip-formed in relatively straight configurations. To smoothly follow a curve, the barrier needs to be poured into curved forms. Another challenge is selecting an end treatment. Refer to Section 10.2.5.5 and 10.2.6 for discussion of means of terminating concrete barrier. Box beam and HPBO W-beam both perform satisfactorily at redirecting vehicles when they are aligned parallel to traffic. Different considerations apply when they are curved sharply away from traffic or positioned perpendicular to traffic. On a tangent run, W-beam gets much of its strength from the Abow string@ effect of tension that develops between the anchor systems when the rail is deflected. If a tight convex curvature is placed in the run, however, most of the guide rail=s resistance to deflection must come from the support provided by the heavy posts. The system can be made stronger, but less forgiving, by adding intermediate posts. With high-energy, right angle impacts, there is an increased likelihood that bolts connecting individual pieces of rail will tear through the ends of the rail. If the pieces separate, the vehicle will be able pass through the rail system The strength of box beam which has been curved to run down a ramp can vary greatly depending on where it is struck. Since it lacks an end anchor, a lateral impact near the end will encounter fairly low resistance to penetration. The posts used as end anchors simply pull out of the ground or the rail separates from the posts and the rail bends easily as a long cantilever. A lateral impact in the middle of a long tangent run encounters better resistance. In this case, the relatively strong box beam behaves as a beam supported on both ends. Until the beam deflects past them, the weak posts provide significant, but fleeting, support. The rail itself is much stronger than W-beam and less likely to tear through and separate. A severe impact is likely to result from a perpendicular impact into a tightly curved section of box beam that is well supported by tangent sections in line with the ends. In this case, the rail functions as an arch with solid axial support. (If a terminal end is close to the tightly curved section, the arch is poorly supported and will fail as a bent cantilever.)

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In general, the preferred placement option will be to curve the barrier to run it up the side of the intersecting ramp, road, or driveway. The first reason for this preference is that it will generally be preferable to hit the side of a guide rail system rather than its end. The second reason is that the farther back from the main road the barrier can be extended, the more thoroughly the barrier will shield the approaches to the feature the bridge is crossing over. In most laterally unrestricted situations, the preferred option will be to transition from the bridge rail system to the highway rail system and run it down the intersecting ramp or road. In instances that are tightly restricted laterally, the area behind the terminal should be considered. If there is relatively little lateral distance to obstructions, then a conventional turned down terminal for a W-beam rail or a Type IIA terminal for a box beam rail will be acceptable. (Type I terminals should not be used if they can not be flared away through at least 20 degrees.) While a turned-down terminals might contribute to rollovers if there was more open space, that risk is not significant if there is very little space. Use of the comparatively expensive proprietary NCHRP350 compliant terminals does not make economic or safety sense as they are also likely to gate vehicles through to the shielded objects. If the area behind the rail appears to provide good recovery opportunities, but the barrier can not be flared back, serious consideration should be given to using an NCHRP350 compliant terminal. The choice between that and a conventional turned down terminal should take into account the traffic speed, volume and any significant accident history or adverse geometry that would be likely to contribute to future accidents. If the clear area behind the rail allows access to an area that should be shielded, consideration should be given to providing a supplemental run of guide rail upstream from the intersecting road or driveway as illustrated in bottom panel of Figure 10.4c. The sites that are moderately restricted laterally tend to have the most straight-forward solutions. Usually, the rail should simply be flared back as far as the restriction will permit. This places the terminal as far from traffic as possible and does as much as possible to shield access to the features the bridge is crossing over. As mentioned earlier, the loosely anchored end of a box beam guide rail does not have a high resistance to vehicle penetration to the area beyond the terminal. If it is considered important to prevent access to the feature the bridge is crossing, consideration can be given to placing a separate Arun@ of rail beyond the terminal to act as a backup. This short section of barrier could consist of a single length of rail supported on heavy posts and located close to the shielded feature. Its intended function would be as an attenuating structure to capture vehicles that passed the primary run of guide rail connected to the bridge rail or parapet wall.

10.2.7.7 Hydrant Fenders Hydrant fenders are similar to bollards and are placed beside hydrants with the intent of preventing vehicles from striking the hydrants. They should only be placed in an urban setting behind a parking lane, within or adjacent to parking areas, or in similar settings where they will not be directly accessible to errant high-speed vehicles.

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10-126 10.3 EXISTING FACILITIES

ROADSIDE DESIGN

The roadside design concerns that should be addressed on an existing facility are typically dependent on the roadside conditions and the type of project to be undertaken. There is some interaction between these factors. The roadside conditions can influence what type of project is undertaken. Conversely, the type of project can influence the extent of the roadside improvements to be done, or even if the roadside is to be addressed. Roadside conditions on existing facilities will be addressed on reconstruction projects and on 3R and 2R (simplified 3R) projects. On 1R projects, the scoping and/or Road Safety Audit team will note the condition of the roadside and other issues. They will determine whether or not to recommend that specific features (e.g., the length, type, or condition of guide rail; brush removal, clearing and grubbing; or fixed objects), be addressed by the project. As needed, roadside work is to be included in 1R projects to avoid degrading safety or to address existing or potential safety problems. The Regional Director will make the final decision on what features will be addressed. On guide rail replacement/installation projects, the scoping and/or Road Safety Audit team should consider the relationship between the clear area and the guide rail. If improvements can reasonably be made to the clear area so that a specific run can be removed, significantly shortened, or not installed, then the project should include clearing (and regrading if appropriate) at those locations. If there are areas where the clear area is judged inadequate for the project objectives, then the area should be widened or the potential hazards shielded. In general, a clear zone width does not have to be documented for a guide rail project, but the decision to remove a run should be, along with the rationale. Roadside conditions will generally not be addressed by maintenance-type activities, such as restriping, sign and signal, bridge cleaning or painting, pavement sealing, etc. For other types of projects not covered by the above guidance, refer to the guidelines for that project type to determine the extent to which the provisions of this chapter apply. Broadly, for those projects that involve roadside design, the process will include site evaluation, design, and documentation. For any projects involving roadside design on existing facilities, evaluation should consider the factors covered in Section 10.3.1.2, Site Inspection. For projects that require that roadside design be addressed, an accident analysis should also be performed, as discussed in Section 10.3.1.1. A less rigorous accident analysis may be required for 2R projects (see the current guidance for that project type) and less still for 1R projects, which require a simple analysis of site-related computerized accident data. The roadside design for reconstruction projects and for interstate and freeway 3R and 2R projects should follow the guidance in Section 10.2. For other existing facilities whose projects need to address roadside design, particularly non-freeway 3R and 2R projects, the clear zone guidance should follow Section 10.3, while the design of barrier systems should follow the guidance in Section 10.2 with the modifications permitted in Section 10.3. Documentation of roadside designs should follow the guidance in Section 10.2 with exceptions noted in Section 10.3.

10.3

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Table 10-6 Location of HDM Guidance on Roadside Design Process for Existing Facilities

PROCESS STEP
Interstate and Freeway 2R/3R, Reconstruction Site Accident Evaluation Analysis Site Inspection Determination of Detailed Scope of Work Remediation of Features Included in Detailed Scope 5.3, 7.2.5 and 10.3.1.1 10.3.1.2 7.2.1.2 and 10.3.2.1 7.2 and 10.2

PROJECT TYPE
NonFreeway 2R/3R 5.3, 7.3 and 10.3.1.1 10.3.1.2 7.3 and 10.3.2.2 10.2 and 10.3.2.2 B Other

5.3 and 10.3.1.1

10.3.1.2 See Guidance for Specific Project Type 10.2

Projects involving existing facilities present special opportunities and problems. The main opportunity is the ability to assess how the safety systems have actually performed and to evaluate how much of a problem some deficient features have been. The first major problem in working with existing facilities is the number of restrictions placed both on (1) the amount of space that may be used for clear zones and placement of safety features and (2) the construction effort in order to accommodate traffic. The focus of Section 10.3.1 is on the second major problem with existing facilities, which is how to determine an appropriate scope of work for the selected type of project. Unlike a new facility where everything must be built new and to current standards, an existing facility may contain many components that have aged and possibly deteriorated and systems that are no longer the preferred system. It would be economically prohibitive to upgrade all features on a project to current guidance or standards any time that section of highway is worked on. Judgment must be exercised to decide whether a feature can still function adequately even though it does not conform to current guidance.

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10-128 10.3.1

ROADSIDE DESIGN Evaluation of Existing Facilities

The proper evaluation of an existing facility includes two primary activities. First, the relevant accident data should be reviewed for indications of features that are not performing well or locations where extra attention to roadside design may be appropriate. Second, a detailed site inspection should be performed to determine possible explanations for recorded accidents and to identify nonconforming features and roadside safety concerns and opportunities.

10.3.1.1 Accident Analysis Prior to site inspection, the project developer/designer should review computerized accident data, as required for most project types. Refer to Chapter 5, Section 5.3, for a description of the various components, options, and interpretation guidelines for accident analyses. In some instances, it may be possible to perform one analysis to cover both scoping and design needs. On larger projects, it will generally be necessary to perform a preliminary analysis during project scoping, followed by a detailed analysis during design. While not required for some project types, an accident analysis is advisable for any project involving roadside design. (At present, all reconstruction, 3R, and bridge projects (except minor bridge rehabs) require accident analyses. The 2R safety screening may also indicate the need for a detailed analysis.) Any significant accident patterns that show up should be investigated in the field. (Note that, on some low-volume roads, there will be fewer accidents and trends may only become obvious if more than three years of accident data are investigated. Input should be sought from the Regional Traffic Engineer regarding the accident history and the appropriate length of study period.) The project developer/designer should try to determine if any specific highway features contributed to the accidents so that appropriate mitigative measures can be evaluated.

10.3.1.2 Site Inspection The level of information needed to secure design and PS&E approval is typically more detailed than that required to reach project scoping closure. In some instances, however, it may be convenient to make one detailed inspection to satisfy both functions. Regardless of when it is accomplished, a detailed site inspection shall be performed for any proposed project where significant modifications to the guide rail system or the clear zone are normally included in the project. Where vegetation may obstruct the view of the roadside area, it is desirable for inspections to be scheduled for shortly after mowing. Detailed site inspections should not be scheduled for times when features may be obscured by snow cover. As noted in Chapter 13, the detailed site inspection should be coordinated with the Regional Utilities Engineer to identify any utilities that may need to be moved or altered to achieve the desired safety improvements. The Regional Landscape Architect or Environmental Contact should also be involved, especially in developed and/or environmentally/culturally sensitive areas. Section 10.2.1 describes a key issue that should be understood before discussing roadside site inspections. The issue relates to the distinctions between concerns for safety and for liability. The primary concern is to address safety. With respect to roadside design, safety is addressed by the term clear area, while the term clear zone relates to liability. Clear area is th e portion of the roadside environment, starting at the edge of traveled way, from which hazards are 10.3.1 6/28/2010

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essentially absent. The clear zone is the portion of the roadside environment, starting at the edge of traveled way, which the Department commits to maintaining in a cleared condition for safe use by errant vehicles. Clear area refers to a physical reality while clear zone refers to an obligation. The clear zone commitment may be conveniently defined as one or several uniform widths. The width of the clear area can not be conveniently defined as it varies continuously along the highway and will change over time. However, it is the actual clear area, not the invisible clear zone, which affects the safety of occupants of errant vehicles. Therefore, when evaluating the safety of a facility, the scoper/designer should first examine the clear area. Only after the safety provided by the clear area has been addressed should attention be given to establishing limits of liability by documenting the clear zone width(s) for a project. For scoping purposes, the clear area portion of the inspection may be aimed at generalized conditions. Examples of impressions that should be recorded include the following: general adequacy of the clear area width frequency of locations where the clear area appears too narrow ease with which narrow clear areas could be expanded ease with which appropriate widening of the wider portions of the clear area could be achieved evidence of previously constructed clear areas that need to be reestablished presence of trees or other fixed objects in the clear area needed for guide rail deflection influence of embankment steepness on the safety effectiveness of the clear area need for additional barrier where acceptable widths of clear area can not be reasonably obtained A roadside inspection performed to support detailed design should be more exacting, but may or may not warrant development of more detailed documentation, as discussed in Section 10.3.3. Ideally, the inspection for detailed design will occur after the scoping team has made their recommendation for the clear zone width(s) and any clear area widening. The detailed roadside inspection should be sufficient to support making decisions on the following issues: the limits of any clearing or regrading to be shown on the plans, including clearing for guide rail deflection specific limits of any locations where the clear zone will be designed to widths narrower than the target set by the scoping team locations of any specific features that may need to be targeted for remediation, such as those described below in subsection B, Identification of Roadside Safety Concerns and Nonconforming Features specific locations where potential hazards will remain within the clear zone and either need new barrier to be placed or documentation of the decision not to shield When in the field, the project developer/designer should look for any evidence of previous impact accidents as indicated by paint marks or damage on objects other than barriers, as these will provide a good indication of where some combination of signage, geometric, or clear area improvements or guide rail placement may be needed. The project developer/designer should also note locations where moderate improvements to the roadside environment would permit establishment of a satisfactory clear zone and allow the guide rail to be eliminated. When noting nonconforming features and potential hazards during the site inspection, attention should be focused on the features that are within, or will form, the boundaries of the clear zone. Where expansions are being considered, safety concerns should

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be noted to the limits being considered. As noted in Section 10.2.1.1, however, features that may reasonably be expected to be reached by an errant vehicle and that may be hazardous when encountered at any speed should be noted, even if they are beyond the clear zone. It is desirable for the project developer/designer to make a written record of the site inspection for inclusion in the project documents. The purpose of this effort is to further document that the Department was diligent in its efforts to provide a reasonably safe highway. As a minimum, state in the design approval document what specific clear zone widths have been selected for each side of the road (in both directions of travel on divided highways) and each segment of highway and state that all obstacles and nonconforming features, except the noted exceptions, are to be removed from those zones. However, sufficient detail must be obtained to develop the quantity estimates.

A. Desirable Content of Site Inspection Records Ideally, the record should list the date of the inspection, the name of the person(s) performing the inspection, their functional responsibilities (i.e. Traffic, Maintenance, Construction, etc.), and descriptions of the points where the inspection began and ended. Each shoulder (or side of the median, when appropriate) should be listed separately. It is desirable for the record to include a list of brief descriptions of observed roadside safety concerns and nonconformities and for the location of each to be identified by reference to readily identifiable landmarks, established stationing, surveyed baseline or reference markers. Where groups of potential hazards are present, such as trees, utility poles, or driveway ramps, the type may be given once, followed by a location list. Offsets from edge of travel lanes should be noted. As an aid to subsequent scoping/design, the project developer/designer may make note, in the field, of possible remedies to observed deficiencies.

B. Identification of Roadside Safety Concerns and Nonconforming Features Nonconforming features (defined in Section 10.1) that should be noted during detailed site inspection include, but are not limited to, the items presented in the lists below. The lists include barrier-related items, cross-section-related items, fixed objects, and roadside obstacles. These lists are not all-inclusive, nor in priority order. Rather, they serve to illustrate the types of features that should be noticed during inspection. The guidance and/or standards for the type of project selected will determine which features must be remedied. It should be noted that the presence or identification of a safety concern or nonconforming feature within the proposed project area does not necessarily require the remediation of that feature. Remediation of a specific feature may not be required by the project type that is determined to be the best type for the prevailing conditions. As a case in point, 3R projects have a "basic safety package" of features that are to be addressed while other features may not need to be addressed if they do not have an associated accident history. Barrier-Related Nonconforming Features and Safety Concerns The designer should be cautious about specifying "Reset" or "Replace in kind" when dealing with barriers and attenuators. The adequacy of a barrier's type, placement, anchorage, etc., must be carefully reviewed. Attenuators of any kind should be reviewed to confirm that their design and placement are appropriate for the anticipated speeds. Any new or replacement barriers or 10.3.1.2 6/28/2010

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attenuators shall be installed in conformance with current standards, including point of need, or an explanation provided in the design approval document. In general, the following and similar instances of outmoded guide rails shall be upgraded to current standards or the conditions warranting their use shall be eliminated, unless it is prudent and permitted to do otherwise for the type of project being progressed. Some of the items, indicated by asterisks, may be acceptable in certain circumstances. 1. Old "boxing glove" or "spade" terminal sections or no end treatment on the lead end of corrugated beam guide rail. 2. Concrete guide rail posts. 3. Outdated guide rail types. 4. Box beam with external couplings or single-bolt (per side) internal couplings. Box beam guide rail or median barrier installed prior to June 12, 1975, are not to be reset and should be removed and replaced whenever practical. Refer to Section 10.5.7. 5. Unremoved wooden posts on driveway openings in guide rail (old design). 6. Previous generation weathering-steel guide rail posts that have experienced severe rusting at the ground line. 7. Deteriorated or nonfunctioning guide rail. 8. Damaged guide rail.* 9. Guide rail with mounting heights (after resurfacing) above or below the limits specified in Table 10-7. 10. Unanchored cable or W-beam guide rail. 11. Breakaway hinges that have been welded together. 12. Inadequate tension in cable guide rails. 13. Cable guide rail on radii tighter than 440, such as at corner intersections. 14. Rising or tilting of cable guide rail anchor blocks.* 15. Excessive erosion around guide rail post systems. 16. Utility poles, boulders, trees over 4 inches in diameter, or similar fixed objects within the deflection distance or clear runout area of a barrier system. 17. Isolated trees within the clear zone.** 18. Growth of trees (not yet 4 inches diameter) within the deflection distance of guide rail.* 19. Guide rail anchorage not flared back to within 1.5 ft of current guidance. 20. Guide rail that interferes with access for disabled persons or sight distance requirements. 21. Guide rail anchorage not carried fully to adjacent back slope.* 22. Guide rail not meeting point of need requirements.* 23. Lack of durable separation barriers for cliffs or deep bodies of water.* 24. Unshielded ends of bridge railings or parapet walls. 25. Bridge approach guide rail not attached to structure in a crashworthy configuration. (See AASHTOs Roadside Design Guide) 26. Unshielded abutments and wing walls. 27. Unshielded bridge or building piers. 28. Unshielded blunt ends of concrete barriers within the clear zone. 29. Curbs that are unwarranted, vertical faced, or higher than 4 inches on high-speed highways.* 30. Curbs over 4 inches high placed 1 to 10 feet in front of barriers on medium- or highspeed highways.* 31. Curbing, other than traversable, within 10 ft in front of flexible guide rail on highspeed highways.* 32. Any type of curbing used in conjunction with concrete barrier.

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ROADSIDE DESIGN 33. Curbing used in front of crash attenuators. 34. Concrete filled steel posts or railroad rail protecting breakaway fire hydrants. 35. Absence of 200 lb sand barrel at front of array (to accommodate small automobiles). 36. Old Hydrocell impact attenuators no longer meeting manufacturer's criteria. 37. Posts inclined more than 15 degrees from vertical. 38. Type I terminals not flared away from traffic.* 39. Type II terminals on high-speed highways.*

* Items followed by asterisks may or may not require remediation, depending on the degree of unconformity, site restriction, or other conditions. Engineering judgment should be applied in determining whether and to what degree remediation is warranted. ** Items followed by a double asterisk may be determined acceptable in special circumstances, but should have the rationale documented if not remediated.

Cross-Sectional and Drainage Feature Nonconformities and Safety Concerns 1. Protruding headwalls on lateral culverts. 2. Squared ends or headwalls on longitudinal drain pipes with diameters over 12 inches. 3. Where tapered end sections are provided, open, ungrated inlets and outlets on longitudinal drain pipes over 18 inches in diameter. 4. Ungrated, but flush, cross-drainage structures with open widths of more than 32 inches. 5. Nontraversable longitudinal ditches. (See Section 10.2.1.1.) 6. Unrounded edges of ditch bottoms. 7. Unshielded highway embankment fill slopes steeper than 1:3 and higher than 3 feet. (Note that fill slopes steeper than 1:3 but 1:2 or flatter may be retained on all but reconstruction projects as long as their height is 3 feet or less. However, such slopes should be flattened when the scope of the project makes that reasonable.) 8. Unshielded nontraversable lateral ditches and waterways. (See Section 10.2.1.1.) 9. Lateral embankments (driveway ramps, etc.) with slopes of 1:2 or steeper and heights greater than 2 feet. 10. Median crossovers with longitudinal slopes steeper than 1:6 for high-speed roads and steeper than 1:4 for roads with operating speeds of 40 to 50 mph. 11. Unrounded shoulder breaks above slopes steeper than 1:5. 12. Clear zones ending at uneven rock cuts or outcrops with protrusions over 6 inches. 13. Sidewalks, curb ramps, and other pedestrian facilities that do not meet ADA guidelines. Fixed Objects and Roadside Obstacles. Fixed objects are defined as permanent installations, limited in length, which can be struck by vehicles running off of the road. Because of their limited extent, fixed objects should usually be removed from the clear zones, rather than being shielded with a barrier. During the site inspection, attention may be limited to those objects that are within the existing designed clear zone width, except in areas where it is reasonable to consider expanding the clear zone, in which case objects within the potential clear zone width should be noted. The following items are examples of fixed objects and roadside obstacles. 1. Trees over 4 inches in diameter in the clear zone. 2. "Spearing" fences. (See Section 10.5.2.1.) 10.3.1.2 6/28/2010

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Large planters. Hazardous mail boxes or landscape features. Nonbreakaway signs. Use of inappropriate slip bases on signs: unidirectional where omnidirectional required or unidirectional with wrong orientation. 7. Metal conduits on outside of breakaway poles or posts. 8. Footings protruding over 4 inches (including those for breakaway signs). 9. Driveway headwalls. 10. Fixed objects in a ditch that is likely to capture a vehicle. 11. Utility poles in the clear zone. 12. Walls with snagging features or corners of walls 13. Presence of curbs over 4 inches high on roads with operating speeds of 50 mph or greater. (Also check Section 10.2.2.4 to see whether use of any curbs is appropriate.) 14. "Strong" or "heavy" fences. (Includes Rock Catchment Fences.) 15. Hydrant bases more than 4 inches high. Note that, while trees less than 4 inches in diameter are not considered to be fixed objects, they should still be removed from the clear zone or deflection area. If not, they can grow into fixed objects between the time of one project and the next time that work will be done in the same area. Note also that a few special tree species will not grow to exceed that size and may have been specifically planted with that consideration in mind. Roadside Obstacles. These differ from fixed objects in that roadside obstacles are of considerable length and are therefore generally much less practical to remove or relocate. Note that the location within the clear zone may determine whether the obstacle should be considered a safety concern or a nonconforming feature. (See 10.1 for definitions.) The following features are examples of roadside obstacles. 1. Dense woods. (Items 1, 2, and 3 may also be treated as a series of fixed objects.) 2. Rows of large trees 3. Rock outcrops or boulders intermixed with trees. 4. Rock cuts where fallen rock may reach or has reached the roadway. (Consult Regional Geotechnical Engineer.) 5. Rough or uneven rock cuts with protrusions of over 6 in. in the potential impact zone. 6. Cliffs or precipitous drop-offs within the clear zone. 7. Bodies of water, including streams and channels over 2 ft deep, within the clear zone. 8. Unshielded cliffs or bodies of water that are beyond the desired minimum clear zone, but that are likely to be reached by an errant vehicle. (A safety concern.) 9. Retaining walls with protrusions of over 4 inches. 10. Smooth retaining walls. (A safety concern.) In all cases above, these features should be considered high priority if they are associated with accident clusters or a greater-than-average history of accidents. Note that a smooth retaining wall will generally function like a concrete barrier and should be treated at that low level of concern. As a maintenance issue rather than a safety issue, it may be desirable to shield some panel wall locations to prevent large errant vehicles from damaging the panels.

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Table 10-7 Acceptable Barrier Heights When Upgrading Existing Facilities Acceptable Heights5 Barrier Type Roadside Barriers Cable W-beam6 (weak-post) W-beam (Heavy-post) Box beam 32 Concrete (NJ&F shapes) 42 Concrete (F and Single Slope) Median Barriers Cable W-beam (weak-post) W-beam (Heavy-post) Box beam 32 Concrete (NJ&F shapes) 42 Concrete (F and Single Slope Normal Height1 (in) 29
2

Rail/Barrier Height Upper (in) 31

2

Post Height Upper (in) 34 35 Lower (in) 30 29

Lower (in) 27
2

323 293 273 324 424

353 303 303 334 434

293 283 243 294

31

29

30 -

24 -

32

282 333 293 303 324

302 363 303 333 334

262 303 283 273 294

33 36

29 30

31

29

26 -

21 -

424

434

324

Notes: 1. Normally measured from the surface directly below the barrier. Measure from the pavement surface if curb is present within 12 inches of the railing. 2. Center of top cable at mounting point. 3. Top of rail at post. 4. Top of barrier. 5. Measured after resurfacing, when applicable. 6. The W-beam referred to is the Modified G2. Most weak post W-beam currently in service at the time of this publication is the older G2 system. The Modified G2 was developed to address vaulting problems with the G2. Among the changes was a two-inch increase in rail height from 30 to 32. The old height criteria for existing G2 systems previously allowed a minimum height of 27 which is no longer permitted. Whether a weak post W-beam is the G2 or the Modified G2, the allowable height range for existing installations is 29 to 35. (In the G2, the rail splice was fastened to the post. In the Modified G2, the splice is between the mounting posts.).

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As used here, determining the detailed scope of work is meant to include detailed decisions about whether or not a given specific feature will be included as part of the work. This should be distinguished from project scoping which is a comprehensive assessment of the nature of the project and what it is to accomplish. Guidance on project scoping is contained in the Project Development Manual. If the project is to be a reconstruction project or an interstate or freeway 3R or 2R project, the clear zone width should be selected in conformance with the guidance in Section 10.2.1. Section 10.3.2.1 contains guidance for establishing the detailed roadside design scope, while the remediation of nonconformities and creation of roadside design safety features should be performed in accordance with the guidance for new and reconstructed facilities contained in Section 10.2. If the project will be a nonfreeway 3R or 2R project, the detailed scoping for roadside design considerations should be developed in conformance with the guidance in Section 10.3.2.2. For element-specific project types that may involve roadside design, such as Guide Rail Only, Safety Improvement, etc., the detailed scope of work should be developed in accordance with the guidelines for the specific project type and, as appropriate, taking into consideration the nonconforming features and safety concerns identified in Section 10.3.1.2. For large or complex projects, different parts of the project may be progressed as different project types, such as portions of a 3R project being done as a reconstruction job, or vice versa. When separate types are used on the same job, the appropriate standards should be used to develop that portion of the project or that alternative. Also, if the project type changes during scoping or design, then the appropriate roadside treatment must be changed to reflect the requirements for the new project type. Regardless of the project type, it is recommended that the final roadside design detailed scoping decisions be documented as indicated in Section 10.3.3.

10.3.2.1 Reconstruction Projects It is intended that a reconstruction project bring an existing facility up to current standards. It is occasionally (frequently, in developed areas) not reasonable to do so in all areas of the project because of environmental, economic, or other considerations. Consequently, the width of the clear zone may need to be reduced in these situations from the desired to what may be reasonably achieved and all nonconforming features removed from that clear zone, or, as appropriate, shielded with a suitable barrier. Any of the nonconforming features noted during site inspection should generally be suitably remediated or, where upgrading or removal is judged inappropriate, the rationale should be developed and documented in the Design Approval Document. If nonconforming features are noted after the DAD has been finalized and those features will not be remediated, the rationale should be documented in the project files or, preferably, on the project plans.

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10.3.2.2 3R Projects (Resurfacing, Restoration, and Rehabilitation) (Note: In regard to roadside design, Interstate and other freeway 2R and 3R projects should be treated the same way as reconstruction projects. For further details, refer to Sections 10.2 and 7.2 of this manual.) The major difference between roadside design for a reconstruction project and for a 2R or 3R project is the amount of effort that should be applied towards obtaining the desired clear zone width. On a reconstruction project, the effort to achieve the desired width should extend to what can be reasonably attained when considering factors such as cost, environmental impacts, timeliness, project scope, etc. On a 3R project, unless there is an accident history related to the roadside or the clear zone width is otherwise judged inadequate, any increase in the existing width may be limited to that which may be conveniently attained. While the widths that are developed for either project may vary, in both cases the quality of the zone (traversability, absence of fixed objects) should be similar. Subsection A, below, describes the rationale for determining an adequate clear zone width. Subsection B lists some of the items that are part of the "basic safety package" for features within or adjoining the clear zone. Beyond this work, the decision to upgrade a given feature (typically done so that the effective width of the clear area may be increased at that location) may be based on evidence of that upgrade being either (1) part of an appropriate solution to an observed accident problem or (2) economically justifiable based on potential safety benefits. The decision process is discussed below in subsection D. A. Clear Zone Width Determinations for Nonfreeway 3R and 2R Projects In general, at least the width of the original clear zone should be restored. In determining the adequacy of the existing clear area, the accident history at an existing facility will be a primary consideration. Efforts should be made to provide as much clear area width as is reasonably convenient, unless the presence of a roadside-related accident history indicates that greater efforts should be made. If the number and severity of run-off-road accidents is at or below average for similar facilities statewide and there are no accident clusters, the greater of either the prevailing or the originally constructed clear area widths may be considered adequate for highways that do not have designed clear zone widths. As a minimum for highways that were constructed with designed clear zone widths in accordance with guidance (such as the Highway Design Manual, AASHTO's Roadside Design Guide or Guide for Selecting, Locating and Designing Traffic Barriers, 1977 [or its 1980 supplement], or the Highway Research Board's NCHRP Report 54 Location, Selection and Maintenance of Highway Guardrails and Median Barriers [1968] or Report 118 Location, Selection, and Maintenance of Highway Traffic Barriers [1971]), the existing clear area width is to be maintained or the width of the originally designed clear zone restored, whichever is greater. (Previously constructed clear areas usually represent a significant tax investment in ROW, clearing, and grading that should be maintained as clear area, unless there is very little potential public safety benefit to be obtained from the effort.) See Section 10.3.2.3 for guidance on highways where tightly restricted conditions prevented the construction of designed clear zones.

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If the accident analysis indicates a run-off-road problem, efforts should be made to determine how to treat the cause. If it is indicated that the clear zone width may be a significant factor in the accident experience, the guidance for determining clear zone widths for new facilities (presented in Section 10.2.1) should be used to evaluate the clear zone adequacy in the problem area. In some instances, the accident history may justify using clear zone widths that are wider than the desired clear zone widths obtained using the procedure outlined in Section 10.2.1. Additionally, where the project scope includes significant changes to existing conditions, the project developer and scope team should review factors that would affect whether the width will still be adequate for anticipated conditions. Factors that should be reviewed include: anticipated increases in operating speed, traffic volume, embankment slopes, highway grades, and roadside development. The designer should decide whether the anticipated changed conditions warrant changes to the prevailing clear zone widths and, if so, should estimate what widths will be adequate. Such determinations rely heavily on professional engineering judgment. Wherever reconstruction or realignment work is included within a 3R project, that portion of the project should follow clear zone requirements for a reconstruction project. B1. "Basic Safety Package" for Roadside Work on Nonfreeway 2R and 3R Segments with Design Speeds over 40 mph (60 km/h) 1. Clear Zone a. Fixed objects should be removed from the clear zone widths or suitably modified. b. Where a reasonable clear zone width can not be obtained, appropriate guide rail or other barriers are to be installed or an explanation provided. 2. Cross Culverts a. Protruding headwalls on cross culverts within the clear zone should be removed and the end treatments replaced or modified to be flush with the embankment surface. b. Unshielded cross culverts or their end sections which are i. within the clear zone ii. at embankments 1 on 3 or flatter, and iii. CMP 18 (450 mm) or larger, or Concrete 20 (525 mm) or larger in diameter should be provided with grating for traversability. The clear span for grating should usually not exceed 8 ft, so end sections wider than 8 ft at a point where their depth is at least 1 ft should typically be shielded with barrier if they are within the clear zone. (To permit traversal by mowing machines, consideration should be given to providing all 1 foot or greater pipe openings in the clear area with grating.) Alternatively, cross culverts may be extended beyond the clear zone or suitably shielded. 3. Ditches a. Lateral ditches within the clear zone should be made traversable. (Refer to Chapter 3 of AASHTO's Roadside Design Guide.) b. Fixed objects, including driveway headwalls, should be removed from ditch lines within, or forming the borders of, clear zones.

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ROADSIDE DESIGN c. Distinctly hazardous ditches within the clear zone should be remediated or shielded. For details, see the following subsection, "C. Treatment of Roadside Ditches on 2R and 3R Projects." 4. Longitudinal Pipes a. If their diameter exceeds 12 (300 mm), approach ends of longitudinal pipes within clear zones and in bordering ditches should be provided with end sections and, if the surrounding transverse embankment is steeper than 1:3, the pipe should be extended and the embankment regraded to a 1:4 slope or flatter, preferably 1:6. b. If the height of the above longitudinal pipe exceeds 18 (450 mm), the opening should be provided with grating to enhance traversability. The minimum grating in such instances should consist of a mat of #8 reinforcing bars welded together on one foot centers. The mat should extend down to within 4 inches of the invert. c. If the accident analysis indicates that any of the piped driveway embankments have been involved in run-off-road accidents, the critical side of the embankment should be flattened to 1:6 and the pipe should be provided with a 1:6 safety end section with built-in pipe grating. (Refer to series 603.1716XX items. Friction fit sleeves are needed when attaching to SICPP pipes.) These end sections and embankment flattening should also be used if, in the designer's professional judgment, a location has a significant likelihood of having an accident. 5. Guide Rail a. All guide rail is to be of a type currently approved to be in service, meet the required standard details prevailing at the time of its installation, set to currently approved heights, and acceptably anchored and flared as necessary. b. Where the related project work requires relocation or resetting of guide rail or placement of new guide rail, it shall be placed in accordance with the requirements for new facilities. Where existing guide rail is not to be relocated or reset, minor discrepancies in placement location are tolerable. Such discrepancies include terminal flare offsets that are within 1.5 feet of standard practice, point of redirection coverage of the point of need short of current guidance by 10 feet or less, and, in instances where a reasonable runout length is provided, anchorage not carried fully to adjoining back slopes. c. The area behind the guide rail is to be free of objects that will interfere with its desired performance and of a width compatible with its deflection distance. d. On curb-guide rail combinations, relocations or curb removals should be made to eliminate the combination placements not permitted in Section 10.2.2.4. e. Any impact attenuation system is to be installed in conformance with current guidance.

B2. "Basic Safety Package" for Roadside Work on Nonfreeway 2R and 3R Segments with Design Speeds of 40 mph (60 km/h) or Less 1. Clear Zone a. Where a reasonable clear zone width (at least equal to the horizontal clearance) can not be obtained in rural areas, appropriate guide rail or other barriers are to be installed or an explanation provided. b. Where a reasonable clear zone width (at least equal to the horizontal clearance) can not be obtained in urban areas, appropriate delineation is to be installed or an explanation provided.

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c. Fixed objects should be removed from the clear zone widths or suitably modified. 2. Cross Culverts a. Protruding headwalls on cross culverts within the clear zone should be removed and the end treatments replaced or modified to be flush with the embankment surface. b. Unshielded cross culverts or their end sections which are i. within the clear zone ii. at embankments 1 on 3 or flatter, and iii. CMP 18 (450 mm) or larger, or Concrete 20 (525 mm) or larger in diameter should be provided with grating for traversability. The clear span for grating should usually not exceed 8 ft, so end sections wider than 8 ft at a point where their depth is at least 1 ft should typically be shielded with barrier if they are within the clear zone. (To permit traversal by mowing machines, consideration should be given to providing all 1 foot or greater pipe openings in the clear area with grating.) Alternatively, cross culverts may be extended beyond the clear zone or suitably shielded. 3. Ditches a. Lateral and longitudinal ditches within the clear zone should have side slopes effectively 1:2 or flatter. b. Where driveways are reconstructed, headwalls should not be placed within clear zones. 4. Longitudinal Pipes a. If their diameter exceeds 12 (300 mm), approach ends of longitudinal pipes within clear zones and in bordering ditches should be provided with end sections and, if the surrounding transverse embankment is steeper than 1:2, the pipe should be extended and the embankment regraded to a 1:2 slope or flatter. b. If the height of the above longitudinal pipe exceeds 18 (450 mm), the slope should be flattened to 1:3 or flatter, and the opening should be provided with grating to enhance traversability. The minimum grating in such instances should consist of a mat of #8 reinforcing bars welded together on one foot centers. The mat should extend down to within 4 (100 mm) of the invert. 5. Guide Rail a. All guide rail is to be of NCHRP 230 or more recently approved type, meet the required standard details, set to approved heights, and acceptably anchored and flared as necessary. b. Where new guide rail is to be placed, it shall conform to current standards and shall be located in conformance with current guidance. c. Where existing guide rail is not to be relocated, minor discrepancies in placement location are tolerable. Such discrepancies include terminal flare offsets that are within 1.5 (0.5 m) of standard practice, point of need short of current guidance by 10 (3 m) or less, and, in instances where a reasonable runout length is provided, anchorage not carried fully to adjoining back slopes. d. The area behind the guide rail is to be free of objects that will interfere with its desired performance and of a width compatible with the deflection distance anticipated for the design speed.

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When, in the designer's professional judgment, any of the above basic safety treatments can not be reasonably achieved, the rationale for the decision should be documented in the Design Approval Document or, if the DAD has already been finalized, in the project files or, preferably, on the project plans. In general, the degree of explanation for retention of nonconforming features should be commensurate with the degree of potential hazard presented by the feature.

C. Treatment of Roadside Ditches on Non-freeway 2R and 3R Projects Refer to the guidance in Section 10.2.1.1 C. If it is the designer's judgment that a potentially hazardous ditch can not be reasonably modified to acceptable conditions and can not reasonably be shielded, then an explanation of the decision to retain the ditch as a nonconforming feature should be provided in the Design Approval Document.

D. Inclusion of Additional Optional Work Items on Nonfreeway 2R and 3R Projects When it is convenient to do so, efforts should be made to include within the project scope the remediation of features that are needed, but not required, on 2R and 3R projects. This section addresses roadside considerations. On a given project, several factors affect the relative cost of upgrading. For instance, if a system has several minor deficiencies, the cumulative effect could justify upgrading. Similarly, if work on an adjacent system will require temporary modifications to a second system, the cost of upgrading the second system to preferred practice may be reduced. As an example, if portions of a guide rail run are removed for ditch or slope maintenance work, the cost of changing the offset or anchorage of the rail system will be reduced. Some of the features may have to be taken care of due to related work. For instance, widening or realignment of the roadway may require removal of a guide rail and curb and permit reconstruction to current preferred practice. The potential benefits to safety also vary with project conditions. Removal of an individual fixed object, such as a tree, will yield very little safety benefit if there are numerous other fixed objects in the immediate vicinity at similar offsets from the roadway. Also, if projected traffic volumes are low, the potential benefits of remediating a hazard will be lower since the probability of an accident occurring at a given location are significantly less than on a highvolume road. AASHTO's Roadside Design Guide contains guidance on this type of analysis. Beyond the "basic safety package" items, it is a difficult process determining which nonconforming features and safety concerns are appropriate to include for remediation in a 3R project. The designer should prioritize the features to determine the most appropriate use of the funds available for improving roadside safety. Generally, high priority features will be included while low priority will not. Features that do not fit clearly into either one of these categories may be considered as marginal features: features that should be upgraded if funding is available.

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When it is appropriate to prioritize the marginal features, the designer should first make a rough estimate of the cost to upgrade each of the unaddressed safety concerns and nonconforming features noted during the site inspection. The designer should then use his/her professional judgment to rank the potential safety benefits of upgrading the particular feature. A suggested ranking system assigns a value of 1 to the most beneficial and 5 to the least beneficial. The designer may then compare the estimated costs with the estimated benefits to rank the cost effectiveness of upgrading each deficient feature. (In rare instances, it may be appropriate to use AASHTOs Roadside computer program to aid in the benefit-cost analysis.) The accident analysis should be reviewed with the Regional Traffic Engineer to see if it is appropriate to make any adjustments to the cost effectiveness rankings. Guided by these rankings and, in some instances, the available funding, the project developer and scoping team should determine which features to include for remediation in the project. The Regional Design Engineer or a designee should review and approve the determinations when Design Approval is requested.

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10-142 10.3.2.3

ROADSIDE DESIGN Clear Zone and Shielding Determinations in Tightly Restricted Areas

There will frequently be conditions along existing highways that make it difficult or unreasonable to try to provide a significant clear zone width. In hilly or mountainous terrain, such conditions could include steep drop-offs adjacent to the road or rock cuts or steep soil slopes rising just beyond the ditch line. Other conditions include limited ROW, adjacent developments and protected wetlands. On high-volume highways and on interstates and freeways, the features should be shielded. For other existing highways, particularly those with low volumes, the accident history should be considered. Unless a demonstrated crash history warrants use of barrier or overcoming the difficulties to provide a reasonable clear zone width, an accepted practice is to define a clear zone width that fits within the available space. Since narrow clear area widths will not provide a significant opportunity for errant vehicles to stop or slow before striking fixed objects, some use of barrier may be appropriate, even though the fixed objects are beyond the defined clear zone. The designer needs to decide if, or how much, barrier should be used and where it should be used. Accident history, traffic volume, and operating speed are key considerations. Particularly if the accident rate and severity are high, barriers should be liberally used, if practical. (This may not be appropriate in heavily built-up areas with frequent access points.) Conversely, if there have been few run-off-road accidents and speeds are lower, there is little justification for the use of barrier, even if the clear area widths are minimal. In considering where barriers might be appropriate, priority should be given to three conditions. 1. Features that could be hazardous at any speed, particularly deep bodies of water or high cliffs. 2. On the outside of abrupt or sharp curves. 3. At drop-offs where a vehicle that ran off the road could be hidden from traffic and trapped or injured occupants would remain unnoticed. The utilization of guide rail in tightly restricted areas is left to the designers engineering judgment. See Sections 10.2.2.3 and 10.2.3 for guidance on barrier type selection.

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10.3.3 Documentation of Roadside Design Process for Upgrading of Existing Facilities Documentation of actions, judgments, desired products, and maintenance objectives can be very useful in proving that the States duty to adequately design, construct and maintain its roadways, clear zones, and guide rails in a reasonably safe condition has been met. Since this documentation is frequently needed years after the construction work is completed, retrievability is an important issue. With respect to roadside design issues, documentation may be recorded in the Design Approval Document (DAD) or project files (especially for those projects without DADs), as notes or graphical representations on the plans, or in tables in the project plans. The specific documentation that should be provided and the importance of producing that documentation vary with the type of project and the importance of the subject.

10.3.3.1

Required Documentation of Roadside Design Process and Product

A. Interstate, Freeway, and Reconstruction Projects The Project Development Manual requires that the basis for the selected clear zone widths be discussed in the DAD. The selected clear zone widths may be a restatement of the widths defined from previous work at that location, or may be redefined widths, if appropriate. If clearing must be done to obtain the stated clear zone widths, then the clear zones widths shall be shown in Clear Zone Tables or elsewhere on the plans. Though only as a rare exception, it may be determined necessary to leave a potentially hazardous feature or fixed object unshielded within the clear zone. When this occurs, the decision shall be documented in the DAD (if timing permits) or in the project plans and an explanation shall be provided. Clearing to be done beyond the defined clear zone does not need to be formally documented, but should be recorded as necessary to facilitate the deliberations of the scoping body and transfer of the intent to the designer and of the specific task to the EIC and the contractor. Any changes to barrier location or composition should be clearly indicated on the project plans, most notably as Guide Rail Tables. If it is decided not to place guide railing where it is normally warranted (Section 10.2.2), or not to the normal installation practice, an explanation must be provided.

B. Non-freeway 2R and 3R projects At a minimum, the DAD is to indicate that the adequacy of the clear area for the facility was evaluated. If it was judged that additional clearing is needed to provide an appropriate clear zone for the facility, the width of the target clear zone(s) for the facility should be recorded in the DAD. If the clear zone widths selected during detailed design are less than the target widths identified in the DAD, the design clear zone widths are to be indicated in the contract documents, preferably as a table of clear zone widths in the plans. If the detail design process indicates that the target clear zone widths in the DAD can be used without alteration for the project, then it will not be necessary to indicate the target clear zone widths in the project documents, but plans/documents must contain sufficient information to ensure that clearing to satisfy the clear zone widths is specified or that barrier shields locations where the width of clear zone will not be satisfied. If it was judged that additional clearing is not required for the project, either that evaluation is to be noted in the DAD or the clear zone(s) for the project is to be defined. If the need for additional guide rail or replacement of guide rail or barrier is determined during the scoping 6/28/2010 10.3.3

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process, that need is to be noted in the DAD. If the need for additional guide rail or replacement of guide rail or barrier is confirmed or determined during the detailed design process, the specific barrier needs are to be indicated in the project documents, typically including detailed listing in the Guide Rail Table. If any potentially hazardous feature or fixed object is to be left unshielded within the clear zone, that decision shall be documented in the DAD (if timing permits) or in the project plans, and an explanation should be provided. If it is decided not to place guide railing where it is normally warranted (Section 10.2.2), or not to the normal installation practice, an explanation should be provided.

C. Element-Specific and Maintenance-Type Projects If the type of project does not involve roadside issues, no documentation related to roadside issues is required. If the type of project is one that would often involve roadside evaluation, but it is determined that roadside issues will not be addressed in this instance, then that decision should be noted in the DAD or other project files if a DAD is not involved. If it is determined that the project will involve roadside safety work, such as clearing to meet a minimum clear zone width or placement of barrier to shield features within a selected clear zone width, then that clear zone width shall be indicated either in the DAD or in the project documents. If clear zone issues only apply to a small extent of the project, then documentation of the clear zone width may be limited to that portion of the project. If any potentially hazardous feature or fixed object is to be left unshielded within the clear zone, that decision shall be documented in the DAD (if timing permits) or in the project plans.

10.3.3.2

Desirable Documentation of the Process

Establishing a relatively safe roadside requires the rigorous application of sound engineering judgment. The nature of the process does not lend itself easily to thorough documentation. However, the designer is encouraged to do so to the extent practical in order that a record is preserved of the roadside condition, both before and after construction of the project. Although the previous section describes the required documentation, it is desirable that a clearly defined written record be preserved which documents that an appropriate scoping/design decision process was used. The records summarizing the roadside design decisions should be updated prior to letting and finalized as part of the Post Construction Review (PCR) process defined in the Department's Procedure for Managing Projects. It is desirable for the roadside design summary to contain several elements. 1. Documentation of Site Safety Inspection - This may consist of carefully prepared field notes or the list of the hazards and deficiencies and their locations generated during the accident analysis and site inspection (Section 10.3.1.2 A). 2. Evaluation - On projects where there is significant flexibility as to what should be included in the detailed scope of work, it is desirable that the decision process be documented. It is desirable to be able to demonstrate that for each safety concern and 10.3.3.2 6/28/2010

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nonconforming feature (that is not otherwise mandated for remediation), the cost of upgrading, the relative safety benefit, and the resulting cost effectiveness were considered in determining the best application of the available funds. Where there are multiple occurrences of similar nonconforming features and they will receive similar treatment, it is not necessary to itemize them individually; they may be discussed as a group. 3. Disposition - Following substantial completion of the construction work, it is desirable for the designer to inspect the site with the Engineer-in-Charge or his designee to assess whether any unanticipated potential safety hazards have been created or whether the design has overlooked any relevant nonconforming features. (The documentation of the Site Safety Inspection and the subsequent evaluation should be used as references during the Disposition inspection. Dispositions of nonconforming features may be indicated in a Roadside Design Summary. There are three categories of disposition. A feature may have been (1) upgraded to current guidance, (2) partially upgraded, or (3) not upgraded. If an item has been upgraded to current standards, it may be sufficient to reference a footnote after the item and provide footnotes at the end of the Summary list. If an item has been either partially upgraded or not upgraded, an explanation should be provided. The explanations should be brief but clear. If appropriate, supporting references should be cited. Figure 10-16, presented on the following page, is an example illustrating a possible format for a Roadside Design Summary. The title page should clearly identify the project and its location. It is desirable for the designer and Project Manager to review the Summary with the Regional Traffic Engineer.

Figure 10-16 Example Page of Roadside Design Summary (Presented separately on following page to facilitate photocopying.)

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Project Name/Location PIN CLEAR ZONE SELECTION TABLE

SEGMENT STA STA SIDE OR L) DESIGN SPEED AADT SLOPE BASIC RECOVERY WIDTH, BRW KOC R FACTOR CURVE CORRECTED RECOVERY WIDTH, CCRW .... RECOVERABLE WIDTH TRAVERSABLE WIDTH CLEAR RUNOUT WIDTH DESIRED MINIMUM CLEAR ZONE WIDTH DESIGN CLEAR ZONE WIDTH, CZD

A B C D E F G H I J K L M N O

Explanations for differences between Desired and Design widths:

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10.4

CONSTRUCTION ZONE GUIDANCE

One of the most challenging roadside design problems is the design of appropriate safety features for construction work zones. The system must be designed to provide for the safety of the workers as well as the motorists, bicyclists, and pedestrians. Most of the barriers and many of the other system components need to be designed as temporary features. Where traffic is maintained through the work zone, conditions are usually quite constricted. The traffic control problem may be complicated by the need to complete the project as a staged construction effort. Safety in the work zone is addressed separately in Chapter 16 - Work Zone Traffic Control. Signage, channelization, and a few typical configurations are covered in the National Manual on Uniform Traffic Control Devices (MUTCD) and the New York State Supplement. The information that was formerly included in the following sections is being/has been moved to Chapter 16. Until that move has occurred, readers may refer to the previous version of Chapter 10 for information. 10.4.1 Temporary Concrete Barriers (TCB) Moving/moved to Chapter 16. 10.4.2 Temporary Timber Safety Curb and Median Barriers As explained in EI 03-001, designers should no longer specify timber items 15619.1401 or 15619.1402 in project proposals. 10.4.3 Dragnets Moved to Chapter 16 Moved to Chapter 16 Refer to Chapter 16

10.4.4 Moveable Concrete Barriers

10.4.5 Warrants for Work Zone Barriers

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10.5

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SPECIAL TOPICS

10.5.1 Mailboxes Mailboxes may pose safety problems as a result of either their placement or their construction. Placement problems may arise from several factors. There may be inadequate sight distance due to proximity to crest vertical curves or right horizontal curves. Due to proximity to intersections, vehicles at the mailbox could distract other motorists or interfere with sight distances. Stopped vehicles might also obstruct stop signs. Offset from the road might not be sufficient to allow vehicles to stop far enough out of the traveled way. Placement in or near the sidewalk may reduce the usable sidewalk width below standards. Construction problems would include three categories. A mailbox attached to or surrounded by a structure that will function as a fixed object may be capable of producing a serious impact for an errant vehicle. A mailbox assembly containing elements that can separate upon impact and may produce injury if these elements enter the passenger compartment. A serious and not uncommon example of this is the arrangement where one horizontal plank supports several mailboxes at about the height of a motorist's head. The arrangement of mailboxes could produce ramping and overturning of an errant vehicle. The problem arrangements would typically consist of several closely spaced mailbox posts or a small number of yielding metal posts. The designer should refer to AASHTO's 1994 publication A Guide for Erecting Mailboxes on Highways (Mailbox Guide) or subsequent publications for further guidance on identifying mailbox problems and for designs which address these concerns.

10.5.1.1 Inspections Inspections for problem mailboxes should be performed as part of a project's site inspection. The location and condition of suspected problem mailboxes should be documented and addressed during the design process.

10.5.1.2 Location Details In most cases, mailboxes will already have been located along the highways and will remain in their approximate locations, offset as needed to accommodate highway and shoulder widenings. Nonetheless, some relocations will be necessary or possible. When making relocations, the information given below should be considered. The pay item Mailboxes in 619 of the Standard Specifications may be used whenever it is necessary to provide, remove, set back, or relocate a mailbox or to replace a noncrashworthy support. (Note: "Crashworthy", as

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used herein, means that the feature has been judged to perform in an acceptable manner when impacted by an errant vehicle.) It is not necessary to use item Mailboxes for an existing mailbox if the construction does not require its removal, set back, or relocation. The following information is taken from the previously mentioned AASHTO Mailbox Guide and represents good practice with respect to locating mailboxes. In general, mailboxes should be located on the right-hand side of the roadway in the direction of the delivery route except on one-way roadways where they may be located left or right. When feasible, they should be located on the far side of intersections and at locations where there is sufficient clearance for vehicles to be able to pull entirely off the pavement. An 8 foot, or preferably wider, shoulder or turnout will enable this. The placement of mailboxes along high-speed highways should be avoided if possible. If this is not possible and traffic is heavy and speeds are high, consideration should be given to installing mailboxes on both sides of the road so that postal patrons do not have to cross the road to receive their mail. Discuss this with the local postmaster. In no case should mailboxes be located where access to the box must be made from the lanes of an expressway or where access, stopping, or parking is prohibited. In areas where there is guide rail, the mailboxes should be located behind the railing.

10.5.1.3 Structural Details Mailboxes and their supports shall be in conformance with U.S. Postal Service requirements. They may be made of a variety of materials including steel, aluminum, or plastic. Mailboxes are most frequently mounted on individual supports, the most common of these made from pressure treated or rot-resistant dimension lumber nominally 4x4, round treated posts 4 in diameter, or 2 or less steel or aluminum pipes. All these are typically crashworthy. Railroad rails, milk cans filled with concrete, old metal plows and similar supports are not crashworthy. Noncrashworthy mailboxes and those which do not conform to Postal regulations should not be permitted to be used or remain on projects. Mailboxes gang-mounted on horizontal planks can present an especially hazardous condition and should be remounted on crashworthy individual posts having not more than two mailboxes per post. Individual posts should be installed with a 2.5 ft separation between posts since posts more closely spaced may cause ramping. In the unusual circumstance where there are so many mailboxes being relocated that there will not be room for all while still maintaining the above mentioned post spacing, "cluster boxes" may be a solution. Contact the local postmaster to discuss. "Cluster boxes" are not crashworthy and so may not be located where they could easily be hit. It is acceptable for newspaper boxes to be mounted on the supports, if constructed of plastic or light gage sheet metal. For additional guidance, refer to Section 10.5.6, Public Relations.

10.5.1.2

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It is the general policy of the Department that fences which constitute a hazard, whether privately or State-owned, are to be removed from the clear zone. Fences within the right of way may have been erected either by the Department or by the adjoining property owner. In either case, the designer should be aware that the fences may be a hazard. The next section provides guidance for private fences. The current guidance for the Department's fences, presented in the subsequent sections, is intended to ensure that fences erected at the Departments direction are warranted and are reasonably safe. Details of fencing used to contain rockfall should be developed in conjunction with the Regional Geotechnical Engineer. Unless designed as breakaway features, such fences should be treated as fixed objects with respect to clear zone determinations.

10.5.2.1

Private Fences

It is DOT policy that fences that constitute a hazard within the clear zone, whether private or state-owned, are to be removed. Private fences may pose serious hazards. While most fences are not substantial enough to wreck an impacting vehicle, they may contain elements that could enter the passenger compartment and cause serious injury or death. The most dangerous elements are long horizontal components, roughly 3 to 6 feet above grade, which can separate on impact and "spear" through windshields. Typical examples include split-rail fences and pipe rails on the top of chain link fences. A few fences may be strong enough or heavy enough to constitute a significant fixed object hazard. When fences that are considered potentially hazardous are found to be within the State's right of way, the fences are to be removed, treated, or documented as a nonconforming feature. Positions opposite points of entry or on the outside of curves after a long straight section or long hill are more likely to experience accidents. If, in the professional opinion of the engineer, a particular fence represents a significant hazard, the engineer should notify the owner in writing. The letter should request remediation and suggest appropriate alternatives. It is important that documentation of the effort to remediate be retained in Regional files. Refer to Section 10.5.6, Public Relations, for additional guidance. In addition to the safety aspects of fencing, the designer should be aware of the implications of private fences to land use patterns. While the Department may tolerate casual land use within the right of way, the presence of a private fence within the R.O.W should not be allowed to justify construction of substantial encroachments. Although it is very difficult to detect such activity, suspected problems should be brought to the attention of the Regional Real Estate Group. Prompt action at the start of encroaching construction activity may allow adjustment before the problem involves a completed project.

10.5.2.2 Purposes for DOT Barrier Fencing The primary purpose for installing barrier fencing is to enhance the safety of the motorist and to enhance the safety of those that the fencing is meant to exclude. In some locations, the fencing additionally serves to delineate the right of way. However, in many instances it is more convenient to erect the fences in continuous lines leaving irregular

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right of way corners outside the fence line. Fencing is intended to exclude pedestrians, bicyclists, unauthorized vehicles, and domesticated animals. Among wild animals, deer are the major hazard in New York State, due to their number, size, and range requirements. Fencing is not warranted or effective for deer control. Deer routinely vault or crawl under most practical types of fencing. Fencing may cause deer to spend more time within the right of way while searching for a way out of the fencing. Where deer hits have been a problem, consideration should be given to (1) clearing vegetation well back from the road to improve visibility and reduce the potential for surprise, (2) placement of warning signs (No Grazing, Beware of Traffic, or other, appropriate signs) and (3) special treatments, such as underpasses at concentrated crossing areas. The two most common types of fencing used by the Department are chain link and right of way (R.O.W. or cattle) fencing shown on the Standard Sheets for 607 series items. Because of the potential for "spearing" accidents and the lack of any offsetting cost advantage, the chain link fence with top rail is generally not to be used on State contracts. Exceptions may be made only in special cases where supporting justification is submitted with the PS&E package or the fencing does not border an established roadside clear area. Exceptions may be approved by the Regional Director in cases where there is a compelling reason, such as: where top rail fencing with insert slats is required for visual screening, where trespassing or vandalism problems are anticipated and top rail fencing would be more durable and/or easier to repair, or on structures in accordance with Bridge Detail Sheets. Unless excepted by the Regional Director, existing top rails are to be replaced with tension wires whenever the fence is in the clear zone or in a location where it could easily be struck by an errant vehicle and either: Repair, replacement, or realignment of the fence is required. The fence adjoins, or is within, a reconstruction or 3R project. A sufficient amount of related work is being done in the immediate vicinity to justify including top rail removal within the scope of work. Other types of fencing are described in special and Regional specifications. For built-up areas, the Regional Landscape Architect can provide options and should be consulted to recommend fence styles that are reasonably safe and compatible with adjacent land uses. Selection might include: cattle fences in rural areas, high, nonclimbable fences (1 inch mesh) on urban freeways, black or green vinyl-clad chain link fences in sensitive residential areas, or ornamental fencing in historically designated areas. Changes in the type of fencing should occur at natural break points to minimize the visual impact.

10.5.2.2

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In areas of high crime, vandalism, or risk, a higher quality security fence may be warranted. The Regional Landscape Architect should be consulted on different styles of fencing and more vandal-resistant materials, such as picket and rail fencing and nonclimbable meshes. Fencing will not exclude the determined trespasser. In developed areas, vandals may cut holes or pedestrians may enter at required fencing gaps, such as at exit ramps, to take short cuts across limited access highways. In rural areas, snowmobilers and All-Terrain-Vehicle (ATV) operators sometimes cut holes in the fence to gain access to the right of way. The miles of continuous clear zone with mild grades offer ideal conditions for these kinds of unauthorized vehicles. There are three measures that can be taken to combat the hazards posed by trespassers. The first is to regularly repair the fencing. Where repeated vandalism is a problem, consideration may be given to repositioning fencing where it will be easily observed or where it works in concert with other obstacles. The second measure is to request increased enforcement efforts from police agencies in the area. The third measure is to reduce the desirability of entering the right of way. The addition of a sufficient length of continuous fencing in a median may eliminate a pedestrian shortcut. In rural areas, the continuity of the clear zone may be eliminated by using guide rail to extend from roadside barriers to connect to natural barriers. For instance, where roadside guide rail is used to shield a culvert, clear zone continuity may be interrupted by extending the roadside guide rail down to the drainage feature. While corrugated or box beam guide rails are highly resistant to vandalism, their use may be less safe for errant vehicles than the available clear area would be. Guide rail used to discourage illegal use of the clear area should only be installed at locations that are already shielded, require shielding, or contain other hazards.

10.5.2.4 Warrants for Barrier Fencing The primary guidance for barrier fencing is AASHTO's November 1990 booklet An Informational Guide on Fencing Controlled Access Highways. The guide is used by the Federal Highway Administration and many state agencies. The guide is subject to differences of interpretation. One passage states, "All portions of a controlled access highway should be continuously fenced, unless it can be established that a fence is not warranted; such as in areas of precipitous slopes or natural barriers." In a subsequent paragraph, the guide indicates that, "The cost of a continuous fence of this height... (sufficient to deter deer)...would be excessive and the biologic effects on animal life would be undesirable." The Department's interpretation of this guidance is that fencing is not warranted for the control of wildlife (ineffective) or the exclusion of the occasional hunter (not cost effective for small risks involved). Natural barriers are therefore interpreted to mean ones that would generally inhibit or preclude passage by ATVs and snowmobiles. While continuous fencing of limited access highways may not be warranted, it is considered desirable as a legal means of establishing trespass. The installation of barrier fencing may be warranted for long-term conditions or temporary conditions as described below.

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10-154 A. Long-Term Conditions

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Since a fence may remain in place and be functional for many years, the selection of a type should take into consideration the potential development of the area. Most long-term condition warrants relate to limited access highways. The remainder relate to hazardous conditions that may be encountered within the right of way of any state highway. 1. The use of continuous 6 foot high chain link fencing is warranted along the right of way line of any portions of limited access highways in urban areas, towns, or population centers where trespassing pedestrians may be anticipated. Where the limited access highway is flanked by a frontage road with access to adjoining properties, the fencing should be installed between the frontage road and the limited access highway. 2. The use of 4 ft high right of way fencing (as shown on the Standard Sheets) may be warranted along limited access highways in agricultural areas where livestock, particularly cows, are present. In all cases, however, the livestock owners have primary responsibility for providing fencing for their livestock. Any fencing provided by the Department is strictly a secondary barrier to protect highway patrons from escaped livestock. Livestock owners should not be permitted to connect their fences to the Department's fences. 3. The use of either chain link or R.O.W. fencing is warranted along limited access highways in open country to restrict access by snowmobilers, hunters, ATV operators, and others who may be casual users of the R.O.W. 4. The use of chain link fencing may be warranted to inhibit access to hazardous features within the right of way, such as steep rock cuts, recharge basins, transmission towers (owners responsibility), and some hazardous waterways. 5. The use of 8 ft high chain link fencing may be warranted along the right of way line adjacent to any school play grounds where formal access is not provided and where adequate access control has not been furnished by the school. In areas that would normally exclude motorized vehicles, such as mountainous, densely wooded or swampy areas, the use of fencing is not warranted for the exclusion of snowmobilers or ATV operators. The high cost of fencing is also not warranted for the exclusion of the occasional hunter or others. While they are not warranting conditions and not DOT responsibilities, the presence of the following facilities adjacent to the right of way may be taken into consideration when fencing decisions are being made: public water supplies, military bases, mental institutions, state prisons, and power plants.

B. Temporary Conditions Temporary condition warrants will normally be related to construction work. The contractor may elect to use fencing to reduce rates of theft and vandalism from the construction site. Additionally, fencing may be, and in urban areas is, warranted in an attempt to preclude pedestrians from entering the work zone. Where pedestrian access must be permitted through or immediately adjacent to the work zone, the path or sidewalk may warrant being fenced to guide pedestrians and to isolate foot traffic from hazards within the work zone.

10.5.2.4

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The details of the types and specific locations of work zone barrier fencing should be developed with consideration given to the concerns identified in this chapter and in EI 01019 Maintenance and Protection of Pedestrian and Bicycle Traffic and should be subject to the approval of the EIC. Use of horizontal rails in fences adjacent to traffic should not be permitted. The designer should refer to OSHA's requirements for fencing of additional hazards, such as high visibility plastic fencing around excavations.

10.5.2.5 Visual Screen Fencing Visual Screen Fencing is defined as fencing whose primary purpose is to serve as a visual barrier. The most common uses are aesthetic; to mask unsightly areas such as junk yards and to screen high-speed or limited access highways from residences. Visual screen fencing can be used in conjunction with, or as an alternative to, planting. Visual screen fencing can be either a fence to which materials have been applied to increase opacity or a separately-constructed fence specifically designed and placed to serve as a screen. Since the need for such fencing often comes about as mitigation in response to a community request, special attention needs to be paid to local context and community preferences in considering materials, color, scale and detailing. Concerns in addition to aesthetics and context include cost, maintenance and inspection of non-standard items, wind loads, vandalism and, especially in urban areas, security concerns due to the increased opacity. Consult the Regional Landscape Architect for guidance on the selection, placement, and design of appropriate visual screen fencing. In addition, there may be safety concerns. If the fencing is likely to be reached by an errant vehicle, it should either be shielded behind a guide rail and beyond its deflection or designed to be crashworthy. To be crashworthy, the fencing should not include elements that could penetrate into the passenger compartment and should not have structural components that would be likely to snag a vehicle to bring it to a dangerously abrupt stop. Top rails on a chain link fence would be an example of a spearing element. Various types of visual screens applied to other fences have been tested in actual use. One successful treatment has been the insertion of slats into the weave of chain link fencing. Insertion into a chain link fence 6 to 8 high is usually sufficient to provide the needed effect. This means that, in some cases, it could be added to existing or new right of way fencing at relatively low cost. Options for the inserts include wood, plastic and metal, available in various colors and finishes. Heavier posts are often required, to withstand increased wind loads. The Special Specifications list requirements for the heavier posts needed. The visual impact of increased post size must be taken into consideration alongside other aesthetic concerns, to ensure that the screen suits the project need and context. Another treatment has been fabric screens, but these have proven less successful since they are especially vulnerable to vandalism and wind damage. Many plastic fabrics are also susceptible to ultraviolet deterioration. Separately-constructed visual screen fencing can be of metal, wood, plastic or a combination. There is no single standard such fences can be as simple as heavy duty yellow pine, 6 to 8 high in 6 to 8 sections, but can be more elaborate and decorative as the need, context, budget and maintenance capabilities allow. Designers should consider the degree of screening needed. It may be possible to minimize the impact of a view without completely blocking it for instance by using a colored and tighter-than-standard mesh on a chain link fence (1 or less). A view can also be blocked in the key travelling direction while still allowing visibility for security in another through the use of a vertical louvered construction. Separately

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constructed visual screen fences raise the same concerns as described above for visual screens applied to other fences. Visual Screen Fencing and Noise barriers: Noise barriers, described in detail in 10.5.2.6, are by nature visual barriers as well. Though noise wall materials and construction can vary widely, the scale and heavy concrete construction of those most typically used for effective noise control can have large visual and environmental impacts. Recently, on projects on suburban arterials, visual screen fencing has been offered as an option to communities balancing those impacts with the need for noise mitigation. While not designed to mitigate noise, visual screens often can effectively address the psychological effect of exposure to a roadway, if communities accept the trade-offs. Also, since they might be as simple as a wood stockade fence or a chainlink fence with brown wood or plastic slats 6 in height, they can be a greener option, both in scale and construction footprint to traditional noise walls. Glare Fencing: Glare fencing is a type of visual screen introduced specifically to intercept headlight glare. One general type has been found satisfactory for reducing glare between lanes of opposing traffica paddle-type system designed for mounting on top of concrete barriers but also adaptable to box beam or heavy-post W-beam median barriers or guide rails. The system consists of vertically oriented paddles approximately 8.5 inches in width mounted every 2 feet on 10 foot continuous runners. Paddle heights are available in lengths of 2, 2-6, 3, and 4. The paddles face at a 45" angle to the direction of traffic. See Section 10.2.4.7 Glare fencing may be appropriate on curves on high-volume, narrowly divided highways where headlights can shine directly into the eyes of drivers in the outside of the curve. Glare fencing may also be warranted where close frontage roads or railroads carry opposing traffic. In the latter cases, their design and construction might be no different from Visual Screen Fences discussed above, so the Regional Landscape Architect should be consulted for appropriate materials and details. However, since glare fencing is warranted wherever headlight glare is listed as a contributing factor to a significant number of accidents on divided highways, a partnership is needed between the Regional Landscape Architect and Safety Engineers to ensure that the fence achieves its primary purpose which is safety and accident reduction.

10.5.2.6 Noise Barriers Placement of noise barriers so that they form the border of the clear zone should be avoided. Where it is deemed necessary to place noise barriers so that they border the clear zone, the barriers should be of a crashworthy design. At a minimum, they should not contain elements that would be likely to enter the passenger compartment and, if designed to deflect vehicles, they should not contain projections in excess of 4. If such a design is not acceptable, any noise barriers that border the clear zone width shall be shielded with suitable roadside barriers. The purpose of noise barriers is to provide some amount of noise control. This may be attempted with a wall, a berm, or a combination of the two. The Environmental Science Bureau should be consulted to help determine the need for a noise barrier. Noise barriers can have a substantial effect on the visual environment of a highway and the surrounding community. Ideally, any wall or fence option should achieve continuity with the design styles in the neighborhood. The Regional Landscape Architect should also be involved early in the process to review the potential need for a noise barrier and to assess the historic, aesthetic, and cultural heritage of the neighborhood and the affected community's consensus on whether or not to build the proposed noise barrier. A variety of textured or decorated concrete walls have been 10.5.2.6 2/13/2010

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used. When a timber noise wall is appropriate for either the entire barrier or in conjunction with other materials or earth berms, Noise Barrier Wall, Item 15607.99XX may be specified. These specifications are for wooden noise wall, but allow approved alternates as well. The wooden noise wall is shown on Standard Sheet 607-5 Noise Barrier Wall Details (Horizontal Sheathing) and 607-6 Noise Barrier Wall Details (Vertical Sheathing). Upon request, the Geotechnical Engineering Bureau will design the footing depths and diameters for noise wall installations.

10.5.3 Cattle Passes Cattle passes are tunnels that allow cattle to move from one side of a road to the other without occupying the traveled way. They were historically provided as mitigation when new roads separated significant quantities of pasture land from the remainder of an active dairy farm. Their rate of installation has declined dramatically in recent years due to the reduction in the number of new state roads and the decline in the dairy industry within the state. The situation is complicated by the provisions of the Farmlands Protection Act which strives to minimize direct or indirect (hindered access) loss of farmland. In general, the use of cattle passes has proven to be problematical and has not produced one of the desired results: preventing subsequent damage claims. As a consequence, their use should only be approved after close examination confirms the justification. The Regional Real Estate Officer should be involved as soon as possible when installation of a cattle pass is given consideration. 10.5.3.1 Conditions Required for Construction Generally, all of the following criteria must be met for a cattle pass to be warranted. The size of the herd should be at least 25. The design year AADT should be at least 500 vehicles. The separated parcel of pasture should be at least 10 acres in area. The owner actually wants one. Cattle passes are not to be forced on farm owners. The following conditions are contributing factors that could increase the justification for installation of a cattle pass. The present cattle crossing is located where the sight distance is close to or less than the minimum allowed for the particular class of highway. The present cattle crossing is located on a grade in excess of 5%. The topography is favorable to the installation of an underpass. For new highways in farm country, the designer should evaluate the first three criteria. If they are satisfied, the Regional Real Estate Officer should be notified to determine the farm owners interest in a cattle pass. If a farm owner has made a request for the installation of a cattle pass under an existing highway, the designer should evaluate the first three criteria above and notify the Regional Real Estate Officer. The final determination of the need for a cattle pass should be made by the Regional Real

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Estate Officer after all other options have been examined. Before construction of the cattle pass is approved, the Regional Real Estate Officer must obtain the owner's signature on an Agreement of Adjustment that restricts subsequent claims and on a Maintenance Agreement (Section 10.5.3.3). 10.5.3.2 Design Details The standard cattle pass options are shown on the Standard Sheets for 603 items. Lengths should generally be limited to 50 ft as cows have shown reluctance to enter longer tunnels. The relatively narrow cross-sections are designed to prevent cattle from trying to turn around inside the tunnel. Wider box culvert cattle passes may be designed to permit easier cleaning and the passage of farm equipment. The specific geometry will be the result of negotiations between the owner, the Department of Agriculture and Markets, and the Real Estate Officer, with cost input from the designer. Because of the danger of cattle breaking legs after falling on ice and other problems, cattle passes are not to be designed to serve as a dual purpose cattle pass and drainage culvert. Entry slopes should be 1:4 or flatter. If possible, the inlet end should be placed above existing ground to minimize entry of runoff. The design should preclude standing water. The placement and back filling should provide for a minimum cover of 1 foot between the top of the cattle pass and the subgrade of the roadway. 10.5.3.3 Maintenance Cattle passes, by their nature, require periodic cleaning. This is not a proper function of the Highway Maintenance Division. It is recommended that, prior to a final decision to include a cattle pass in the contract plans, a signed agreement be obtained, where the recipient of the cattle pass agrees to clean the proposed facility. However, the structural maintenance of the cattle pass must remain with the agency having highway maintenance jurisdiction.

10.5.4 Guide Posts Guide posts are short, unconnected posts whose purpose is to prevent the willful movement of vehicles into restricted areas. Guide posts are not safety features for errant vehicles. In general, the use of guide posts is discouraged. While the use of guide posts may be warranted for special circumstances within low-speed locations, such as rest areas and other parking areas, preference should be given to the use of curbing and parking bumpers. Guide posts should not be used within the clear zone of any roadway.

10.5.5 Barriers on Dead-End Roads and Streets The Department's barriers for use at dead ends consist of three (formerly two) corrugated Wbeam rails with centerlines mounted at heights of 14 inches, 34 inches, and 54 inches on heavyposts. Details are shown on the Standard Sheets for 630 items, "Highway Barrier and HighwayRailroad Barricade". These barriers are significant hazards whose use must be carefully warranted and for which thorough warning must be provided. Warning sign requirements are specified in the national Manual on Uniform Traffic Control Devices (MUTCD) and its New York State Supplement. At a minimum, signage should include an advance "DEAD END" sign (Section 2C.21) and at least one end of roadway marker (Section 3C.04) above the barrier. Each rail of the barrier should 10.5.5 2/13/2010

ROADSIDE DESIGN be covered by a strip of red and white striped barricade sheeting (Section 3F.01).

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The use of barriers should be limited to those situations where a road ends, such as a dead end at a railroad (Highway-Railroad Barricade) or dead ends against limited access highways or where bridges are out (Highway Barriers). Because the barriers are fixed obstacles, they should only be used when a serious accident is likely to result if a vehicle passes beyond the end of the road. Examples would include dead ends at bodies of water, highway cuts, and other drop-offs. Also included would be cases where the errant vehicle would be likely to cause injury to other people, such as by entering onto highways with volumes in excess of 10,000 vehicles per day or areas where people are likely to congregate. In these latter cases, the barriers would not be warranted if other obstacles such as trees, ditches, or guide rail are present to prevent passage into the critical areas. The barriers would also not be warranted where the end-of-road signage will be clearly visible both day and night and the length of approach is short enough to limit approach speeds to less than 30 mph. Where the end of the road is followed by conditions that do not exceed the hazard of the barrier, only the signage described in the MUTCD should be provided.

10.5.6 Public Relations The New York State Department of Transportation has a duty to construct and maintain its roads so that they are reasonably safe for users. Sometimes, the details of meeting that duty may meet determined opposition from local residents. Typically, these concerns involve historical monuments, large trees, fences, landscaping features, or structures, often fronting private residences, but on State right-of-way. Whenever projects are considered that would involve potentially sensitive features such as these, the Regional Landscape Architect should be consulted, early in the process, to help address the complex aesthetic, cultural, and environmental issues and the concerns that may develop. The Regional Real Estate Office should also be consulted early in any discussions regarding potentially sensitive right-of-way encroachments. It is the Real Estate negotiators responsibility to be of as much assistance as possible to those affected by the States acquisitions. They are prepared to explain the r ights and responsibilities of the State and adjacent property owners. Any potentially controversial actions should be called to the attention of the Regional Public Information Officer so the Department can be prepared to address any publicity on the issue.

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10-160 10.5.7 Resetting Guide Rail

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Frequently, maintenance or construction work requires that existing guide rail be taken down. On any projects that require the temporary removal of guide rail, the designer and EIC should try to minimize the amount of time that roadside hazards are unshielded. Where the risks are anticipated to be low, at a minimum, the plans should note that, "Portions of runs should not be removed until it is necessary to remove them. Any portions of a run should be restored to service as soon as it is practical to do so. Leading ends of guide railing should not be left exposed to traffic without any shielding." Where the risks will be more frequent or significant, the guidance in Section 10.5.7.4 should be followed. Often, the guide rail is suitable for resetting. This section provides the guidance to be followed for resetting, salvaging, or rejecting existing guide rail. The term "guide rail" is here meant to cover posts, cable, rail elements, anchor assemblies, and splices for both median barriers and guide railing. As noted previously in Section 10.3.1.2 B, the adequacy of a guide rail's type, placement (including point of need), anchorage, etc. must be carefully reviewed before specifying its resetting to existing conditions.

10.5.7.1 Railing Unsuitable for Resetting Box beam guide rail or median barrier installed on contracts let before June 12, 1975, shall not be reset and shall not be retained on projects where any significant amount of construction work is to be performed. This rail can be recognized by any one of the following conditions. The rail is joined by external couplings. The rail is joined by two-bolt internal couplings. It lacks an imprinted heat number and manufacturer's symbol to indicate the material met the requirements of ASTM E436 - Standard Method for Drop-Weight Tear Test of Ferritic Steels. The imprint is generally opposite the weld at intervals not exceeding 4 feet. The designer should field inspect all the existing guide rail installations within the project limits and determine which sections are not suitable for resetting. If any rail is severely damaged or rusted, it can not be reset. If any rail (that is otherwise suitable for resetting) has effectively lost its galvanized coating, it should be rejected as unsuitable for resetting. Outmoded corrugated shapes can not be reset. C posts were discontinued by EI 82-49 and are not suitable for resetting. Z posts, rarely encountered now, are also not to be reused.

10.5.7

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10-161

When the designer has determined that a run (section) of guide rail, including cable guide rail, is not outmoded and that most of the lengths are suitable for resetting, it shall be so designated in a schedule on the plans. In the case of existing cable that will be reused, new splice couplings and wedges are to be used. After contract award and prior to the dismantling of sections of the installation, the Engineer-inCharge and the Contractor shall jointly survey those sections to be reset and determine and record the amount of visible damage. Such damage to the installation includes but is not limited to posts, cable, rail elements, anchor assemblies, and splices. When these elements are damaged beyond repair, the cost of replacing this material will be borne by the State. Payment will be made under an appropriate item when included in the contract; otherwise payment will be made by agreed price or force account. When the damage survey is completed, the installation shall be dismantled and the acceptable material stored for later resetting. The material previously catalogued as damaged, and also that damaged by the Contractor's removal operation, shall be removed by the Contractor from the site. The cost of all additional inventory required to replace material damaged by the Contractor's operation shall be borne by the Contractor. This replacement inventory material shall be equal in kind and quality of that stockpiled for resetting as determined by the Engineer.

10.5.7.3 Salvaging or Removing Railing not Suitable for Resetting When the designer determines which runs of guide rail are predominantly not suitable for resetting, the Regional Maintenance Engineer should be notified. The Regional Maintenance Engineer should determine whether a given run should be designated as Remove and Dispose, Item 606.71 to 606.80 or as Remove and Store, Items 606.61 to 606.70. The designer should include a schedule on the plans indicating which runs of guide rail are "Suitable for Resetting", and which are suitable to "Remove and Store", or "Remove and Dispose". Under the Remove and Store option, the Contractor is to remove the guide rail and neatly store the components in separate piles so that Department forces can salvage usable parts. Prior to project completion, salvage shall be performed and the Contractor shall be notified by the Regional Maintenance Engineer that salvage has been performed, so that the Contractor may begin to dispose of all remaining material as required by the specifications. Salvaged parts may be used for maintenance work on outmoded systems, current systems, or temporary detours as appropriate. However, outmoded (see 10.5.7.1) box beam should only be used for spot repair work. Outmoded box rail elements (lacking imprint of heat number and manufacturer's symbol) which are accepted by the Regional Maintenance Engineer as Remove and Store must be accompanied by written instructions from the EIC that the rail elements must be drop weight tear tested in accordance with ASTM E 436 before being installed in the normal maintenance operation. Where applicable, the designer should note this requirement on the plans. The Materials Bureau, through the Regional Materials Engineer, should be contacted for lot stocking and sampling instructions of box rail elements which are desired to be salvaged. Contact the Design Quality Assurance Bureau should resetting or salvaging situations be encountered that are not covered by the above instructions. 2/13/2010 10.5.7.3

10-162

ROADSIDE DESIGN

10.5.7.4 Guide Rail Resetting Time Allowances Guide rail provides an important safeguard that is lost during the time that it is removed for resetting. To minimize the exposure period when this protective feature is not available, guide rail that will be exposed to traffic should not be taken down earlier than necessary and should be put back in service as soon as possible. The designer should include notes in the contract documents alerting the contractor to the duration requirements for any project where guide rail replacement, resetting, or new installations are required. Recommended durations for a variety of guide rail installation conditions are shown below in Table 10-9. Table 10-9 Recommended Guide Rail Installation Time Allowances Work Operation Resurfacing/Roadside Safety Guide Rail Replacement Projects Allowable Out-of-Service Time Durations AADT > 40,000 14 Calendar Days 2 Calendar Days AADT < 40,000 21 Calendar Days 2 Calendar Days 28 Calendar Days

Reconstruction of Shoulder, Pavement, 21 Calendar Days or Minor Culvert ( < 6 ft diam.) Embankment Work

Median Barrier/Rail, Pier Protection, or Same Day, unless Same Day, unless Bridge Approaches temporary protection temporary protection Major Culvert Reconstruction provisions made.* provisions made.* New Guide Rail Locations** * Must be satisfactory to EIC. 14 Calendar Days 21 Calendar Days
Consult with Traffic & Safety for further guidance. ** Not extensions of existing runs.

The designer should identify special situations, such as high accident locations, bodies of water, cliffs, etc., that may warrant shorter time durations or positive protection at all times. These areas should be described separately in the Special Notes, referenced by station or reference marker, and their allowable replacement durations specified. The designer should include the following notes, as needed, in the proposal as a Special Note. SPECIAL NOTE GUIDE RAIL DOWNTIME RESTRICTIONS This contract contains restrictions on the amount of time that any run of guide rail may be out of service or that installation of new runs may be deferred. The Contractor is advised to be aware of these restrictions when preparing bids and scheduling work for this contract. Failure, as determined by the Engineer, to comply with the time frames specified will result in assessment of nonpayment for Item 619.01 Basic Maintenance & Protections of Traffic ( or the appropriate item for special project types) for each calendar day during which the cited guide rail installation is not complete. In addition, liquidated damages will also be assessed at rates shown in Table 108-1 of Section 108.03. Guide rail shall not be removed from any location where traffic is being maintained until the Contractor or Sub-Contractor is prepared to fully install the new section of rail and its terminals. The Contractor shall schedule operations to replace all rail on the same day as removed unless

10.5.7.4

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ROADSIDE DESIGN

10-163

subsequent construction operations make it impractical to do so. Installation of the new rail shall begin as soon as practical after removal of the existing rail. Installation work on any individual location shall continue until all the railing at that location has been installed. When guide rail can not be replaced on the same day as removed, (1) the work area shall be delineated using the Overnight Shoulder Closure Details shown in the plans and (2) the guide rail shall be replaced within the guide rail replacement time duration for this contract, which is XX calendar days, except as noted below: The guide rail replacement duration shall be YY days for the following runs of rail: Station aa+bbb to cc+ddd, Right (or Left) The guide rail duration for installing the following runs of new guide rail shall be Station eee+ff to ggg+hh, Right (or Left), ZZ days from Beginning of mobilization or Creation of feature to be shielded. The guide rail replacement duration for a given existing run shall be measured from the first day that dismantling of the run begins to the day of complete installation of the rail and its end assemblies.

The designer should note the downtime restrictions below the guide rail tables on project plans that have such tables.

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10.5.7.4

10-164 10.6 REFERENCES

ROADSIDE DESIGN

1. A Guide for Erecting Mailboxes on Highways, 1994, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001 2. An Informational Guide on Fencing Controlled Access Highways, November 1990, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001 3. A Policy on Design Standards, Interstate System, January, 2005, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001 4. A Policy on Geometric Design of Highways and Streets, 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001 5. ASTM E436 - Standard Method for Drop-Weight Tear Tests of Ferritic Steels, Volume 3.01, 1991, American Society for Testing and Materials, 1916 Race Street, Philadelphia, Pennsylvania, 19103-1187 6. Bridge Detail Sheets, Structures Design and Construction Division, New York State Department of Transportation, State Campus, Albany, New York, 12232 https://www.nysdot.gov/main/business-center/engineering/cadd-info/drawings/bridge-detailsheets-usc 7. Guidelines for the Adirondack Park, Third Edition, August 2008, New York State Department of Transportation, https://www.nysdot.gov/divisions/engineering/environmentalanalysis/manuals-and-guidance/greenbook

8. NCHRP Report 230 - Recommended Procedures for the Safety Performance Evaluation of Highway Safety Appurtenances, 1981, Michie, J. D.,Transportation Research Board, 2101 Constitution Ave, N.W., Washington, D.C. 20418 9. NCHRP Report 350 - Recommended Procedures for the Safety Performance Evaluation of Highway Features, 1993, Ross, H. E., et al., Transportation Research Board, 2101 Constitution Ave, N.W., Washington, D.C. 20418 10. NCHRP Synthesis 178 - Truck Escape Ramps, 1992, Witheford, D. K., Transportation Research Board, 2101 Constitution Ave, N.W., Washington, D.C. 20418 11. NYSDOT Client Report 37, Performance of Cable Median Barrier on the Palisades Interstate Parkway, January 1989, Tyrell, A. B. & Bryden, J. E., Engineering Research and Development Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232 12. (MUTCD) Manual on Uniform Traffic Control Devices, refers to a combination of two documents: the national MUTCD and the New York State Supplement. MUTCD 2003 Edition with Revisions Number 1 and 2 Incorporated, dated December 2007,

References

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ROADSIDE DESIGN

10-165

Federal Highway Administration http://mutcd.fhwa.dot.gov/ NYS Supplement to the National Manual on Uniform Traffic Control Devices, Office of Traffic Safety and Mobility, New York State Department of Transportation, 50 Wolf Road, Albany, New York, 12232 , Published as Transportation Title 17B (NYCRR) by Thomson West (800-344-5009) https://www.nysdot.gov/portal/page/portal/divisions/operating/oom/transportationsystems/traffic-operations-section/mutcd 13. NYSDOT Research Report 145 - Movable Concrete Median Barrier: Risk Analysis of Deflection into Opposing Traffic, December 1988, Bryden, J. E. & Bruno, N. J., Engineering Research and Development Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232 14. New York State Standard Sheets, Design Quality Assurance Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, New York, 12232 (https://www.nysdot.gov/portal/page/portal/main/business-center/engineering/caddinfo/drawings/standard-sheets/606-guide-railing) 15. Policy on Highway Lighting, December 1979, NYSDOT Traffic and Safety Division, 50 Wolf Road, Albany, New York, 12232 (https://www.nysdot.gov/portal/page/portal/divisions/operating/oom/transportationsystems/repository/policylight.pdf) 16. Procedure for Managing Projects, Third Working Draft, September 1991, Program and Project Management Division, New York State Department of Transportation, 50 Wolf Road, Albany, New York, 12232 17. Research Report 83 - Crash Tests of Sharply Curved Light-Post Guiderail, July 1980, New York State Department of Transportation in cooperation with FHWA, New York State Department of Transportation, State Campus, Albany, New York, 12232 18. Roadside Design Guide, 2006, American Association of State Highway and Transportation Officials, Suite 249, 444 North Capitol Street, N.W., Washington, D.C. 20001 19. Project Development Manual, Project Development Section, New York State Department of Transportation, 50 Wolf Road, Albany, New York, 12232 https://www.nysdot.gov/divisions/engineering/design/dqab/pdm 20. Standard Specifications - Construction and Materials, 2008, Design Quality Assurance Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, New York, 12232 https://www.nysdot.gov/main/business-center/engineering/specifications/2008-standard-specsus 21. Transportation Research Record 1258 - Roadside Safety 1990, Performance Evaluation of a Movable Concrete Barrier, 1990, Glauz, D. L., Transportation Research Board, 2101 Constitution Ave, N.W., Washington, D.C. 20418 22. Transportation Research Record 1302 - Roadside Safety Features 1991, Single-Slope Concrete Median Barrier, 1991, Beason, W. L. et al., Transportation Research Board, 2101 Constitution Ave, N.W., Washington, D.C. 20418 23. Transportation Research Record 1367 - Development and Evaluation of Roadside 6/28/2010 References

10-166

ROADSIDE DESIGN

Features, ADIEM: Low Cost Terminal for Concrete Barriers, 1992, Ivey, D. L. & Marek, M. A., Transportation Research Board, 2101 Constitution Ave, N.W., Washington, D.C. 20418 24. Utility Reimbursement, Highway Design Manual Chapter 13, Appendix G, Design Quality Assurance Bureau, New York State Department of Transportation, 50 Wolf Road, Albany, New York, 12232 https://www.nysdot.gov/portal/page/portal/divisions/engineering/design/dqab/hdm/hdmrepository/hdm13app_g.pdf 25. Weighted Average Item Price Reports, Office of Engineering, New York State Department of Transportation, 50 Wolf Road, Albany, New York, 12232 https://www.nysdot.gov/portal/page/portal/divisions/engineering/design/dqab/waipr

References

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APPENDICES
A. SPOT EVALUATION OF DESIRABLE CLEAR ZONE WIDTHS B. SUPPORT OF GUIDE RAIL OVER SHALLOW OBSTRUCTIONS C. BARRIER IMPACT TESTING AND ITS RELATION TO IN-SERVICE PERFORMANCE

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Appendices

ROADSIDE DESIGN - APPENDIX A SPOT EVALUATION OF DESIRABLE CLEAR ZONE WIDTHS 10A.1 INTRODUCTION

10A-1

Roadside conditions change almost continuously from station to station along a highway. Factors such as embankment height and slope, ROW widths, development, and context vary rapidly over short distances. It is not reasonable to expend the resources that would be needed to determine the best clear zone width at each change in conditions. Still, there may be some instances where it is appropriate to evaluate the desirable clear zone width at a specific location, such as when various widths can be obtained and a basis is needed to determine what would be appropriate. The following procedure discusses the Spot Evaluation of Desirable Clear Zone Widths. 1. Basic Recovery Width, BRW. This is a numeric value (selected from Table 10-1) representing the basic width of recovery area that should be provided for given traffic volumes, design speeds, and slopes ranging from 1:3 cut slopes to 1:4 embankment slopes. Slopes in this range are considered recoverable since a driver may be able to recover control of an errant vehicle and return to the roadway. (Smooth cut slopes steeper than 1:3 may generally be included as part of the clear zone, provided there are smooth slope transitions between the roadway and the slope. This remains an area requiring the use of good judgment.) The BRW does not take into account curvature, nonrecoverable slopes, or accident history. The BRW values will generally, but not always, provide adequate width for recovery of errant vehicles. See Figure 10-2b for an example of a compound slope solution. 2. Nonrecoverable Slope. Traversable, but nonrecoverable slopes may be present in the clear zone, but may not be credited towards meeting the Basic Recovery Width needs. See Figure 10-2a. 3. Curve Corrected Recovery Width, CCRW. This width takes into account the effects of horizontal curvature. It is obtained by multiplying the Basic Recovery Width by the appropriate horizontal curve correction factor, Koc for the outside of curves. Table 10-2 presents the curve correction factors. It is desirable to apply the curve correction factor where long tangent sections of highway are followed by curves, and particularly when those curves have rated speeds* 10 or more mph less than the prevailing or anticipated operating speed on the tangent. The horizontal curve correction factor, Koc, should also be applied when the curve is at the bottom of a long downgrade or obscured by a crest vertical curve and there is an increased possibility of a driver being "surprised" by the curve. (On existing facilities, refer to the 3R Standards for additional alternatives for dealing with problem curves, such as providing more superelevation or signage.) See Figure 10-2c.

* The rated speed is the maximum speed at which a vehicle can travel a superelevated curve without exerting any side friction. The rated speed, Vr , may be calculated as the square root of (.15Re), where R is the radius of the curve in feet, e is the superelevation in percent (e.g. 6, 8, etc.), and Vr is in miles per hour.

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10A

10A-2

ROADSIDE DESIGN APPENDIX A

Figure 10A-1 Clear Zone Terminology and Nonrecoverable Slopes

10A

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ROADSIDE DESIGN - APPENDIX A

10A-3

4. Clear Runout Width, CRW. This is the width that should be provided at the toe of a traversable, nonrecoverable fill slope. The minimum value of this width should be 8 ft to accommodate the width of a passenger vehicle. Otherwise, the width should be such that, when added to the width of the graded shoulder and any other recoverable width above the nonrecoverable slope, the Basic Recovery Width or, where appropriate, the Curve Corrected Recovery Width is attained. Refer to Fig. 10-1. 5. Desired Minimum Clear Zone Width, CZDM. This is the larger of the following, as appropriate: Basic Recovery Width Curve Corrected Recovery Width The sum of the Clear Runout Width plus the width from the traveled way to the toe of the traversable but nonrecoverable slope 6. Design Clear Zone Width, CZD. Selection of the Design Clear Zone Width should be made by an engineer experienced in roadside design. The selected value should take into account the Desired Minimum Clear Zone Width, environmental effects and cost considerations. Generally, the spot Design Clear Zone Width on a new project will equal or exceed the Desired Minimum, on reconstruction projects it will range at and below the Desired Minimum, and on 3R projects it will frequently not meet the Desired Minimum.

Spot clear zone width evaluation should involve the following steps. 1. Select the cross section to evaluate and note the parameters that will affect the desirable clear zone width. 2. Use the project design speed and the Average Annual Daily Traffic to obtain the Basic Recovery Width, BRW, from Table 10-1. 3. If the cross section is within a problem or "surprise" curve, as discussed in Section 10.2, and the clear zone being considered is on the outside of the curve, multiply the BRW on the outside of that segment by the appropriate horizontal curve correction factor, Koc, (see Table 10-2) to obtain the Curve Corrected Recovery Width, CCRW. 4. If any traversable but nonrecoverable slopes cut into the recovery width, determine an appropriate Clear Runout Width, CRW, to extend beyond the base of the slope. 5. Using the Desired Minimum Clear Zone Widths (maximum clear width obtained from steps 2, 3, and/or 4) and taking into account environmental effects, topography, adjacent development, right of way availability and other cost considerations, the engineer should select an appropriate Design Clear Zone Width, CZD, for that spot.

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10A

10A-4

ROADSIDE DESIGN APPENDIX A

Figure 10A-2a Sample Clear Zone Calculations-Cases I & II (Nonrecoverable Slopes)

10A

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ROADSIDE DESIGN - APPENDIX A Figure 10A-2b Sample Clear Zone Calculations-Case III (Rock Cut)

10A-5

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10A

10A-6

ROADSIDE DESIGN APPENDIX A

Figure 10A-2c Sample Clear Zone Calculations-Case IV (Ramp Curve)

10A

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ROADSIDE DESIGN - APPENDIX A

10A-7

Figure 10A-2d&e Sample Clear Zone Calculations-Plan & Section of Runout Width

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10A

10A

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ROADSIDE DESIGN - APPENDIX B

10B-1

Appendix B

Support of Guide Rail Over Shallow Obstructions

Design Quality Assurance Bureau Originally Issued January 2004

(Converted to US Customary Units on 8/28/2008)

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10B

10B-2

ROADSIDE DESIGN - APPENDIX B

Appendix B
Support of Guide Rail Over Shallow Obstructions

Table of Contents

1. Background 2. General 3. Use of this Guidance 3A. Cable Guide Rail 3B. W-Beam on Weak Posts 3C. Box Beam 3D. W-Beam on Heavy Posts 3E. Base Plates for Weak Post Rail Systems 3F. Concrete Barrier 3G. Lateral Offsets 3H. Payment Considerations

10B-3 10B-3 10B-4 10B-5 10B-9 10B-13 10B-17 10B-20 10B-22 10B-23 10B-24

10B

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ROADSIDE DESIGN - APPENDIX B

10B-3

1.0 Background: For several decades, it has been the Departments general practice to provide barriers where a highway crosses a culvert. These barriers could be guide rail, culvert rail or bridge rail, depending on the size and other geometric details of the culvert involved. Unfortunately, it was not always clear which type of rail should be used in a given circumstance. When the National Cooperative Highway Research Program issued their Report 350 Recommended Procedures for the Safety Performance Evaluation of Highway Features (NCHRP 350), it was endorsed by FHWA. FHWA went one step further to require that all barriers and terminals used on federal-aid highway projects should meet the NCHRP 350 test criteria or be judged capable of passing them. As a result, extensive testing was performed on existing highway barrier systems. Acceptable bridge rail and highway guide rail systems were developed or existing systems were validated. Because the testing process is expensive and our culvert rail was relatively seldom used, it did not appear to make economic sense to perform the expensive testing necessary to confirm its ability to pass the new crash test criteria. Taking into consideration the possibility that it might not have passed, the decision was made to drop culvert rail as a barrier option at culverts. Consequently, any barrier placed at a culvert should now be provided either as highway guide rail or as bridge rail. This present guidance is intended to define the range of circumstances where it is appropriate to provide guide rail. Whenever the culvert size and geometry do not meet the conditions described herein, any barrier needs should be met with a bridge rail option. Guidance on the appropriate bridge rail for a given situation should be obtained from the Structures Division. Since the use of guide rail at culverts often introduces the problem of the culvert preventing posts from being driven to their normal depths, it made sense to extend the guidance to include other obstructions to driving as well. Therefore, this guidance describes acceptable methods of dealing with situations where the presence of a shallow obstruction, such as a culvert, boulder, or utility line, prevents driving guide rail posts to their normal depths at their normal locations. 2.0 General: If the obstruction is identified early enough and is of limited extent, it may be possible to shift the entire run of rail slightly so that the obstruction is straddled and no other modifications are required. The most common choices for supporting guide rail over a shallow obstruction are to move, shorten, or add posts to support the rail system. However, these options may only be selected if there will be no fixed objects or snagging holes (see the fourth and subsequent paragraphs of this subsection, below) within the deflection distance of the guide rail. For conditions not meeting this requirement, refer to guidance from the Structures Division. If posts cannot be moved or added to eliminate the conflict with the shallow object, then it may be reasonable to weld a base plate to the bottom of the post and bolt the base plate to a concrete base. This concrete base may be either one constructed for that purpose, or may be the obstruction itself, assuming it is acceptable to bolt to that specific culvert or footing. While providing base plates for multiple posts may be necessary in some cases, the practice should be avoided. Where a base plate and bolting option is used, it may be assumed that the resulting rail deflections will be similar to the standard deflections. The typical base plate details for weak posts are covered in Section E of this document. Base plates for heavy posts are covered on Standard Sheet M606-10R2. In rare instances, shallow rock may be encountered over broad areas. When this occurs, post hole locations should be drilled to normal depth, posts should be inserted without soil plates, and the holes should be backfilled with gravel or sand. Alternatively, consideration may be 6/28/2010 10B-1.0

10B-4

ROADSIDE DESIGN - APPENDIX B

given to using concrete median barrier in place of guide rail, since its embedment depth is only 9 inches. Refer to Section F for safety considerations related to concrete barrier. Since some of the modifications identified in the following sections should be assumed to increase the deflection distance of the guide rail, that system should be reevaluated to determine if any rigid fixed objects (such as headwall or wingwall projections, utility poles, or trees) would be within its deflection distance. Fixed objects within the deflection distance should be removed or a stiffer barrier system should be substituted, specifically one with a deflection less than the distance to the fixed object. See Highway Design Manual Table 10-3 for the standard highway guide rail deflections. In addition to fixed objects that project above grade, consideration must be given to holes that a vehicles wheel might snag in, possibly resulting in a rollover accident. For guiderail systems that have large deflections, there is the potential for high-speed errant vehicles to deflect the rail, slow, and then snag on fairly narrow holes in the embankment. For this reason, no openings with widths over 3 feet, such as culvert ends, should be permitted within the deflection distance of rails with standard deflections of 5 feet or more, unless the opening is covered with a grating to prevent a vehicles tires from snagging. For guide rail systems with standard deflection distances less than 5 feet (HPBO and box beam with 3 foot and 3-1 post spacings), the potential for vehicles snagging in holes is significantly reduced. If the vehicle is not going fast, the rail deflection is significantly reduced and the consequences of a snag are lowered. If an impacting vehicle is going fast, the vehicle usually loses contact with the ground at impact and it is over an opening for such a brief moment that its tires do not have an opportunity to move down into the hole enough to produce a snagging condition. For these reasons, wider openings are permissible within the deflection distances of more rigid rails. Therefore, for guide rail systems with standard deflection distances less than 5 feet, no ungrated openings with widths over 10 feet should be permitted within their deflection distance. Regardless of the above allowances, unless peak flow and debris indicate otherwise, most culverts exposed to traversal by errant vehicles should be flush with the embankment surface and grated for traversability, if their width is greater than 1.5 feet and less than 5 feet. When these openings are behind guide rail and debris accumulation is judged to be a problem, it may not be necessary to cover the entire height of the opening, but it is desirable for the grating to extend 1.5 feet beyond the deflection distance. For smaller transverse culverts, the minimum grating may consist of #8 reinforcing bars welded together on 12 inch centers. This rebar mat was crash tested for transverse culvert configurations and judged satisfactory for covering openings up to 5 feet by 7.5 feet. Note that, by increasing the bar size to #9, satisfactory results were calculated for openings measuring up to 10 feet by 17 feet. 3.0 Use of this Guidance: Sections A through G of this document describe options for supporting rail over shallow obstructions. Section H addresses payment for those measures. To use this guidance, select the best modification to address the shallow obstruction, check the deflection to verify that the barrier system choice is acceptable, and make any modifications to the post design as indicated. If a check of the deflection distance indicates that the barrier selection is not appropriate, a different barrier system should be used. In some instances, the extent of the obstruction and the proximity of openings (particularly at large, shallow box culverts) may require that bridge rail be used. Refer to guidance provided by the Structures Division for those treatments. 10B-3.0 6/28/2010

ROADSIDE DESIGN APPENDIX B 3A. Cable Guide Rail Posts at Shallow Obstructions

10B-5

Cable readily permits the longitudinal repositioning or addition of posts, because a post may easily be fastened to the rail at any point along its length. Slight longitudinal repositioning of individual posts will not have a significant effect on the deflection distance. Therefore, if the obstruction to driving a post is fairly narrow, such as a small culvert or boulder, the post should be moved longitudinally by up to 2.5 feet. See Detail 1-B. Note that aesthetics may be an issue where the guide rail is being used on a tight radius (minimum radius for cable is 450 ft). If the post relocation introduces an objectionable jog in the curve, consideration should be given to using the additional post arrangement shown in Detail 1-C. If the obstruction requires movement of a post by more than 2.5 feet, an extra post should be added, such that the moved post and the added post straddle the obstruction. Ideally, the posts should be spaced evenly at the third points of the length between the posts on either side. See Detail 1-C. If the obstruction is wider than two-thirds of the normal post spacing, the span width between the moved and the added post may be increased, but should not be more than 2.5 feet wider than the normal post spacing for the run. Some minor adjustment of the posts outside of the moved and added posts may be needed, but it should be remembered that more support is needed near the wider span. See Detail 1-D. If the obstruction to post driving is more than 2.5 feet wider than the normal post spacing, then the use of shortened posts should be considered. A maximum of 12 inches of post and soil plate may be cut off the bottom of a single post assembly without significantly affecting the deflection distance. See Details 1-G and 1-H. This amount applies to either standard posts, which have a normal embedment depth of 33 inches, or to extra long posts, which have a normal embedment depth of 54 inches. The amount cut off the bottom of any one post should not significantly exceed the amount needed to permit driving the post so that its top is at the correct height. To maintain the normal deflection distance in an area where two posts need to be shortened by up to 12 inches, additional posts should be added. Post spacing for shortened posts should not exceed 2/3 of the typical post spacing and the length of the spanned area should not exceed twice the normal post spacing. See Details 1-E and 1-F for examples. If a cable run with 8 foot post spacings (standard deflection = 8 feet) has a single post that needs to be shortened by more than 12 inches and all spacings are kept to the normal dimensions, then the deflection in that immediate area between the normal posts should be assumed to be 11 feet. See Detail 1-J. If the extent of the shallow obstruction(s) prevents the use of any of the above options, consideration should be given to modifying or removing the shielded feature, switching to a different barrier system, or bolting the posts to the obstruction or a constructed foundation as described in Section E. Consultation on selecting an option is available by contacting the Design Quality Assurance Bureau.

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10B-3A

10B-6

ROADSIDE DESIGN APPENDIX B

10B-1 Cable Guide Rail Adjustments over Narrow Shallow Obstructions to Post Driving
16 TYPICAL SPACING

FOR DETAILS 1-A, 1-B, AND 1-C, ASSUME STANDARD DEFLECTION OF 3.3 M

DETAIL 1-A
(Normal Configuration)

WHEN ENCOUNTERING OBSTRUCTIONS DURING PLACEMENT OF TYPICAL CABLE GUIDE RAIL POSTS, THE POST MAY BE PLACED A MAXIMUM OF 2.5 OFFSET ON EITHER SIDE OF ORIGINAL TYPICAL POST SPACING AS SHOWN DASHED. 16 NORMAL SPACING 2.5 13.5 RESUME 16 SPACING

TYPICAL OBSTRUCTION

DETAIL 1-B

IF OBSTRUCTION ENCROACHES BEYOND THE 2.5 OFFSET ALLOWED, THEN TAKE THE DISTANCE OF TWO POST SPACINGS AND DIVIDE IT INTO THIRDS AS SHOWN BELOW. 16 NORMAL SPACING RESUME 16 SPACING

2.5

2.5

TYPICAL OBSTRUCTION 1/3 of 2 spacings = 10 - 8 10 - 8 10 - 8

DETAIL 1-C

10B-3A

6/28/2010

ROADSIDE DESIGN APPENDIX B

10B-7

Fig. 10B-2 Cable Guide Rail Adjustments over Wide Shallow Obstructions to Post Driving
IF OBSTRUCTION IS LARGER THAN 2/3 THE NORMAL SPACING, THEN FLANK THE OBSTRUCTION ON BOTH SIDES WITH POSTS UP TO A MAXIMUM SEPARATION 2.5 GREATER THAN THE TYPICAL POST SPACING. 16 TYPICAL SPACING RESUME TYPICAL SPACING

2.5

2.5

TYPICAL OBSTRUCTION < TYPICAL SPACING PLUS 2.5

DETAIL 1-D
FOR DETAILS 1-D, 1-E, AND 1-F, ASSUME STANDARD DEFLECTION OF 11 ft
16 (TYP.)

(18.5 max if 16 typical spacing) (10.5 max if 8 typical spacing)

16 (TYP.) NOTE 1 NOTE 1 NOTE 1

NOTE 1

TYPICAL OBSTRUCTION DISTANCE EXCEEDING TYPICAL SPACING PLUS 750 mm BUT LESS THAN 2 TYPICAL POST SPACINGS

DETAIL 1-E
16 (TYP.) NOTE 1 NOTE 1 16 (TYP.) NOTE 1

BETWEEN SHORTENED POST AND ANY OTHER POST TO BE LESS THAN 2/3 THE TYPICAL SPACING. POST SHORTENING NOT TO EXCEED 12 inches
16 (TYP.) NOTE 1 NOTE 1

TYPICAL OBSTRUCTION

DISTANCE EXCEEDING TYPICAL SPACING PLUS 2.5 LESS THAN 2 TYPICAL POST SPACING

DETAIL 1-F

6/28/2010

10B-3A

10B-8

ROADSIDE DESIGN APPENDIX B

Figure 10B-3 Cable Guide Rail Adjustments Involving Only Post Shortening

16 TYPICAL SPACING

16 TYPICAL SPACING

16 TYPICAL SPACING

FOR DETAIL 1-G, ASSUME STANDARD DEFLECTION OF 11 ft

DETAIL 1-G

ASSUME STANDARD DEFLECTION = 8 ft

8 8 8 8 TYPICAL SPACING TYPICAL SPACING TYPICAL SPACING TYPICAL SPACING 8 8 TYPICAL SPACING TYPICAL SPACING

POST SHORTENED BY LESS THAN 12 inches

DETAIL 1-H

ASSUME STANDARD DEFLECTION = 8 ft

ASSUME STANDARD DEFLECTION = 11 ft

ASSUME STANDARD DEFLECTION = 8 ft

8 8 TYPICAL SPACING TYPICAL SPACING

8 8 8 8 TYPICAL SPACING TYPICAL SPACING TYPICAL SPACING TYPICAL SPACING

POST SHORTENED BY MORE THAN 12 inches

DETAIL 1-J

10B-3A

6/28/2010

ROADSIDE DESIGN APPENDIX B

10B-9

3B. W-Beam on Weak Posts at Shallow Obstructions Unlike cable guide rail, W-Beam is fabricated with bolt holes that only permit fastening to posts at predefined points, 6 - 3 apart. Posts may be spaced at either 12 - 6 or at 6 - 3, depending on the deflection distance available behind the rail. In the following paragraphs, options for the 12 - 6 spacings will be described first, followed by those for 6 - 3 spacings. As indicated on Standard Sheet 606-6, additional posts may be placed for added backup support and they need not, and actually should not, be fastened to the rail. (NOTE: Revisions to the weak post W-beam system placed beam splices between posts that are on 12 - 6 spacings. The details herein show the traditional splice locations.) Normal Post Spacing of 12 - 6: If a single post encounters a shallow obstruction, that post may be shortened by cutting a maximum of 12 inches of post and soil plate off the bottom of the post assembly. See Detail 2-A. If a single post encounters a shallow obstruction that would require shortening the post by more than 12 inches, two additional posts should be added, one in each of the adjoining bolt holes on either side of the obstruction. The shortened post should be included for aesthetics. See Detail 2-B. If a shallow obstruction is found that would require shortening a post by more than 12 inches and the obstruction would also require shortening of a post placed at one of the adjoining bolt holes 6 - 3 away, backup posts should be provided on either side of the obstruction, provided they will not have to be spaced more than 12 - 6 apart. The post location that would require a shortened post should receive that post, as it is needed for vertical support. See Detail 2-C. Normal Post Spacing of 6 - 3: If a post encounters a shallow obstruction, a maximum of 12 inches of post and soil plate may be cut off the bottom of the post assembly before it is driven, and an additional piece of W-beam added behind the other rail sections, centered on the shortened post. See Detail 2-D. (If the shortened post occurs at a splice, extra holes will have to be drilled in the backup rail to accommodate the splice bolts. See Detail 2-E.) If the post would have to be shortened by more than 12 inches to drive it to the appropriate height, the clear area required for deflection distance behind the doubled rail, and for 10 on either side of the affected post, should be increased from 6 feet to 8 feet. See Detail 2-F. If the post would have to be shortened by over 18 inches to drive it to the appropriate height, the above conditions would apply, but that post may be eliminated. If two consecutive posts encounter an obstruction that requires shortening each by less than 12 inches, the posts may be shortened accordingly, but the deflection distance should be increased from 6 feet to 8 feet over a length of 10 in either direction. See Detail 2-G. If two adjoining posts encounter an obstruction that requires shortening of either by more than 12 inches, backup posts should be provided on either side of the obstruction, provided they will not have to be spaced more than 12 - 6 apart. Since backup posts are not connected to the rail and therefore can not provide vertical support, any post location that would require shortened posts for vertical support should receive that post. The shortened posts should also be provided if they will be 2 feet away from the adjoining backup post. The deflection distance should be increased from 6 feet to 8 feet over a length of 10 in either direction. See Detail 2-H. 6/28/2010 10B-3B

10B-10

ROADSIDE DESIGN APPENDIX B

Figure 10B-4 Weak Post W-Beam Guide Rail with 12 - 6 Typical Post Spacing Adjustments for Shallow Obstructions to Post Driving
12 - 6 (TYPICAL POST SPACING) 12 - 6(TYP.)

POST SHORTENED BY LESS THAN 12 inches

DETAIL 2-A
FOR DETAILS 2-A, 2-B, AND 2-C, ASSUME STANDARD DEFLECTION OF 8 ft

12 - 6 (TYPICAL POST SPACING) 6 - 3 6 - 3

12 - 6 (TYPICAL POST SPACING) 6 - 3

DETAIL 2-B
12 - 6 (TYP.) 6 - 3
< 3-3

POST SHORTENED BY MORE THAN 12 inches

12 - 6 (TYP.) 6 - 3 3 - 3

TYPICAL BACKUP POST (NOT ATTACHED)

TYPICAL BACKUP POST (NOT ATTACHED)

POST SHORTENED BY MORE THAN 12 inches

DETAIL 2-C

10B-3B

6/28/2010

ROADSIDE DESIGN APPENDIX B

10B-11

10B-5 W-Beam Guide Rail With 6 - 3 Post Spacing Over Shallow Obstructions (1 of 2)
6 - 3
(TYPICAL POST SPACING) ADDITIONAL W-BEAM ADDED BEHIND RAIL SECTIONS

6 - 3

6 - 3

POST SHORTENED BY LESS THAN 12 FOR DETAILS 2-D AND 2-E, ASSUME STANDARD DEFLECTION OF 6 ft. IF BACKUP RAIL IS NOT INCLUDED, ASSUME STANDARD DEFLECTION OF 8 ft FOR 10 ft ON EITHER SIDE OF SHORTENED POST, AS IN DETAIL 2-F.

DETAIL 2-D
6 - 3 6 - 3 (TYPICAL POST SPACING)(TYPICAL POST SPACING) 6 - 3

ADDITIONAL W-BEAM ADDED BEHIND RAIL SECTIONS

POST SHORTENED BY LESS THAN 12 IF THE SHORTENED POST OCCURS AT THE SPLICE , EXTRA HOLES WILL HAVE TO BE DRILLED IN THE BACKUP RAIL TO ACCOMMODATE THE SPLICE BOLTS.

DETAIL 2-E

ASSUME STANDARD DEFLECTION = 6 ft

ASSUME STANDARD DEFLECTION =8 ft 10 ft 6 - 3 6 - 3

(TYPICAL POST SPACING) ADDITIONAL W-BEAM ADDED BEHIND RAIL SECTIONS

ASSUME STANDARD DEFLECTION = 6 ft 10 ft

6 - 3

6 - 3

POST SHORTENED BY MORE THAN 1 ft

DETAIL 2-F

6/28/2010

10B-3B

10B-12

ROADSIDE DESIGN APPENDIX B

10B-6 W-Beam Guide Rail With 6 - 3 Post Spacing Over Shallow Obstructions (2 of 2)

ASSUME STANDARD DEFLECTION = 6 ft 10 ft 6 - 3

ASSUME STANDARD DEFLECTION = 8 ft 10 ft 6 - 3

(TYPICAL POST SPACING)

ASSUME STANDARD DEFLECTION = 6 ft

6 - 3

6 - 3

POSTS SHORTENED BY LESS THAN 12 inches

DETAIL 2-G
ASSUME STANDARD DEFLECTION = 6 ft 10 ft 6 - 3 6 - 3
(TYPICAL POST SPACING)

ASSUME STANDARD DEFLECTION = 8 ft 10 ft 6 - 3 LESS THAN 12 - 6 > 2 ft < 2 ft 6 - 3

ASSUME STANDARD DEFLECTION = 6 ft

POST(S) SHORTENED MORE THAN 12 inches

POSTS SHORTENED BY MORE THAN 12 inches MAY BE ELIMINATED, IF: THEY ARE NOT NEEDED FOR VERTICAL SUPPORT AND THERE WILL BE A BACKUP POST WITHIN 2 ft OF THEIR LOCATION.

BACKUP POSTS NOT CONNECTED TO RAIL

DETAIL 2-H If a continuous obstruction is encountered that would require shortening two or more adjoining posts by over 18 inches, then consideration should be given to welding a base plate to the bottom of the posts and fastening the base plate to a concrete footing. (If the obstruction is a concrete structure that it is acceptable to bolt to, then it will not be necessary to place a separate footing.) If mowing behind the rail will be required, then consideration should be given to constructing the footing so that its surface acts as a vegetation control strip at ground level and extends approximately 20 inches behind the posts. Details of the base plate and footing for weak posts are shown in Details 5-A through 5-D.

10B-3B

6/28/2010

ROADSIDE DESIGN APPENDIX B

10B-13

3C.

Box Beam Posts at Shallow Obstructions

Box beam guide rail is designed to have significantly less deflection than either cable or weak post W-beam guide rail. The rigidity and mass of the beam contributes to the systems stiffness, allowing beam action to span across several posts at the same time. Because of this combined action of the posts, it is acceptable, where necessary, to shorten a single post by as much as 12 inches, as in Details 3-A and 3-G, without assuming any significant increase in deflection distance. (Post shortening should not be done where extra length posts are needed due to the proximity of steep slopes.) Normal Post Spacing of 6: Where 6 post spacings are being used, posts may be repositioned (but not removed) without increasing the assumed deflection distance, provided the following spacings are not exceeded: 10 when no beam splice is included (Detail 3-B), and 8 when a beam splice is included (Detail 3-C). New holes drilled in the box beam to permit fastening to the posts should be field galvanized (in accordance with the Standard Specifications) soon after drilling and prior to mounting the rail. While the rigidity of box beam permits repositioning of its supporting posts up to the limits indicated in Details 3-B and 3-C, longer spans between supporting posts introduce the risk that the rail will bend too much when struck, allowing a vehicle to pocket. To minimize this possibility, it is permissible to stiffen the spanned area by bolting an additional length of box beam rail to the back side of the primary rail. The fastening should be done using four x 14 hex head bolts, or a continuously threaded bar, with washers. With the rail reinforced in this manner, a span of 13 may be used between supporting posts as indicated in Details 3-D and 3E. Note that the supporting posts will have to be set back 6 inches to accommodate the width of the backup piece of box beam rail. If a shallow obstruction extends for up to 20 feet under a run of box beam with 6 post spacings and does not require shortening any of the posts by more than 12 inches, then shortened posts may be used, but with 3 post spacings above the obstruction, and an additional full length post(s) placed on either side of the obstruction as may be needed to ensure that the split spacing extends beyond the sides of the obstruction. See Detail 3-F for an instance where a full-length post is needed to extend the split spacing on the right side. Normal Post Spacing of 3: Where 3 post spacings are being used, it is acceptable to skip a single post, if a shallow obstruction is encountered that would require shortening that post by more than 12 inches, but the deflection for a zone extending out to 10 feet on either side of the removed post should be assumed to increase from 4 to 5. See Detail 3-H. If a shallow obstruction extends for up to 20 under a run of box beam with 3 post spacings and does not require shortening any of the posts by more than 12 inches, then shortened posts may be used, but the deflection for a zone extending out to 10 on either side of the outside shortened posts should be assumed to increase from 4 to 5. See Detail 3-J.

6/28/2010

10B-3C

10B-14

ROADSIDE DESIGN APPENDIX B

10B-7 Box Beam Guide Rail with 6 Post Spacing over Narrow Obstructions to Post Driving

6 ft TYP.

DETAIL 3-A

POST SHORTENED BY 12 inches OR LESS

FOR DETAILS 3-A, 3-B, AND 3-C, ASSUME STANDARD DEFLECTION = 5 ft

6 ft (TYP.) 10 ft MAX. SPLICE

6 ft (TYP.)

SPLICE

REPOSITIONED POST

LOCATION REQUIRING POST TO BE SHORTENED BY OVER 12 inches

DETAIL 3-B
DETAILS 3-B AND 3-C DIFFER IN THE LOCATION OF THE BEAM SPLICE.
6 ft TYP. 8 ft MAX. SPLICE 6 ft TYP.

REPOSITIONED POST

LOCATION REQUIRING POST TO BE SHORTENED BY OVER 12 inches

DETAIL 3-C

10B-3C

6/28/2010

ROADSIDE DESIGN APPENDIX B

10B-15

10B-8 Box Beam Guide Rail with 6 Post Spacing over Wide Obstructions to Post Driving
6 ft TYP. SPLICE NOTE 1 6 ft TYP.

< 13 ft

SPLICE

REPOSITIONED POST REPOSITIONED POST

DETAIL 3-D

FOR DETAILS 3-D, 3-E, AND 3-F, ASSUME STANDARD DEFLECTION = 5 ft 6 ft TYP.

6 ft TYP. SPLICE NOTE 1

< 13 ft
SPLICE

REPOSITIONED POST

REPOSITIONED POST

DETAIL 3-E
NOTE 1: WHERE BOX BEAM SPANS EXCEED 10 ft, AS IN DETAILS 3-D AND 3-E, THE SPANNED LENGTH SHOULD BE SUPPORTED BY FASTENING AN ADDITIONAL BOX BEAM TO THE BACK SIDE OF THE PRIMARY RAIL. REGARDLESS OF WHETHER ANY SHORTENED POSTS ARE RETAINED FOR AESTHETICS, THE TOTAL NUMBER OF FULL LENGTH POSTS SHOULD BE UNCHANGED FROM THE NORMAL COUNT. THE BACKUP RAIL SHOULD BE SUPPORTED BY AT LEAST THREE FULL-LENGTH POSTS.

6 ft (TYP.) SPLICE 3 3 3
SPLICE

6 ft (TYP.) 3

< 20 ft DETAIL 3-F

POSTS SHORTENED BY 12 inches OR LESS

6/28/2010

10B-3C

10B-16 Figure 10B-9

ROADSIDE DESIGN APPENDIX B Box Beam Rail with 3 Post Spacing Over Shallow Obstructions

TYPICAL POST SPACING 3

ASSUME STANDARD DEFLECTION = 4 SINGLE LOCATION REQUIRING POST TO BE SHORTENED BY UNDER 1

DETAIL 3-G

ASSUME DEFLECTION = 5 10 10 TYPICAL POST SPACING 3 FOOT

SINGLE LOCATION REQUIRING POST TO BE SHORTENED BY OVER 1 (Include post for appearances)

DETAIL 3-H

ASSUME DEFLECTION = 5 10 10 TYPICAL POST SPACING 3 FOOT

LOCATIONS REQUIRING POSTS TO BE SHORTENED BY UNDER 1

DETAIL 3-J

10B-3C

6/28/2010

ROADSIDE DESIGN APPENDIX B 3D. W-Beam on Heavy Posts at Shallow Obstructions

10B-17

W-beam does not possess great beam strength when impacted, particularly since the impacting vehicle has a tendency to flatten the corrugations, which essentially produces a sheet of steel with a very low section modulus. To limit the anticipated deflection of the HPBO system, it is designed with frequent strong posts that individually and successively act to redirect vehicles. These heavy posts might snag some impacting vehicles, so blockouts are provided to hold the rail well in front of the post and thereby limit the chances of that occurring. For similar reasons, it is important that the posts provide consistent lateral support to the rail, as a soft spot could permit an errant vehicle to penetrate into the line of the rail and contact a subsequent post. (That would be an example of the process referred to as pocketing.) Because of this significant reliance on each individual post, the removal, overshortening, or relocation of posts should be avoided. The normal heavy post is both wider and longer than the normal weak post. Where necessitated by shallow obstructions, up to 16 inches may be cut from the bottom of a single heavy post (leaving 25 inches of embedment) without assuming any significant increase in the deflection of the guide rail system. Because of the possibility of pocketing, post spacings should not be significantly increased and, where they need to be, the rail should be reinforced to minimize the existence of weak spots. Normal Post Spacing of 6 - 3: With 6 - 3 typical spacings, the posts are typically not provided with soil plates. As mentioned above and illustrated in Detail 4-A, up to 16 inches may be cut from the bottom of a single post without increasing the assumed deflection beyond the normal 4 feet. Where up to three successive posts need to be shortened by up to 16 inches, each shortened post is to have a soil plate added and the amount removed from the bottom of each post should be minimized. See Detail 4-B. If a single post must be shortened by more than 16 inches, then backup reinforcement may be used to maintain the deflection distance. If the shortened post is not at a beam connection, the reinforcing may be done by nesting an additional W-beam behind the rail, as in Detail 4-C, or, where the shortened post is at a beam connection, as in Detail 4-D, by including a reinforcing channel, preferably a C9 x 20 or an MC8 x 18.7, behind the rail. In the latter case, the posts on either side of the obstruction should have soil plates added to provide extra support for the channel-spanned area. Normal Post Spacing of 3 - 1: In an HPBO run requiring 3 - 1 post spacings, up to three posts may be shortened by amounts not exceeding 16 inches, but the deflection distance within 10 of the shortened posts must be taken as 4 feet. See Detail 4-E. One or two posts may be shortened by more than 16 inches, provided a reinforcing channel is placed behind the rail and its ends are supported by at least two full-length posts on either side of the spanned area. See Detail 4-F. As indicated on Standard Sheet 606-09, heavy posts may be further shortened to a minimum embedment depth of 18 inches, provided the entire embedment depth is encased in concrete with a diameter of at least 12 inches. If the shallow obstruction is even closer to the ground surface and is composed of sound concrete with sufficient structural strength, a base plate, as indicated on Standard Sheet 60610, may be welded to the bottom of the post and bolted to the concrete. 6/28/2010 10B-3D

10B-18

ROADSIDE DESIGN APPENDIX B

10B-10 Accommodating Shallow Obstructions for HPBO W-Beam with 6 - 3 Spacing

6 - 3 (TYPICAL POST SPACING) 6 - 3 6 - 3 (TYPICAL POST SPACING)

POST SHORTENED BY UP TO 16.5 inches

DETAIL 4-A
FOR DETAILS 4-A, 4-B, AND 4-C, ASSUME STANDARD DEFLECTION = 4 ft

6 - 3 (TYPICAL POST SPACING)

6 - 3

6 - 3 (TYPICAL POST SPACING)

6 - 3

POSTS SHORTENED BY UP TO 16.5 inches ADD SOIL PLATES

DETAIL 4-B
6 - 3 (TYPICAL POST SPACING) 6 - 3 6 - 3 (TYPICAL POST SPACING) ADDITIONAL W-BEAM ADDED BEHIND RAIL SECTIONS

POST SHORTENED BY OVER 16.5 inches

DETAIL 4-C

10B-3D

6/28/2010

ROADSIDE DESIGN APPENDIX B Figure 10B-11 Accommodating Shallow Obstructions to Post Driving for HPBO W-Beam with Channel Backup and/or 3 - 1 Spacing
6 - 3 (TYPICAL POST SPACING) 6 - 3 6 - 3 (TYPICAL POST SPACING) 6 - 3

10B-19

REINFORCING CHANNEL ADDED BEHIND RAIL SECTIONS

DETAIL 4-D
SOIL PLATES ADDED TO FLANKING POSTS DEFLECTION DISTANCE = 4 ft

POST SHORTENED BY OVER 16.5 inches

DEFLECTION =2 ft 10 ft
37.5 37.5 37.5

ASSUME DEFLECTION DISTANCE = 4 ft

10 ft
37.5 37.5 37.5 37.5 37.5 37.5

DEFLECTION = 2 ft

WITH 37.5 POST SPACINGS, USE SOIL PLATES

POST SHORTENED BY UP TO 16.5 inches

DETAIL 4-E

37.5

37.5

37.5

37.5

37.5

37.5

37.5

37.5

37.5

REINFORCING CHANNEL ADDED BEHIND RAIL SECTIONS *

WITH 37.5 POST SPACINGS, USE SOIL PLATES

POSTS SHORTENED BY OVER 16.5 inches

DETAIL 4-F
* REINFORCING CHANNEL SUPPORT TO INCLUDE TWO FLANKING POSTS ON EACH SIDE WHEN TYPICAL SPACING IS 37.5 DEFLECTION DISTANCE = 2 ft

6/28/2010

10B-3D

10B-20 3E.

ROADSIDE DESIGN APPENDIX B Base Plates for Weak Post Rail Systems

In some instances, it is appropriate to weld a base plate to the bottom of a weak post and bolt the base plate into concrete. The following factors should be considered: 1. It is significantly more difficult to replace a bolted post that has been struck by an errant vehicle than it is to replace a driven post. 2. It may not be acceptable to bolt to the roof of some concrete box culverts. The Structures Division should be consulted. 3. The base plate may be very difficult to replace if it is not at ground surface, particularly if it is well below an asphalt vegetation control strip. 4. There may be problems with the long term strength of welded and bolted connections, so their use should be limited to cases where other choices would be problematic. 5. Welding and bolting is significantly more expensive than normal post driving, particularly when a concrete foundation must also be provided. 6. If a concrete base must be constructed, it should have its top flush with final grade and be wide enough to function as a vegetation control strip, if one is needed. 7. A grout pad may be needed to set the plate level and the guide rail post vertical. If it is determined that a base plate option is needed, an acceptable base plate may be made from steel plate with dimensions of 10 x x 8 and bolt holes as indicated in Detail 5-A. When a new concrete slab must be poured, it should be massive enough that, when the guide rail is struck, failure of the rail to post connection and bending of the post will occur, rather than extraction of the slab. Typically, this may be assumed to be 3.5 cubic feet of concrete per foot of rail, with a minimum of cy for a single slab. Anchorage may be achieved either by drilling and grouting the bolts into the cured slab (drilling and grouting specification 586.01), or by setting the bolts during the pour, in which case the minimum embedment length should be 12 inches. See Detail 5-B. When fastening to an existing concrete footing, two 7/8 inch grouted or expansion bolts, F568 galvanized Class 8.8 or 8.8.3, and a minimum embedded length of 12 inches should be used. See Detail 5-C. When fastening to the top of a box culvert less than 13.5 inches thick, the bolts should extend through the concrete and a matching plate and nuts should be provided on the underside of the culverts top. See Detail 5-D.

10B-3E

6/28/2010

ROADSIDE DESIGN APPENDIX B

10B-21

Fig. 10B-12 Acceptable Base Plate Design & Bolting Options for Weak Post Guide Rail Systems
Reinforce top of slab with #8 reinforcing bars at 12 inches each way

Steel Plate Minimum Thickness S3x5.7 Weak Post for Guide Rail Support

10 inches 3 inch 8 inches (cover) Galvanized M24 Studs F568 Cl. 8.8 or 8.8.3

1.5 1/8 inch 6.6 mm Hole DETAIL 5-A

C L1
3 - 3

1 ft 2 in

Note: All bolts to receive galvanized heavy hex nuts. Nuts are to be double nutted to prevent loosening New Concrete Foundation Slab by vibration or casual vandalism. Tack weld size should Cast at Grade facilitate subsequent nut removal and post replacement.

For stability at impact, minimum foundation slab length to be 5 - 3

DETAIL 5-B

Galvanized M24 studs or deformed bars

Provide thin layer of non-shrink grout, if required for plate leveling

1 ft

inch Plate 2 inch holes, grouted per 586 specifications

Anchorage to Existing Slab 1.5 in holes (Grouting per 586 specification

for corrosion protection is recommended)

Anchorage to Box Culvert Slab

DETAIL 5-C

DETAIL 5-D

6/28/2010

10B-3E

10B-22 3F. Concrete Barrier

ROADSIDE DESIGN APPENDIX B

In some shallow obstruction situations, it may be reasonable to substitute concrete barrier for guide rail. Concrete barrier has the advantages of requiring much shallower embedment depths than guide rail (9 inches vs. 33) and being much less likely to need repair after most impacts. Its low deflection distance may also make it unnecessary to provide grate over a culvert end. It has the disadvantages of producing a more severe impact when struck by an errant vehicle, being more expensive, more difficult to transition to, and more visually obtrusive. Given the above advantages and disadvantages, the following factors would increase the desirability of substituting concrete barrier for guide rail over shallow obstructions. A rail system would have to have several posts bolted to a concrete foundation. Traffic volumes and accident history indicate that there would be frequent damage to bolted posts requiring expensive and time-consuming repairs. The shielded objects are close to the line of the barrier, therefore requiring use of a barrier with little deflection. Sufficient level space is available to flare back the ends of a concrete barrier. If, after evaluation of the above factors, it is judged that a concrete barrier will be used over the shallow obstructions to post driving, then the Jersey-shape Pier Protection details shown on Standard Sheet M606-19, as of this HDM revision, may be adapted for that purpose. The normal adaptations would be to use full sections of concrete barrier rather than concrete half sections, and to eliminate the use of backup measures.

10B-3F

2/13/2010

ROADSIDE DESIGN APPENDIX B 3G. Lateral Offsets

10B-23

Infrequently, situations may be encountered where shallow obstructions do not extend for any significant distance behind the rail. For instance, a wing wall may extend in the direction of the rail and interfere with the normal post location. In such instances, it may be acceptable to place a post farther back from the line of the rail and provide blockouts to make up the offset distance. The following factors constrain the use of this option. 1. At the setback position, the post must have enough soil support to provide the needed lateral support to the rail. Guidance on the soil support requirements is contained in Table 10-4 of the Highway Design Manual. 2. The amount of offset must be limited. When the rail is struck, the post will bend at the base. If too much blocking-out is provided, there will be a tendency for the rail to be lifted as the blockout rotates toward the vertical. If the rail is raised too much, vehicles with low front end geometries will be able to pass under the rail, allowing them to snag on a heavy post system, or to enter the shielded area of a weak post system. In a worst case, the rail could pass through a windshield. 3. Consideration must be given to the interaction between the blockout and the vehicle. Unlike blockouts on HPBO where the stiffness of the system allows the rail to essentially shield the vehicle from the blockout, impacted weak post systems typically separate the rail from the post. When this occurs, the vehicle often strikes the post. If the blockout separates from the post, it could potentially enter the passenger compartment. If the blockout does not separate, it may contribute to snagging of the vehicle. Consequently, the fastening of the blockout to the post should be strong enough to prevent the blockout separating from the post when the post is struck, but weak enough to allow the blockout to be ripped from the post when the vehicle engages the blockout. Based on the above considerations, the following limitations should be applied to lateral offsetting. 1. At the setback position, each post must have adequate soil support. 2. If only one post is being set back, its maximum offset should not exceed 20 inches. 3. If more than one post needs to be set back, the maximum offset of any one post should not exceed 12 inches. 4. The maximum length of rail supported by offset posts should not exceed 24 feet. 5. Blocking out of cable guide rail should be avoided. However, if it is judged necessary, blockouts may built up from sections of standard box beam, cut to 10 inch lengths. The blockouts should be oriented vertically to prevent the accumulation of debris which could retain water and promote rusting. The blockouts should be drilled to accept the typical three J-bolts on the face that is in contact with the cables. The blockouts should be drilled to permit fastening to the posts using the top and bottom holes normally provided in the posts to receive the J-bolts. 6. The blockouts for weak post W-beam may be made from treated wood, approved plastic blockouts, or from box beam as above, except that the blockouts should be 14 inches in length. If box beam is used, the blockouts should be joined to each other and the post in the same manner as described above. The connection to the rail should be as shown on Standard Sheet for Corrugated Beam Guide Railing. If treated timber blockouts are used, the width of the blocks should be approximately 5 inches (commercially available 6x6 timbers). A 3/8 inch deep by 2 wide rabbet should be cut in the side that will receive the post. Bolting should be similar to that

6/28/2010

10B-3G

10B-24

ROADSIDE DESIGN APPENDIX B

indicated for standard blockouts for Heavy Post Blocked Out (HPBO) W-Beam. If the offset requires the use of more than one wooden block, the blockouts should be toenailed together with #12 galvanized finishing nails to prevent the blocks from rotating about the single bolt. 7. The blockouts for box beam guide rail may be made from 10 inch lengths of box beam fastened to the posts in the same manner described above for cable guide rail blockouts. However, the holes drilled in the blockout should be positioned to place the top of the blockout flush with the top of the post. The angle used to seat the rail should be connected between the rail and the blockout in a manner similar to that indicated on the standard sheet for Box Beam Guide Rail. 8. If an HPBO system needs to have a post or posts offset farther than the distance provided by the standard blockout, the additional offset may be achieved by incorporating additional standard blockouts and using a longer bolt. To prevent the blockouts from rotating about the bolt, the blocks should be fastened together with either galvanized nails or screws.

3H. Payment Considerations In general, designers specify the required areas of coverage for a run of guide rail and do not address the placement of individual posts. Consequently, it is not reasonable for designers to address potential post driving conflicts with narrow obstructions, since they would have no way of knowing whether the posts would straddle that obstruction or not. The burden is therefore on the contractor to be aware of the observable potential conflicts and to bid accordingly. This responsibility is spelled out in the Standard Specifications, Section 102-04 No Misunderstanding, which states that, The bidder agrees that its proposed contract prices include all costs arising solely from existing conditions shown, or specified in the contract documents...or readily observable from a site inspection... Where potential conflicts with post driving are identified during design, the nature of those conflicts should be indicated in the contract documents, preferably including notes on the plans. This is more important for features that are not readily apparent by a visual inspection of the site, such as buried utilities or footings. When it is known that special provisions will need to be constructed to support the railing, such as the furnishing of a concrete slab and the bolting of posts to that slab, the details should be provided in the contract plans. In some instances, obstructions to post driving will be encountered that could not reasonably have been predicted from a reasonable site investigation. Typically, this will be the case with unanticipated boulders or shallow bedrock. In these instances, payment should be determined in accordance with Standard Specification section 109-16, Changed Conditions and Delay Provisions, subsection A, 1, Different Site Conditions, which requires written notification of parties when unanticipated conditions are encountered. The specification further charges the Engineer with investigating the conditions and determining the need for cost or time adjustments and their amount.

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Appendix 10C Barrier Impact Testing and Its Relation to In-Service Performance Table of Contents

Section 1.0 Introduction 2.0 Crash Testing Standards 2.1 Test Levels 2.2 Test Conditions for Test Level 3 2.3 Changes from NCHRP350 to MASH 3.0 Limitations of TL3 Crash Testing 3.1 Vehicles 3.2 Speeds 3.3 Topography 3.4 Vehicle Orientation 3.5 Barrier or Terminal Installation 4.0 In-Service Performance of Barriers and Terminals 4.1 Absence of Implied Warranty 4.2 Forced Compromises and Safety Conflicts 4.3 Common Contributing Factors to Unfavorable Outcomes 5.0 Afterword

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ROADSIDE DESIGN - APPENDIX C

10C-3

1.0 Introduction: Designers are not required, nor expected, to be familiar with the testing processes that are used to develop the barrier, attenuator, and terminal systems that are used in their roadside designs. However, this appendix is provided as a convenience for the many designers who have expressed an interest in developing a basic understanding of these matters.

2.0 Crash Testing Standards: There have been three successive testing standards that affected the barrier and guide rail systems that are and will be on New Yorks highways. 1. NCHRP 230 The National Cooperative Highway Research Projects Report 230 was issued in March 1981 as the Recommended Procedures for the Safety Performance Evaluation of Highway Appurtenances 2. NCHRP 350 Report 350 was issued in 1993 as a replacement for NCHRP230. The last word of the title was changed to Features. 3. MASH The Manual for Assessing Safety Hardware was issued in 2009 as a replacement for Report 350. In NCHRP 230, barrier design parameters were based on crash tests with an 1800 lb car as the small test vehicle and a four-door, 4500 lb sedan as the large test vehicle. Since then, vehicle preferences changed to the extent that NCHRP was issued with a 2000 kg pickup truck specified as the large test vehicle. Changes were also made to the crash testing criteria. As a result, several long-accepted barrier systems failed the crash testing and some aspects of the barrier design became more complex. As an interpretation and expansion of a resulting FHWA mandate, all barriers and terminals installed within the clear zone on the NHS and other high-speed arterials had to pass, or be judged by FHWA to be capable of passing, the NCHRP 350 tests, for projects advertised after September 1998. Traditional terminals may still be used on these high-speed highways, provided the terminals are located close to, at, or beyond the limit of the clear zone.

2.1 Test Levels: There are various levels of test severity corresponding to the situations where a barrier will be used. Test Levels 1 through 3 involve impacts with vehicles roughly bracketing passenger vehicle weights: small cars to large pickup trucks. Test Levels 4 through 6 involve progressively heavier or less stable trucks. 1. TL-1 may be used where the vehicle operating speeds will be 30 mph or less. 2. TL-2 may be used where the vehicle operating speeds will be 45 mph or less. 3. TL-3 is used in New York State as the normal test level for all other highways except for bridge railings and pier protection. In practice, TL-3 devices are also used for most low-speed highways, rather than using separate TL-2 or TL-1 systems. 4. TL-4 uses single-unit trucks with weights around 11 tons. It is the general criteria for bridge rails in New York State 5. TL-5 uses large tractor-trailer trucks weighing approximately 40 tons. It is the test level required of bridge rail on routes with high volumes of heavy truck traffic. 6. TL-6 is seldom applied in practice. The test involves a heavy tanker truck with a tank center of gravity nearly 7 feet above grade. In practice, this loading needs to be resisted by stout concrete walls about six feet tall. New York does not require TL-6 barriers. Test Levels 1 and 2 and 4 through 6 will not be discussed further here. 2.2 Test Conditions for Test Level 3: Essentially all guide rail and terminals placed on state highways in the last decade have been systems tested in accordance with NCHRP350s Test Level 3. All vehicle speeds for Test Level 3 were 100 kph (62 mph) impacts. For 6/28/2010 10C-2.0

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longitudinal barriers, two impacts were used: a 2000P (4400 lb pickup) impacting at an angle of 25 degrees and an 820C (1800 lb car) impacting at 20 degrees. For terminals and crash cushions, a broader array of impact directions and contact locations needed to be tested. Impacts were required both on the leading end of the systems and on the side. End impacts were required at angles of 0 degrees (in line with the run) and 15 degrees. Side impacts were run at 15 degrees and 20 degrees. Side impact locations were positioned to determine where the terminal was capable of redirecting a vehicle, rather than allowing it to gate through the terminal. Additional tests were sometimes required to ensure that pocketing would not happen at the juncture between the terminal (or attenuator) and the barrier. If snagging was possible on reverse-direction impacts, a test had to be run with the test vehicle impacting the side of the terminal as the vehicle was traveling the opposite direction. For all tests, the vehicle was to be tracking in a straight line into the article (barrier, terminal) being tested. 2.3 Changes from NCHRP350 to MASH: The primary change was made in recognition of the increasing weights of the vehicles on our highways. The light car increased in weight from an 820C to an 1100C (2425 lb car). The pickup truck, which also serves as a surrogate for minivans and SUVs, increased from a 2000P to a 2270P (5000 lb pickup). Additional relevant changes include the following. The side impact angle for small vehicles was increased from 20 to 25 degrees. The impact angle for the length of need test was also increased from 20 to 25 degrees. For end impacts, the oblique angle test was changed from a fixed 15 degrees to the angle between 5 and 15 degrees presumed most critical for the system. Numerous other changes were made, but are not particularly significant to this appendix.

3.0 Limitations of TL3 Crash Testing 3.1 Vehicles: In the real world, crashes can come in a wide variety. The vehicles involved include motorcycles, small cars, sedans, mini-vans, SUVs, pickups, panel trucks, large vans, and heavy tractor-trailers. Crash tests at Test Level 3 use only two discrete examples from a broad spectrum of possible vehicles. While the two examples are meant to bracket the majority of the vehicles on the highway, the tests do no cover the high and low ends. As a consequence, barriers and terminals designed to TL3 criteria are not designed to be forgiving to motorcyclists and are not designed to redirect large trucks hitting at significant angles. 3.2 Speeds: Operating speeds often exceed the posted speeds. Furthermore, vehicles traveling at the high end of the operating speeds on any given highway are over-represented in the accident statistics. Particularly on high-speed freeways, operating speeds of 70 to 80 mph are not uncommon. However, the maximum impact speed at any test level is only 62 mph. Considering that the impact energy varies as the square of the velocity, many actual crashes will distinctly exceed the energy that the barriers strength was designed for.

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3.3 Topography: The testing criteria have consistently required that the tests be conducted on level ground. Particularly for terminals, this provision is critical to ensuring that the vehicle remains upright after the impact. In the real world, it will be uncommon for there to be a broad level area behind either a terminal or the barrier, particularly on secondary highways. 3.4 Vehicle Orientation: In many accidents, the driver of an errant vehicle has engaged in some form of avoidance maneuver prior to striking a barrier or terminal. As a result, the vehicle may be spinning, sliding sideways, leaning, or nosing downwards. The required crash tests do not incorporate any of these conditions. Rather, the test vehicle is traveling in a straight line (tracking) with no braking occurring. 3.5 Barrier or Terminal Installation: The testing of a given system is performed on an assumed typical installation of that system. In practice, there will be many sites that do not permit the system to be installed as tested, typically because of limited longitudinal space for the system, curvature of the road, shallowly buried utilities, or abrupt slopes. As a result, there will be many situations where engineering judgment must be used to install a modification of a standard system. Some sites require major adaptations of the system. Crash testing is rarely performed on these modifications.

4.0 In-Service Performance of Barriers and Terminals 4.1 Absence of Implied Warranty: The presence of a guide rail, concrete barrier, terminal, or attenuator carries no implied warranty that a favorable outcome will result when the article is impacted. Similarly, there is no warranty that an installed system meets current crash testing criteria. A given installed system is not required to meet standards that evolved after it was installed. In some circumstances, a given system may be judged sufficiently outmoded that it should be replaced when the first good opportunity presents itself, such as when a major project is undertaken on that stretch of highway. In rarer circumstances, the performance of an existing system may be considered sufficiently unsatisfactory that replacement, modification, or removal of the system should take place, even if there is no other work needing to be done at those locations. Finally, installation of a system at a given location does not require that the system be installed to prevailing standards at that time. As stated earlier, there are many circumstances where the site does not permit the standard installation details to be used. In those circumstances, engineering judgment must be used to modify the system so that it will both fit within the site constraints and provide a reasonable balance between competing safety considerations. Strength (to ensure vehicle capture or redirection) and yielding (to minimize deceleration severity) are two such commonly conflicting considerations. 4.2 Forced Compromises and Safety Conflicts: It is not possible to design a barrier or terminal that will perform well in all circumstances, particularly where high speeds are involved. Often, conflicts must exist between competing safety considerations. A few of many possible examples follow. To safely redirect large trucks, concrete barriers are required. However, a concrete barrier will not yield when struck by a passenger vehicle, making such an impact much more dangerous than an impact with a steel barrier that can yield and redirect the vehicle much less harshly.

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ROADSIDE DESIGN - APPENDIX C A motorcyclist sliding into any barrier is at severe risk, but much more so when sliding into the posts of a guide rail system. While a rub rail could be installed to prevent motorcyclists from impacting directly into the posts, the presence of such an element could largely compromise the performance of the guide rail for passenger vehicles which tend to be much more frequent customers of the guide rail. When impacted, guide rails tend to lean back. When the top rail leans back, the rub rail would tend to remain near the bottom of the post, providing an element for the cars tires to climb. As a result of the lean of the main rail and the step provided by the rub rail, the chances of passenger vehicles being launched over the rail would be greatly increased. An HPBO system is much less likely than a cable system to let a vehicle with a low front end geometry pass under the rail. However, passenger vehicles will experience much more severe lateral decelerations on the heavy post system than on a cable system.

4.3 Common Contributing Factors to Unfavorable Outcomes: 1. Excessive Speed: When impact speeds significantly exceed 62 mph several bad outcomes may occur. a. A barrier may deflect more than under normal conditions, allowing the vehicle to contact the object that the barrier was shielding. b. The strength of the barrier may be exceeded, allowing it to rupture. This is typically most likely with w-beam (corrugated) weak or heavy post blocked out guide rail. c. Most of the terminals designed to satisfy NCHRP350 are designed to absorb a certain amount of impact energy. If the vehicles energy significantly exceeds that amount, the terminal may not function as desired. 2. Vehicle Lean: Vehicles that are turning sharply or skidding sideways will lean significantly, reducing their stability for overturning. If a vehicle is leaning significantly when it contacts a rail, the rail needs to provide only a mild amount of tripping force to allow the vehicle to roll sideways over the rail. In some instances, the vehicle may have rolled even without the rail contact. 3. Nosing Down: A significant number of passenger vehicles are designed with aerodynamics in mind. Unfortunately, this often includes a sleek profile with a low front end. When a vehicle brakes, it tends to tip forward, placing the front end even lower to the ground. In some cases, the front of the vehicle may be lowered to the point where it will be below the guide rail. This may permit the vehicle to slide under the rail to the point where the rail impacts the windshield or even penetrates the passenger compartment. While this is a potential problem with all steel rails it may be most likely with cable guide rail systems. 4. Lateral Skids: While statistical studies vary, there are a significant number of accidents, particularly at high speeds, where the vehicle will at some point be skidding sideways. This can be a significant problem if the vehicle runs into the end of an energy-absorbing terminal such as an SKT, ET2000, WyBET, or BEAT (any terminal with an impact head). These terminals, in absorbing impact force, also apply a force to the vehicle. The crash-tested designs apply this force to the front of the vehicle where the momentum of the engine and the strength of the front of the vehicle shield the driver from the impact point. If a vehicle slides into such a terminal sideways, the force is applied through the weak side of the vehicle and into the passenger compartment without benefit of the crumple zone at the front of the vehicle. Consequently, adverse outcomes are not unlikely for high-speed crashes where the vehicle moves sideways into an energy-absorbing terminal. 10C-4.3 6/28/2010

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5. Side Slopes: By themselves, side slopes may make the final contribution needed to allow an accidental excursion to turn into a serious rollover accident. If a vehicle is in a lateral skid towards a shoulder break, the abrupt loss of vertical support for the outside tires may allow the lean to convert to a roll. For vehicles with high centers of gravity, such as pickups or SUVs with oversized tires or chassis raised for off-road use and many large trucks, simply crossing a shoulder break at a shallow angle may permit enough roll inertia to develop that the vehicle will overturn even on a relatively mild 1:3 or 1:4 slope. If a vehicle is at risk for overturning as it crosses the shoulder break, impacting an energy-absorbing terminal with the front, traffic-side corner of the vehicle is likely to apply a destabilizing force that will significantly increase the likelihood of a rollover happening.

5.0 Afterword: Crash testing criteria only establish a minimum threshold of performance for guide rail, concrete barriers, terminals, and attenuators. They do not ensure that an approved system will provide acceptable results for the full range of installation conditions and accident circumstances that will occur. A given approved system may barely meet some criteria while easily meeting others. Different systems will vary in their appropriateness for a given set of site conditions. However, beyond generalities, it is not possible to calculate any clear boundary separating the appropriate uses of two systems. Instead, engineering judgment must be applied to the selection process.

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Index

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Section

Acceptable Deficiencies ..................................................................................................10.3.2.1 Access Gaps ...................................................................................................................10.2.2.6 ADIEM ......................................................................................................................... 10.2.6.6 A Aesthetic Barrier Options ................................................................................................10.2.3.7 Anchor Blocks, W-beam .................................................................................................10.2.5.2 Anchor Blocks, cable ......................................................................................................10.2.5.1 Anchor Blocks, Box beam .............................................................................................. 10.2.5.3 Any-Speed Hazards ........................................................................................................10.2.1.1 Auxiliary Lanes, Clear Zones .............................................................................................10.2.1 Back Slope Anchorage ....................................................................................10.2.5.1, 10.2.5.2 Backup Channels ............................................................................................................10.2.2.3 Backup Posts .....................................................................10.2.2.3, 10.2.3.5, 10.2.3.6, 10.2.5.1 Barricades ..........................................................................................................................10.5.5 Barrier, Dead End ..............................................................................................................10.5.5 Barrier Selection .............................................................................................................10.2.2.3 Basic Recovery Width ........................................................................................................ 10A.1 Beyond the Clear Zone .......................................................................................10.2.1, 10.2.1.1 Blockouts ........................................................................................................................10.2.3.5 Bodies of Water ..............................................................................................................10.2.1.1 Box Beam Guide Rail ......................................................................................................10.2.3.4 Box Beam Median Barrier ...............................................................................................10.2.4.5 Brakemaster ............................................................................................................. 10.2.5.3 B Breakaway Base .............................................................................................................10.2.1.2 Cable Guide Rail .............................................................................................................10.2.3.1 Cable Median Barrier .................................................................................................. 10.2.4.9 D Camp Areas ....................................................................................................................10.2.7.5 Cattle Passes .....................................................................................................................10.5.3 Cattle Fencing .................................................................................................................10.5.2.2 Chain Link Fencing .........................................................................................................10.5.2.2 Clear Area ..........................................................................................................................10.2.1 Clear Runout Width ............................................................................................................10.2.1 Clear Zone .........................................................................................................................10.2.1 Clotheslining ......................................................................................................................10.2.5 Concrete Barriers, Temporary ...........................................................................................10.4.1 Concrete Barriers ............................................................................................................10.2.3.6 Concrete Barriers, Median ..............................................................................................10.2.4.6 Configuration F ........................................................................................................... 10.2.4.9 C Continuity ........................................................................................................................10.2.2.6 Corrugated Guide Rail ....................................................................................................10.2.3.2 Corrugated Median Barrier .............................................................................................10.2.4.4 Crash Testing ................................................................................................................App. 10C Crossover Areas .............................................................................................................10.2.4.4 Curbing ...........................................................................................................................10.2.2.4 Curve Corrected Recovery Width ......................................................................................10.2.1 Cut Slopes .........................................................................................................................10.2.1 Dead-End Barriers .............................................................................................................10.5.5 Deflection Distance .........................................................................................................10.2.2.3 Delineation ......................................................................................................................10.2.1.2 6/28/2010 Index

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Design Clear Zone Width ................................................................................................... 10A.1 Desired Minimum Clear Zone Width .................................................................................. 10A.1 Ditches, Longitudinal ................................................................................................... 10.2.1.1 C Documentation ...................................................................... 10.2.1, 10.2.2, 10.3.3, Appendix B Downstream Shielding ....................................................................................................10.2.2.1 Dragnets ............................................................................................................................10.4.3 End Sections, Drain Pipe ............................................................................................ 10.2.4.4 A End Sections, Barrier .........................................................................................................10.2.5 Escape Ramps ................................................................................................................10.2.6.5 ET-2000" .................................................................................................................... 10.2.5.2 C Extra Length Posts ...................................................................................................... 10.2.3.5 A Extruder Terminal ....................................................................................................... 10.2.5.2 C F-Shape Barrier .......................................................................................................... 10.2.4.9 C Fences, Chain Link - Top Rail .........................................................................................10.5.2.2 Fences, Private ..............................................................................................................10.5.2.1 Fences, Right of way ......................................................................................................10.5.2.2 Fences, Vandalism .........................................................................................................10.5.2.3 Fixed Objects ..................................................................................................................10.2.1.1 Flare Rates, Permanent .....................................................................................................10.2.5 Flare Rates, Temporary Construction ................................................................................10.4.1 Flexible Delineators ........................................................................................................10.2.1.2 Gaps (in guide rail) ..........................................................................................................10.2.2.6 Glare Screens .................................................................................................................10.2.4.7 Gratings ..........................................................................................................................10.2.1.2 GREAT ............................................................................................................................10.2.6.3 Guide Posts .......................................................................................................................10.5.4 Hazardous-at-any-speed Features ............................................................................. 10.2.1.1 A Hazards, Potential ...........................................................................................................10.3.1.2 Hex-Foam Sandwich System ..........................................................................................10.2.6.3 Hydrant Fenders .............................................................................................................10.2.7.6 HydroCell Clusters ..............................................................................................10.2.6, 10.2.7.3 Impact Attenuators .............................................................................................................10.2.6 Innovative Median Barriers .............................................................................................10.2.4.9 Innovative Attenuation Systems ......................................................................................10.2.6.6 Intersections, Guide Rail Use At .....................................................................................10.2.5.6 Interstate Slopes .................................................................................................. 10.2.1 (p.10-4) Ironwood Guide Rail .....................................................................................................10.2.3.7 ISTEA ....................................................................................................................................10.1 Jersey barriers ................................................................................................................10.2.3.6 Landscape Hazards .................................................................................................... 10.2.7.4 B Long Guide Rail Posts ................................................................................................... 10.2.3.5 Low Profile Barrier ..........................................................................................................10.2.2.7 Mailboxes ...........................................................................................................................10.5.1 MASH ........................................................................................................................ Appendix C Median Barriers ..................................................................................................................10.2.4 Median Crossover Areas ..............................................................................................10.2.4.11 Medians, Narrow .............................................................................................................10.2.4.3 Medians, Transitions .....................................................................................................10.2.4.10 Medians, Uneven ............................................................................................................10.2.4.8 Medians, Wide ................................................................................................................10.2.4.2 Moveable Concrete Barrier ......................................................................................... 10.2.4.9 B Mowing Strips ............................................................................................................. 10.2.3.5 B NCHRP 350 .................................................................................................. 10.2.2, Appendix C Index 6/28/2010

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Noise Barriers .................................................................................................................10.5.2.6 Nonbypassable Hazards .................................................................................................10.2.2.2 Nonconforming Feature ........................................................................................................10.1 Nonrecoverable Slope .......................................................................................................10.2.1 Obstacle ..........................................................................................................................10.2.1.1 Pedestrian Shielding .......................................................................................................10.2.2.7 Pier Protection ................................................................................................................10.2.3.6 Point of Need ..................................................................................................................10.2.2.1 Point of Redirection .........................................................................................................10.2.2.1 Posts, Weak ....................................................................................................................10.2.3.5 Posts, Heavy ...................................................................................................................10.2.3.5 Potential Hazards ............................................................................................................10.2.1.1 Ramps ......................................................................................................................... 10.2.4.1 B REACT (Reusable Energy Absorbing Crash Terminal) ..................................................10.2.6.3 Redirecting Back Slopes ..................................................................................10.2.2.1, 10.2.5.4 Redirection, Point of ........................................................................................................10.2.2.1 Reducing Deflection ........................................................................................................10.2.2.3 Reflective Markers ..........................................................................................................10.2.1.2 Reflectors on Rustic Rail .................................................................................................10.2.3.7 Roadside Design Summary ...............................................................................................10.3.3 Roadside Obstacle ..........................................................................................................10.2.1.1 Roadside Safety Concern .....................................................................................................10.1 Rounding Slope Intersections .............................................................................10.2.1, 10.2.2.1 ROW Fencing .................................................................................................................10.5.2.2 Resetting Guide Rail ..........................................................................................................10.5.7 Rock Slopes ....................................................................................................................10.2.1.2 Runout Length ................................................................................................................10.2.2.2 Runout Width .....................................................................................................................10.2.1 Rustic Guide Rail ............................................................................................................10.2.3.7 Sand Barrels ...................................................................................................................10.2.6.2 Screens, Visual ...............................................................................................................10.5.2.5 Self-Oxidizing Rail ........................................................................................................10.2.3.7 Self Restoring Median Barrier ..................................................................................... 10.2.4.9 E SERB .......................................................................................................................... 10.2.4.9 E Shallow Obstructions ......................................................................................................... 10B-1 Shoulder Breaks, Effect on Guide Rail Support .......................................................... 10.2.3.5 A Shoulder Breaks, Rounding ...............................................................................................10.2.1 Single Slope Concrete Median Barriers ...................................................................... 10.2.4.9 A Sight Distances ...............................................................................................................10.2.2.5 Signal Poles ................................................................................................. 10.2.1.2 C, 10.2.4.6 Site Inspection Record ....................................................................................................10.3.1.1 Slopes, Height Issues ........................................................................................................10.2.1 Slopes, Traversable ...........................................................................................................10.2.1 Slopes, Recoverable ..........................................................................................................10.2.1 SRT (Slotted Rail Terminal) ........................................................................................ 10.2.5.2 D Steep Slopes ...................................................................................................................10.2.1.1 Stone-faced Barrier .........................................................................................................10.2.3.7 Suburban Roads .............................................................................................................10.2.7.4 Taper Rates ..........................................................................................................10.4.1, 10.2.5 Terminals ..........................................................................................................................10.2.5 Terminating near Clear Zone Limit ..................................................................................10.2.5 Thrie Beam .....................................................................................................................10.2.3.3 Timber Curbs .....................................................................................................................10.4.2 6/28/2010 Index

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Timber-faced Barrier .......................................................................................................10.2.3.7 Transitions, Guide Rail ....................................................................................................10.2.5.5 Transitions, Median .......................................................................................................10.2.4.10 Treatment Hierarchy .......................................................................................................10.2.1.2 Trees ...............................................................................................................................10.2.1.1 Truck Barrier ............................................................................................................... 10.2.4.9 C Truck Escape Ramps ......................................................................................................10.2.6.5 Underground Utilities .................................................................................................. 10.2.3.5 A Utility Poles ................................................................................................................. 10.2.7.4 C Vaulting ...........................................................................................................................10.2.2.4 Vegetation Control Strips ............................................................................................ 10.2.3.5 B Vehicle Arresting Barrier ....................................................................................................10.4.3 Visual Screen Fencing ....................................................................................................10.5.2.5 Water Features ...............................................................................................................10.2.1.1 W-Beam Guide Rail ........................................................................................................10.2.3.2 Weathering Guide Rail ....................................................................................................10.2.3.7 Wide Medians .................................................................................................................10.2.4.2 WYBET (Wyoming Box End Terminal) ....................................................................... 10.2.5.4 C

Index

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HIGHWAY DESIGN MANUAL

Chapter 11 Signs, Signals, and Delineation

Revision 53

February 1, 2008

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SIGNS, SIGNALS, AND DELINEATION Contents 11.1 Page

INTRODUCTION ............................................................................................................................. 11.1.1 General Design Considerations............................................................................................ 11.1.2 Use of the Manual of Uniform Traffic Control Devices .......................................................

11.2

SIGNS ............................................................................................................................................... 11.2.1 11.2.2 11.2.3 11.2.4 11.2.5 General Sign Issues............................................................................................................... Regulatory Signs ................................................................................................................... Warning Signs....................................................................................................................... New York State Scenic Byways Sign Manual ..............................................11-100 Decorative Community Gateway Signing and/or Landscaping on New York State Highway Right of Way ................................................................11-100

11.3

TRAFFIC SIGNALS .................................................................................................11-101 11.3.1 11.3.2 11.3.3 11.3.4 11.3.5 11.3.6 Types Of Signals..........................................................................................11-101 Vehicle Detection Systems ..........................................................................11-121 Signal Operation Design ..............................................................................11-135 Plans and Specifications ..............................................................................11-179 Terminology .................................................................................................11-186 References...................................................................................................11-198

11.4

PAVEMENT MARKINGS ............................................................................................................... 11.4.1 Purposes of Markings ............................................................................................................ 11.4.2 Definitions and Terminology ................................................................................................. 11.4.3 Types of Pavement Marking Systems ..................................................................................... 11.4.4 Roadway Surface Preparation ............................................................................................... 11.4.5 Policies on Permanent Pavement Markings .......................................................................... 11.4.6 Construction Zone Pavement Markings................................................................................. DELINEATORS AND OTHER DEVICES 11.5.1 Delineators............................................................................................................................. 11.5.2 (SAFESTRIP) Rumble Strips.................................................................................................. 11.5.3 Object Markers ......................................................................................................................

11.5

NOTE: Material in italics is in development and will be issued at a later date.

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SIGNS, SIGNALS, AND DELINEATION LIST OF TABLES Number Table 11-1 Table 11-2 Table 11-3 Table 11-4 Table 11-5 Table 11-6 Table 11-7 Table 11-8 Table 11-9 Table 11-10 Table 11-11 Table 11-12 Table 11-13 Table 11-14 Table 11-15 Table 11-16 Table 11-17 Table 11-18 Table 11-19 Table 11-20 Table 11-21 Table 11-22 Table 11-23 Title Page

Definitions of Lane Control Signal Displays..................................................11-102 Four-Hour Volume Warrant ..........................................................................11-105 Reduced Four-Hour Volume Warrant...........................................................11-106 Peak-Hour Volume Warrant .........................................................................11-107 Reduced Peak-Hour Volume Warrant ..........................................................11-108 Nonintersection Pedestrian Signal Operation...............................................11-112 One-Lane Signal Control Operation .............................................................11-113 Emergency Vehicle Operation at Stop-and-Go Signals ...............................11-118 Emergency Vehicle Operation at Normally Flashing Signal .........................11-118 Emergency Vehicle Operation at Nonintersection Location .........................11-120 Comparison and Application of Several Vehicle Detector Types .................11-124 Loop Inductances .........................................................................................11-129 Longitudinal Location of Vehicle Detectors ..................................................11-134 Two-Phase Traffic Signal Operation.............................................................11-139 Advantages of Lead and Lag Left-Turn Operation ......................................11-141 Disadvantages of Lead and Lag Left-Turn Operation ..................................11-142 Signalized Intersection with Protected/Permitted Left-Turn Phasing............11-144 Signalized Intersection with Protected Left-Turn Phasing ............................11-146 Operation for Offset Intersections with Three-Phase Operation...................11-148 2-Phase Operation with Double Clearances ................................................11-150 6-Phase Sequential Mode of Operation .......................................................11-152 Current Monitoring Design Chart..................................................................11-167 Current Monitoring Design Worksheet .........................................................11-170

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SIGNS, SIGNALS, AND DELINEATION LIST OF FIGURES Number Figure 11-1 Figure 11-2 Figure 11-3 Figure 11-4 Figure 11-5 Figure 11-6 Figure 11-7 Figure 11-8a Figure 11-8b Figure 11-9 Figure 11-10 Figure 11-11 Figure 11-12 Figure 11-13 Figure 11-14 Figure 11-15 Figure 11-16 Figure 11-17 Figure 11-18 Figure 11-19 Title Page

Emergency Vehicle Operation at an Intersection .........................................11-119 Emergency Vehicle Operation at Nonintersection Location .........................11-120 High Sensitivity Head ...................................................................................11-126 Quadrupole Layout .......................................................................................11-127 Phase Sequencing Relationships.................................................................11-137 Signalized Intersection with Protected/Permitted Left Turn Phasing............11-143 Signalized Intersection with Protected Left Turn Phasing ............................11-145 Offset Intersection with Three Phase Operation...........................................11-147 Offset Intersection with Two Phases and Double Clearance .......................11-149 Intersection Requiring Six Phase Sequential Mode of Operation.................11-151 Detector Jumping/Switching .........................................................................11-163 Table of Quantities .......................................................................................11-179 Table Of Operations .....................................................................................11-180 Table of Clearances .....................................................................................11-181 Table of Switch Packs ..................................................................................11-182 Table of Input Wiring ....................................................................................11-183 Table of Magnetic Detectors ........................................................................11-183 Table of Magnetometer Detectors ................................................................11-184 Table of Microwave Detectors ......................................................................11-184 Table of Inductance Loop Design.................................................................11-185

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11.2 SIGNS

SIGNS, SIGNALS, AND DELINEATION

11.2.1 General Sign Issues Guidance to be developed at a later date.

11.2.2 Regulatory Signs Guidance to be developed at a later date.

11.2.3 Warning Signs Guidance to be developed at a later date.

11.2.4 New York State Scenic Byways Sign Manual The New York State Scenic Byways Sign Manual provides New York State Department of Transportation staff, New York State Scenic Byways Management organizations, municipalities and others that are involved with the New York State Scenic Byways Program with information about scenic byway signs for the designated Scenic Byways of New York State. The manual establishes a brand identity for New York States Scenic Byways and provides the public with clear and consistent scenic byways signage throughout the state. Information about the policies and standards governing scenic byways signs, the sign planning process, the types of signs and guidance about obtaining, designing, specifying, and manufacturing is included. The Manual is provided in Appendix 11A.

11.2.5 Decorative Community Gateway Signing and/or Landscaping on New York State Highway Right of Way Refer to Appendix 11B for guidance regarding decorative community gateway signing and/or landscaping on New York State Highway right of way.

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The uses of traffic signals and flashing beacons include assigning right of way at intersections, providing emphasis to a hazardous location, controlling some types of railroad-highway grade crossings, controlling travel lane use, and supplementing certain signs. The traffic control devices included in this section are traffic control signals, pedestrian signals, flashing signals, flashing beacons, special-purpose traffic signals, and devices used at railroad-highway grade crossings. A traffic control signal can operate to the advantage or disadvantage of the vehicles and pedestrians being controlled. Analysis of traffic operations and other factors at a large number of signalized and unsignalized intersections, coupled with the judgment of experienced traffic engineers, has provided a series of warrants that define the minimum conditions under which signals may be justified. Consequently, the selection and use of this control device should be preceded by a thorough traffic engineering study of roadway and traffic conditions. On projects where traffic conditions may have changed since the existing traffic signals were installed, traffic engineering studies of the existing operation and phasing should be made to determine whether the type of installation and its operation meet the current requirements of traffic. As part of this study, the existing Traffic Signal Operation Specifications and Table of Operation should be reviewed. The Regional Traffic Engineering Group should have copies of these documents. No changes in traffic signal operation or installation of a new traffic signal should be included in a project without the concurrence of the Regional Traffic Engineer.

11.3.1 Types Of Signals

11.3.1.1 Lane-Use Signals Lane-use signals are overhead signals which display indications to permit, or prohibit, the use of specific lanes of a roadway, or to indicate the impending prohibition of use. These installations are distinguished by signal placement over a certain lane, or lanes, of the roadway, and by their distinctive shapes and symbols. Supplementary signs are often used to explain their meaning and intent. The three basic applications of lane-use signals are: Reversible lane control operation. Two-way left-turn lane operation. Toll booth operation.

The meaning of lane control indications is prescribed in Section 1116 of the NYS Vehicle and Traffic Law and is shown in Table 11-1. Section 275.3 of the New York State Manual Of Uniform Traffic Control Devices (NYS MUTCD, officially known as Title 17, Volume B of the Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR)) provides additional information on the design and use of laneuse signals.

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Table 11-1 Definitions of Lane Control Signal Displays Display Steady Downward Green Arrow Steady Red X Steady Yellow X Definition Traffic facing a steady downward pointing green arrow signal may travel in any lane over which such signal is located. Traffic facing a steady red X signal shall not enter or travel in any lane over which such signal is located. Traffic facing a steady yellow X signal is thereby warned that the related green downward arrow indication is being terminated, that a red X indication will be exhibited immediately thereafter, and that traffic shall vacate, in a safe manner, the lane over which such signal is located. Traffic facing a flashing yellow X signal may travel in any lane over which such signal is shown preparatory to making a left turn, using proper caution.

Flashing Yellow X

11.3.1.2 Flashing Signals A flashing signal is an intersectional traffic control device which displays flashing indications to approaching traffic on all approaches to an intersection to notify motorists of possible vehicular intersectional conflict. It displays flashing yellow indications facing traffic on the major street or highway and flashing red indications facing traffic on the minor highway. It shall never display flashing yellow indications facing all approaches. Flashing red indications may by displayed facing all approaches to an intersection. The meaning of flashing red and flashing yellow indications are prescribed in Section 1113 of the NYS Vehicle and Traffic Law. Flashing signals may be used at intersections where emphasis of the stop requirement is needed, but conditions do not justify installing a traffic control signal. They may also be used at intersections where sight distance is severely restricted. The flashing red indications are particularly applicable where stop signs, stop ahead signs, or stop signs and stop ahead signs supplemented by stop sign beacons, have been ineffective in obtaining compliance with the stop requirement. The flashing yellow indications alert motorists to the location of an intersection and have been found effective in reducing certain types of accidents. The flashing yellow indications should not, however, be expected or used to reduce traffic speeds. The only indications which may be operated as flashing indications are circular red and circular yellow. However, a continuously illuminated right green arrow indication may be displayed on an approach displaying flashing red where right turning traffic has no uncontrolled vehicular conflicts. Stop signs shall be installed on the approach controlled by the flashing red indication, except when a green arrow is displayed on the approach. Stop signs shall not be used on approaches where green arrows are displayed.` 11.3.1.2 3/15/02

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When flashing red indications are displayed on all approaches to an intersection, stop signs shall be installed on all approaches. Each stop sign should be supplemented by an all-way sign (see NYS MUTCD). A flashing red indication on a driveway approach to an intersection controlled by a traffic control signal is not considered a flashing signal. Section 274 of the NYS MUTCD provides additional information concerning the design of flashing signals.

11.3.1.3 Traffic Control Signals A traffic control signal is a device by which traffic is alternately directed to stop and permitted to proceed. Traffic control signal is defined in Section 154 of the NYS Vehicle and Traffic Law. Traffic control signals are sometimes referred to as 3-color signals or stop-and-go signals. The purpose of a traffic control signal is to assign right of way at an intersection. The installation of a traffic control signal is an effective means of assigning right of way to traffic on at-grade intersections. However, many have the misconception that traffic control signal installations provide the solution to all traffic problems. This is not true. Traffic control signal installations typically reduce the overall capacity of the intersection, delay motorists, and often increase the frequency of rear-end accidents. Thus, prior to approval or denial of a traffic control signal installation, thorough traffic engineering studies, including traffic volume, approach speeds, physical conditions of the intersection approaches, and accident history of the intersection should be completed to determine if signalization is justified. Traffic control signal installation decisions should be based upon engineering judgement and investigation of existing traffic conditions, existing physical characteristics, accident history, vehicular and pedestrian volumes, the 85th percentile speed of approaching vehicles, the anticipated traffic conditions for the location under study, and other factors. The warrants for the installation of a traffic control signal are defined in Section 271 of the NYS MUTCD. They are listed here for ease of reference: Warrant No. 1 2 3 4 5 6 7 8 9 10 11 Description Minimum vehicular volume. Interruption of continuous traffic. Minimum pedestrian volume. School crossing. Progressive movement. Accident experience. System warrants. Combination of warrants. Four-Hour Volumes. Peak-Hour Delay. Peak-Hour Volume.

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The above warrants should be used as guidelines and do not represent requirements that traffic control signals be installed. Rather, they outline minimum conditions under which a traffic control signal may be justified. In the sections that follow, additional conditions that would make installations permissible are discussed. Traffic signals should generally not be installed unless one or more of the warrants are met. In exceptional cases, signals may be installed where no single warrant is met, but where at least 80% of the stated volume values in both Warrants 1 and 2 are met. Engineering judgment must enter into any decision on whether or not a traffic control signal should be installed. Trial of other remedial measures which cause less delay and inconvenience to traffic should precede installation of traffic control signals. Traffic signal warrants are based upon, among other factors, the 8th highest hour volume on an average day. The vehicle volume warrants (Warrants 1 and 2) are met when, for each of any 8 hours (not necessarily consecutive) of an average day, the traffic volumes on both the artery and side road exceed certain designated levels (see NYS MUTCD Section 271). Although determining whether a volume warrant is met is relatively simple under existing conditions (i.e., conduct hourly traffic counts on a Tuesday, Wednesday, or Thursday (typically) and compare results to warrants), it is not as straightforward under projected (future) conditions. Even though a particular intersection on a project may not currently meet the volume warrants, it should be determined whether it will meet the warrants during the 5th year after construction (ETC+5). If so, consideration should be given to the installation of a traffic control signal as part of the project. The traffic volume warrant for signalization (vehicle Warrants 1 and 2) may be reduced when the 85th percentile approach speed of traffic on the artery is greater than 40 mph, or the intersection under study lies within the built-up area of an isolated community having a population of less than 10,000. The minimum vehicular volumes at these locations are 70% of those for Warrants 1 or 2. Another case where traffic volume warrants can be reduced is the combination warrant, Warrant 8. Under this warrant, signals occasionally (in exceptional cases) may be justified where no single warrant is met, but where Warrants 1 or 2 are satisfied to 80% or more of the stated values. Trial of other remedial measures which cause less delay and inconvenience to traffic should precede installation of traffic control signals under this warrant. When the 85th percentile approach speed on the artery is greater than 40 mph, or the intersection under study lies within the built-up area of an isolated community having a population of less than 10,000, the traffic volumes required for Warrant 6, accident experience, include both a history of 5 signal-correctable accidents in 12 months and 56% of the values given for Warrants 1 or 2. (80% (required for Warrant 6) x 70% (for speed or isolation) = 56%). For convenience we have shown Warrant 9, Four-Hour Volume and Warrant 11, Peak-Hour Volume in tabular form. The graphical representation shown in the NYS MUTCD may also be used. A. Warrant 9 - Four-Hour Volume The Four-Hour Volume Warrant is satisfied when, for any 4 hours of an average day, the volume on the major street (total of both approaches) and the corresponding volume on the 11.3.1.3 3/15/02

SIGNS, SIGNALS, AND DELINEATION Table 11-2 Four-Hour Volume Warrant

One-Lane Artery One-Lane Side Road Artery 385 400 500 600 700 800 900 1000 1100 1145 >1145 ---Side Road 320 310 260 220 185 150 120 100 85 80 80 ---Two-Lane Artery One-Lane Side Road Artery 400 500 600 700 800 900 1000 1100 1200 1300 1350 >1350 Side Road 390 340 290 245 205 170 140 120 100 85 80 80 One-Lane Artery Two-Lane Side Road Artery 400 500 600 700 800 900 1000 1100 1160 >1160 ------Side Road 390 340 290 245 205 170 140 120 115 115 -------

11-105

Two-Lane Artery Two-Lane Side Road Artery 470 500 600 700 800 900 1000 1100 1200 1290 >1290 ---Side Road 475 455 390 330 275 230 195 160 135 115 115 ----

Notes: 1. Number of lanes is for the moving traffic on each approach excluding parking and auxiliary lanes. Auxiliary lanes may be counted as approach lanes if the traffic they carry represents a significant portion of the total volume on the approach. 2. Vehicles per hour on artery is total of both approaches including auxiliary lanes. 3. Vehicles per hour on side road is higher volume side road approach (one direction only, including auxiliary lanes)

higher volume minor street approach (one direction only) all exceed the volumes shown in Table 11-2 for the existing combination of approach lanes. When the 85th percentile speed of the major street exceeds 40 mph, or when the intersection lies within a built-up area of an isolated community having a population less than 10,000, the four-hour volume requirement is satisfied when the volumes referred to above exceed the volumes in Table 11-3 for the existing combination of approach lanes.

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Table 11-3 Reduced Four-Hour Volume Warrant

One-Lane Artery One-Lane Side Road Artery 270 300 400 500 600 700 750 >750 ---Side Road 220 205 160 125 95 70 60 60 ---Two-Lane Artery One-Lane Side Road Artery 280 300 400 500 600 700 800 900 >900 Side Road 275 265 210 165 125 100 80 60 60 One-Lane Artery Two-Lane Side Road Artery 280 300 400 500 600 700 800 >800 ---Side Road 275 265 210 165 125 100 80 80 ---Two-Lane Artery Two-Lane Side Road Artery 340 400 500 600 700 800 890 >890 ---Side Road 330 290 225 175 135 105 80 80 ----

Notes: 1. Number of lanes is for the moving traffic on each approach excluding parking and auxiliary lanes. Auxiliary lanes may be counted as approach lanes if the traffic they carry represents a significant portion of the total volume on the approach. 2. Vehicles per hour on artery is total of both approaches including auxiliary lanes. 3. Vehicles per hour on side road is higher volume side road approach (one direction only, including auxiliary lanes)

B. Warrant 11 - Peak-Hour Volume The peak-hour volume warrant is also intended for application when traffic conditions are such that for one hour of a day, minor street traffic suffers extreme traffic delay in entering or crossing the major street. The peak-hour volume warrant is satisfied when the volume on the major street (total of both approaches) and the corresponding volume on the higher volume minor street approach (one direction only) for one hour (any four consecutive 15 minute periods) of an average day, exceed the volume in Table 11-4 for the existing combination of approach lanes. When the 85th percentile speed of the major street exceeds 40 mph or when the intersection lies within a built-up area of an isolated community having a population less than 10,000, the peakhour volume requirement is satisfied when the volumes referred to above exceed the volume in Table 11-5 for the existing combination of approach lanes.

11.3.1.3

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SIGNS, SIGNALS, AND DELINEATION Table 11-4 Peak-Hour Volume Warrant

One-Lane Artery One-Lane Side Road Artery 500 600 700 800 900 1000 1100 1200 1300 1400 1500 1600 1700 1800 >1800 Side Road 425 375 325 280 240 205 175 150 130 115 105 100 100 100 100 Two-Lane Artery One-Lane Side Road Artery 500 600 700 800 900 1000 1100 1200 1300 1400 1500 1600 1700 1800 >1800 Side Road 520 470 420 370 325 285 250 220 190 165 140 120 105 100 100 One-Lane Artery Two-Lane Side Road Artery 500 600 700 800 900 1000 1100 1200 1300 1400 1500 >1500 ---------Side Road 520 470 420 370 325 285 250 220 190 165 150 150 ----------

11-107

Two-Lane Artery Two-Lane Side Road Artery 600 700 800 900 1000 1100 1200 1300 1400 1500 1600 1670 >1670 ------Side Road 600 540 480 425 375 325 285 250 220 190 165 150 150 -------

Notes: 1. Number of lanes is for the moving traffic on each approach excluding parking and auxiliary lanes. Auxiliary lanes may be counted as approach lanes if the traffic they carry represents a significant portion of the total volume on the approach. 2. Vehicles per hour on artery is total of both approaches including auxiliary lanes. 3. Vehicles per hour on side road is higher volume side road approach (one direction only, including auxiliary lanes)

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Table 11-5 Reduced Peak-Hour Volume Warrant

One-Lane Artery One-Lane Side Road Artery 300 400 500 600 700 800 900 1000 1100 >1100 ---Side Road 325 270 220 180 145 115 95 80 75 75 ---Two-Lane Artery One-Lane Side Road Artery 355 400 500 600 700 800 900 1000 1100 1210 >1210 Side Road 360 335 285 240 200 165 135 110 90 75 75 One-Lane Artery Two-Lane Side Road Artery 355 400 500 600 700 800 900 1000 1045 >1045 ---Side Road 360 335 285 240 200 165 135 110 100 100 ---Two-Lane Artery Two-Lane Side Road Artery 400 500 600 700 800 900 1000 1100 1170 >1170 ---Side Road 445 370 310 260 215 175 140 115 100 100 ----

Notes: 1. Number of lanes is for the moving traffic on each approach excluding parking and auxiliary lanes. Auxiliary lanes may be counted as approach lanes if the traffic they carry represents a significant portion of the total volume on the approach. 2. Vehicles per hour on artery is total of both approaches including auxiliary lanes. 3. Vehicles per hour on side road is higher volume side road approach (one direction only, including auxiliary lanes)

C. Additional Considerations The important items to remember regarding traffic signal installations are: They are an effective means to assign right of way. Unwarranted installations could create hazards or inefficiencies such as delay, increased accidents, a reduction in capacity on the highway, or promote increased disobedience of traffic control signals. A thorough traffic engineering study should be completed prior to installation.

D. Traffic Signal Removal The same traffic engineering studies required to determine if a traffic signal is needed should also be completed for existing signalized intersections to determine if the signal is still needed or whether changes are needed to the signal operation. If these studies indicate that the traffic control signal is no longer justified, consideration should be given to removing it and replacing it with appropriate alternative traffic control devices. If the traffic signal was installed under the 11.3.1.3 3/15/02

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Accident Experience Warrant it should not be removed. The following steps should be used when considering the removal of a traffic control signal: If the signal was installed for reasons other than a standard warrant, determine if these reasons still prevail. Determine the appropriate traffic control to be used after removal of the signal. Notify local public officials and law enforcement agencies of the intent to remove the traffic signal. Inform the public of the removal study, for example, by installing an information sign(s) with the legend TRAFFIC SIGNAL UNDER STUDY FOR REMOVAL at the signalized location in a position where it is visible to all road users. Press releases to local newspapers and radio and television stations should also be considered. Remove any sight distance restrictions as necessary. If inadequate sight distance can not be increased to standard (See Chapter 5, Section 5.10.5.1 of this manual) the traffic signal should be retained. Flash or cover the signal heads for a minimum of 90 days, and install the appropriate stop control or other traffic control devices. Remove the signal heads if the engineering data collected during the removal study period confirms that the signal is no longer needed. The signal poles and cables should remain in place for a maximum of 1 year after removal of the signal heads for continued analysis.

The decision to install, remove or modify a traffic signal rests with the Regional Traffic Engineer. Accordingly, no changes in traffic signal operation or phasing, no new traffic signal installations, or traffic signal removal should be included in a project without the concurrence of the Regional Traffic Engineer. Traffic control phasing and operation are discussed in Section 11.3.4 Signal Operation Design.

11.3.1.4 Pedestrian Signals Pedestrian signal indications are traffic signal indications intended for the exclusive purposes of facilitating and controlling pedestrian traffic. Pedestrians are required, by law, to obey vehicular signal indications, unless pedestrian indications are provided. The meanings of pedestrian signal indications are defined in Section 1112 of the NYS Vehicle and Traffic Law. When pedestrian indications are used: WALK - A steady WALK or walking person symbol indication shall be displayed only when vehicles are not permitted to move across the crosswalk by a green arrow indication. DONT WALK - A flashing DONT WALK or upraised hand indication shall be displayed as the pedestrian change indication to indicate that a steady DONT WALK or upraised hand will follow, and that pedestrians should continue to cross, if started, but shall not start to cross in the crosswalk the indication controls. DONT WALK - A steady DONT WALK or upraised hand shall be displayed to indicate that a pedestrian shall not start to cross in the crosswalk the indication controls. 11.3.1.4

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An audible message may be used to supplement pedestrian indications. The messages shall consist of steady or pulsating tones or coded sounds which commence at the beginning of, and cease at the end of, the pedestrian walk interval (NYS MUTCD Section 273.7). Where there are pedestrian indications for an adjacent crossing and the respective crossing intervals occur at different times, the tones or sounds associated with each crossing direction shall be different. Verbal messages may also be used to supplement pedestrian indications. The message associated with the pedestrian walk interval (NYS MUTCD section 273.7) shall be The (road identifier) crossing time begins now. Be alert for turning vehicles. The message associated with the pedestrian change interval (NYS MUTCD section 273.7) shall be Finish crossing (road identifier), but do not start to cross if you are at the side of the road. Where there are pedestrian indications for an adjacent crossing and the crossing intervals occur at different times, the voices associated with each crossing direction should be different. Pedestrian indications shall be provided in conjunction with traffic control signals under any of the following conditions: When a traffic control signal is installed under the minimum pedestrian volume (Warrant 3) or school crossing warrants (Warrant 4). (See Sections 271.5 and 271.6 of the NYS MUTCD.) When an exclusive phase is provided for pedestrian movements in one or more directions, and all conflicting vehicular movements are stopped. When, in the presence of sufficient pedestrian activity, vehicular indications are not visible to pedestrians, or are in a position which does not adequately serve pedestrians. Established school crossings are at intersections signalized under any warrant.

Pedestrian indications may be provided under any of the following conditions: When the use of pedestrian intervals different from the associated vehicle intervals is necessary to minimize vehicle-pedestrian conflicts. When it is necessary to assist pedestrians in making a safe crossing because no vehicular indication is displayed, such as on one-way roadways or opposite the stem of a Tintersection. When multiphase indications, as with split phase timing, would tend to confuse pedestrians guided only by vehicular signal indications. When pedestrians cross to an island during a particular phase and should not be permitted to cross the remainder of the roadway, or another roadway, during the same phase.

Where pedestrian phases are included, signal operations involve either shared vehicular and pedestrian phases, or an exclusive pedestrian phase. With a shared vehicular and pedestrian phase, vehicles permitted to cross the crosswalk are those turning on circular green indications and, unless prohibited, those right-turn-on-red movements from the crossed approach. With an exclusive pedestrian phase, red indications are displayed on all vehicular approaches and pedestrians may cross all approaches. Vehicles permitted to cross the crosswalk are those making right-turn-on-red movements from the parallel and crossed approaches, unless those movements are prohibited. Of the two, the shared vehicular and pedestrian phase is usually 11.3.1.4 3/15/02

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preferable from a traffic operations perspective. Exclusive pedestrian phases should be used only where conflicts between pedestrians and vehicles turning on a circular green indication cause unusual safety problems. Pedestrian detectors, either push buttons or other types, should be conveniently located where they are accessible to persons with disabilities and near each end of all crosswalks. Where two crosswalks end at, or near, the same location, the detector should be positioned to clearly indicate the crosswalk to which each applies and/or appropriate signs should be installed on each push button post. Additional detectors may be required on islands or medians where a pedestrian may become stranded. Pedestrian traffic actuated signals may be justified at nonintersection locations for the primary purpose of controlling and protecting pedestrians. Such signals may also be warranted at intersections where a positive pedestrian crossing interval is desirable. Typical examples of conditions under which these pedestrians signals are used are: Midblock locations in heavily developed commercial areas where heavy pedestrian crossing movements occur during a substantial portion of the day and where adjacent signalized intersections are more than 300 m apart. At schools, entrances to private property, and other facilities which generate heavy pedestrian crossing movements. These signals on State highways are erected and operated at the expense of others under a permit from the Department. Intersections where heavy pedestrian crossing movements occur, but where side road vehicular volumes may not be sufficient to justify signal control.

Pedestrian signals at these locations must meet traffic signal Warrant 3, Minimum Pedestrian Volume or Warrant 4, School Crossing, as shown in Section 271 of the NYS MUTCD. These pedestrian-actuated signals normally operate with a continuous artery green interval, except that the right of way is transferred, upon demand, to pedestrians wishing to cross the artery. An appropriate clearance interval shall always follow each green interval. The change from normal operation is accomplished by actuation of a push button. Each interval for the crossing period is fixed at a definite length. At the expiration of the allotted crossing interval, the signal automatically reverts to normal operation and remains there until the crossing period is again called by push button actuation. Assuming continued push button actuation after the expiration of a crossing period, the signal will remain on normal operation for a predetermined minimum time before the crossing period is again introduced. Section 273 of the NYS MUTCD contains additional information on pedestrian signals. Table 11-6 shows a typical signal operation at a nonintersection location.

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Table 11-6 Nonintersection Pedestrian Signal Operation Phase Normal Operation 1st Vehicle Clearance 2nd Vehicle Clearance Pedestrian Crossing 1st Pedestrian Clearance 2nd Pedestrian Clearance Flashing Operation Artery Indications Green Yellow Red Red Red Red Flashing Yellow Pedestrian Indications DONT WALK DONT WALK DONT WALK WALK Flashing DONT WALK DONT WALK Inoperative (dark)

11.3.1.5 One-Lane Road Signals One-lane road signals assign the right of way, alternately, to movements in each direction, on sections of two-way highway where only one lane is available. Use of one-lane road signal control is justified when only one travel lane is available to traffic in both directions, and it is impractical to alternately assign use of the lane by other means. Steady circular red, yellow, and green indications shall be used in one-lane road signals. Subdivision (f) of Section 1111 of the NYS Vehicle and Traffic Law defines their meanings and the required motorist actions at a nonintersection traffic control signal. With this type of signal control, 2 standard signal faces with three 300 mm lenses are required at each end of the controlled section of highway. Only circular indications shall be used. The signal heads may be suspended over the highway or installed as pedestal or bracket-mounted heads on the side of the roadway. Special care is necessary in locating the stop line at the approaches to these signals, to allow sufficient maneuvering room for vehicles traveling in both directions. The relationship between a stop line and its associated signal faces shall be as required by Section 272.11 of the NYS MUTCD. A one-lane road signal should operate as a 2-phase full traffic-actuated signal to maximize the efficiency of an inherently inefficient traffic flow condition. An all red clearance interval should follow each phase in accordance with traffic requirements. The all red clearance interval is required to permit traffic which has entered on a green indication to clear the controlled section before opposing traffic is permitted to move. A sequence of intervals for a simple one-lane signal control operation is shown in Table 11-7. When one-lane signal operation is used in a construction zone, it may be beneficial to use signal heads facing the single lane between the signal spans. These signal heads may facilitate the movement of workers and any traffic from driveways within the work area. In a construction zone, consideration should also be given to controlling traffic from public roadways near or between the 11.3.1.5 3/15/02

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signal spans. Each of these installations should be considered on a case-by-case basis and it is recommended that the designer consult with the Regional Traffic Engineering Group concerning the need for additional traffic control. Use of the rest-in-red feature of the Models 170/179 controller software may improve the efficiency of traffic flow. When no detector actuations are recorded in either vehicular phase, the signal clears to the rest-in-red (red on all signal faces) phase, where it remains until the next actuation. At the next actuation, green indications are immediately displayed in the demand direction. The Model 179 red revert feature provides a minimum red time prior to returning to the phase just terminated. The advantage of the rest-in-red is that the clearance is timed before demand exists, allowing immediate response to demand in either of the phases. A disadvantage of rest-in-red is that drivers begin to anticipate a green indication that will not occur if another phase is actuated first. One-lane road signals shall operate continuously as a stop-and-go traffic control signal, as long as one-lane operation is in effect. See Section 275 of the NYS MUTCD for additional information on the design and operation of one-lane road signals. Table 11-7 One-Lane Signal Control Operation PHASE PHASE 2 1st Clearance to Phase 4 All Red Clearance to Phase 4 PHASE 4 1st Clearance to Phase 2 All Red Clearance to Phase 2 DIRECTION "A" Circular Green Circular Yellow Circular Red Circular Red Circular Red Circular Red DIRECTION "B" Circular Red Circular Red Circular Red Circular Green Circular Yellow Circular Red

NOTE: Phases 2 and 4 are the recommended Model 179 phases to use for this operation. However, any two nonconcurrent phases could be used.

11.3.1.6 Drawbridge Signals Traffic signals installed at drawbridges and other movable bridges are a specific application of traffic control signals. Drawbridge signals notify approaching traffic that a stop condition is imminent, due to road closure. Drawbridge signals should be used at all movable bridges. Section 275.4 of the NYS MUTCD outlines the installation and operation of drawbridge signals.

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11.3.1.7 Speed Control Signals Speed control signals may be used at intersections, or at nonintersection locations, to moderate approach speeds. Actuated speed control signals lose some effectiveness under high volume conditions because heavy traffic extends the green indications regardless of speed. However, some degree of speed control is obtained, since the first vehicle is monitored as it approaches the signal, and the effect is reflected in the speed of the remaining vehicles of the group. A speed control signal may be warranted where excessive approach speeds result in an abnormal accident record. Prior to installation of a speed control signal, a comprehensive traffic engineering study should be made to determine if alternate means, such as advance warning devices, can be used to moderate the approach speeds. At locations such as intersections, sharp curves, bridges, etc., where reduced approach speeds are desired, appropriate advance warning signs supplemented with flashing beacons provide positive and emphatic advance warning. These assemblies may provide the desired effect without stopping traffic. See Section 275.5 of the NYS MUTCD for additional information concerning the design and operation of speed control signals.

11.3.1.8 Ramp Metering Signals Ramp metering signals are traffic control signals installed on freeway entrance ramps to limit the rate at which traffic may enter the main roadway. Their effects are to reduce congestion and delay for mainline traffic, and increase delay for entering traffic. See Chapter 24 of this manual for a detailed discussion of ramp metering.

11.3.1.9 Traffic Control At and Adjacent to Railroad-Highway Grade Crossings The railroad-highway grade crossing is a unique environment. Two modes of transportation are involved, the railroad train and highway traffic. This section discusses the traffic control employed for the highway user. The function of traffic control systems at railroad-highway grade crossings is to provide appropriate information and sufficient time to permit roadway users to make relatively uncomplicated decisions that will allow them to safely pass over the crossing. The various signals, signs, and pavement markings used to convey traffic control messages to highway users are classified as either passive or active. Passive crossing devices provide static messages of warning, guidance, and in some instances, mandatory action. Active crossing devices are those which give notice of the approach or presence of a train. They are activated by a train passing over a detection circuit, or, in a few situations, by manual control, and occasionally involve the use of a flagger. Passive railroad crossing control devices consist of regulatory, warning, and guide signs and supplemental pavement marking. The NYS MUTCD specifies the use of these various devices. 11.3.1.9 3/15/02

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When used by themselves, passive crossing devices provide the minimum level of warning and/or control. Their use is also necessary in conjunction with active crossing devices to provide increased levels of warning and/or control. Active traffic control devices include flashing light signals and automatic gates, with bells sometimes used as an audible supplement. Automatic sidewalk gates are also used where there are sidewalks leading to the crossings. In addition, highway traffic signals at or near grade crossings are sometimes connected to track circuitry to preempt certain highway intersection signal indications upon the approach of trains. Also, train activated yellow flashing beacons are sometimes mounted on the advance warning signs to create an active advance warning sign. Grade crossing elimination and ultimately grade crossing separation of the railroad and highway are also traffic control alternatives to be considered. At-grade crossings controlled by gates, the activated gates may be circumvented by a vehicle which goes to the opposing traffic lane and around the gate or a pedestrian who goes under or around the gate. There are preventive measures that can be employed at crossings where this is a problem. Four-quadrant gate systems or curbed medians separating opposing lanes may be installed to restrict vehicle transgressions. Fencing may be used to enclose the right of way, restricting pedestrian access to the crossing. However, fencing is generally ineffective at most grade crossings. One alternative is to provide a pedestrian grade crossing and to erect a fence to channelize pedestrians to the crossing. Such a crossing can be controlled with a train-activated gate and appropriate signing. Grade-separated pedestrian overpasses can be used at reasonable intervals. However, pedestrian use of such structures will depend on their accessibility and ease of use. Underground tunnels are discouraged because they tend to encourage and provide cover for acts of crime. Driver and pedestrian education is an effective method of reducing the incidence of accidents. No form of protection can be effective without some level of surveillance and enforcement. To determine the appropriate traffic control at a railroad-highway grade crossing, the designer should confer with the Regional Traffic Engineer and the Regional Rail Coordinator.

11.3.1.10 Flashing Beacons and Stop Sign Beacons A flashing beacon consists of two or more flashing yellow indications facing in one direction to emphasize a sign message or to warn approaching traffic of a potential hazard. Flashing beacons may be used at obstructions in, or immediately adjacent to, the roadway, or to supplement regulatory or warning signs. Flashing beacons shall not be used for delineation or channelization. A flashing beacon may be particularly valuable where there is need for a device sufficiently conspicuous to identify a potential hazard, or where it is desirable to emphasize a sign message

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at certain times. A stop sign beacon may be used with a stop sign to emphasize the stop requirement. Flashing red indications are used with a stop sign beacon. These devices are used mainly at high accident locations. Section 274.3 of the NYS MUTCD contains information on the design and use of flashing beacons, and Section 274.4 addresses design and use of stop sign beacons. The installation details for flashing beacon sign assemblies is shown on standard sheet PEDESTRIAN SIGNALS AND FLASHING BEACON INSTALLATION DETAILS.

11.3.1.11 Emergency Vehicle Signals An Emergency Vehicle Signal is a traffic control signal used to accommodate the movement of emergency vehicles, usually in one of the following ways: At an intersection of two or more highways, primarily to provide for emergency vehicle movements through the intersection on the emergency vehicle approaches. Emergency vehicle approach is defined as any total approach normally used by emergency vehicles. At the intersection of an emergency vehicle driveway with the abutting roadway, primarily to provide for emergency movements on the exclusive emergency vehicle approach. Exclusive emergency vehicle approach is defined as any driveway which is intended primarily for use of emergency vehicles, such as a firehouse driveway. At an existing, or otherwise justified traffic control signal, or system of traffic control signals, as an emergency vehicle phase added to provide for emergency vehicle movements.

As in the case of all traffic devices, an emergency vehicle signal should be provided only if there is a demonstrated need. Adhere to warrants and guidelines in the NYS MUTCD to prevent indiscriminate application with resultant motorist disregard for warranted installations. Before considering the installation of an emergency vehicle signal, consider less sophisticated solutions to operational problems. It may be more practical and desirable to install an appropriate warning sign, or a warning sign and flashing beacon assembly, instead of an emergency vehicle signal. Emergency vehicle signals can cause operational problems, such as preventing emergency personnel from reaching the emergency station because of vehicles stopped for red indications. Violation of the red signal indication, with attendant accident potential, is only permitted to the operator of a emergency vehicle while responding to an emergency call. The factors to be considered in determining the need for an emergency vehicle signal include accident experience of emergency vehicles with other vehicular traffic, vehicular volumes and speeds, number and time of emergency vehicle movements, visibility of the emergency vehicle to approaching traffic, and sight distance along the highway where emergency vehicles enter the roadway or intersection. The warrants for emergency vehicle signals are listed in Section 276.2 of the NYS MUTCD. Emergency entrance warning assemblies on the highway approaches to an emergency vehicle facility driveway may be a preferable and practical alternative to the installation of an emergency signal. Where sight distance is limited, or if all warrants for an emergency signal are met, the warning assemblies should be supplemented by flashing beacons. Each warning assembly consists of the appropriate intersection sign supplemented by a driveway entrance sign and, where appropriate, a flashing beacon. The flashing beacon, if included, shall be illuminated only during

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Article 44, Section 1681(c) of the NYS Vehicle and Traffic Law prohibits the Department from paying for the installation and maintenance of traffic control signals or flashing signals at entrances to private property. Accordingly, most emergency vehicle signals are installed and maintained by permit issued to the emergency vehicle agency. The operation of intersections containing an emergency vehicle approach is shown in Section 276.4(b) of the NYS MUTCD. Table 11-8 shows an example Table of Operation for an intersection which normally operates stop and go, and Table 11-9 shows the operation of intersections that normally operate in the flashing mode. Figure 11-1 is used with both tables. Table 11-9 shows emergency operation at a traffic signal using a Model 179 controller. Preempt A is the Model 179 preempt that interrupts normal signal operation in as rapid a manner as safely possible to sequence directly to the preemption operation. Accordingly, it is generally used to accommodate those preemptions which require service as soon as possible. Preempt A provides the preemption operation by deleting signal phases that are not required. In the example, the operation on Street B requires the use of both phases 2 and 6 during normal operation. To provide green indication on faces 3 and 4 during the preemption operation, all phases except phase 6 would be deleted. At the termination of emergency vehicle operation and prior to return to normal operation, vehicle actuations will automatically be placed for all actuated phases. However, if a phase is operating with the detector memory off (see Section 11.3.2) then the actuation will be dropped, unless there is a vehicle in the detection zone. The signal phase that would follow the preemption phase during normal operation will follow the preemption phase provided that an actuation remains for that phase. The signal may be equipped with one or more telltale indicators that are illuminated when the signal displays the emergency vehicle indications (see NYS MUTCD Section 276.3). The telltale indication must be connected to the yellow output of switch pack 11. At intersections containing an exclusive emergency vehicle approach, the emergency vehicle signal shall operate as shown in Section 276.4 of the NYS MUTCD. However, no indications are required facing the exclusive emergency vehicle approach. If the exclusive emergency vehicle approach is not controlled, the driver of an emergency vehicle shall have a view of a telltale indication or other means of determining when the signal is in the emergency vehicle phase. If indications are provided for the exclusive emergency vehicle approach, during normal operation the face or faces may display flashing red in lieu of a steady red indication. If the signal normally operates as a flashing signal, the ten-second artery green interval may be reduced, if necessary. Vehicle detection will be necessary if (1) the signal normally operates as a stop-and-go signal, and (2) a steady red indication is used facing the exclusive emergency vehicle approach, and (3) nonemergency traffic is permitted to use the exclusive emergency vehicle approach. Preemption of signalized intersections by emergency vehicles is done through the use of radio or light-beam transmitters on the vehicles to receivers on the signalized approach. Push buttons at the emergency vehicle station or dispatcher activation of a predefined route timing may also be used. Any preemption detection equipment used must be interfaced with the Model 170/179 signal controller.

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Table 11-8 Emergency Vehicle Operation at Stop-and-Go Signals FACES PHASE 2+6 Clearance to 4 Clearance to preempt A 4 Clearance to 2 + 6 Clearance to Preempt Preempt A (Phase 6) Clearance to 2 + 6 1 and 2 Green Yellow Yellow Red Red Red Red Red 3 and 4 Green Yellow Green Red Red Red Green Green 5,6,7 and 8 Red Red Red Green Yellow Yellow Red Red A DONT WALK DONT WALK DONT WALK DONT WALK (3) DONT WALK DONT WALK DONT WALK DONT WALK

Notes: 1. At the termination of emergency vehicle operation and prior to return to normal operation, vehicle actuations will automatically be placed for all actuated phases. 2. The signal may be equipped with one or more telltale indicators which are illuminated when the signal displays the emergency vehicle indications (see NYS MUTCD Section 276.3). 3. This indication will be WALK followed by a flashing and steady DONT WALK pedestrian clearance interval if a pedestrian push button has been actuated.

Table 11-9 Emergency Vehicle Operation at Normally Flashing Signal FACES PHASE Normal Operation Clearance to Artery Phase Phase 2 (Artery) Clearance to Preempt A Preempt A 1st Clearance to Normal Operation 2nd Clearance to Normal Operation
Notes: 1. Pedestrian Indications would not be used at this type of signal. 2. The artery phase should be at least 10 seconds.

1 and 2 Flashing Red Red Red Red Red Red Red

3 and 4 Flashing Red Red Red Red Green Yellow Red

5,6,7 and 8 Flashing Yellow Yellow Green Yellow Red Red Red

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The operational requirements for emergency vehicle signals at nonintersection locations are described in Section 276.5 of the NYS MUTCD. These signals are installed primarily to accommodate emergency vehicle movements at isolated locations where the exclusive emergency vehicle approach is the only side road approach to the signal. These signals may normally operate as a stop-and-go signal displaying green indications on the highway approaches, or as a flashing signal displaying flashing yellow indications on the highway approaches. No indications are required facing the emergency vehicle approach. If an indication or indications are used facing toward the exclusive emergency vehicle approach, they may display steady red, flashing red, or be inoperative. Steady red indications may be used on the exclusive emergency vehicle approach only when neither highway approach is controlled by flashing yellow indications. If a steady red indication is used facing the exclusive emergency vehicle approach and nonemergency traffic is permitted to use the exclusive emergency vehicle approach, vehicle detection will be necessary. Figure 11-2 and Table 11-10 show an example operation at a nonintersectional location using a Model 179 controller.

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Figure 11-2 Emergency Vehicle Operation at Nonintersection Location

Table 11-10 Emergency Vehicle Operation at Nonintersection Location FACES PHASE Normal Operation (Phase 2) 1st clearance to preempt 2nd clearance to preempt Preempt A 1st Clearance to Normal Operation 2nd Clearance to Normal Operation 1, 2, 3 and 4 Green Yellow Red Red Red Red 5 Flashing Red Red Red Green Yellow Red

Notes: 1. Face 5 is not required or may operate as a steady red indication during normal operation. An additional traffic signal face will be required facing the exclusive emergency vehicle approach if face 5 operates as a steady red during normal operation. If face 5 o perates as a steady red, and nonemergency traffic is permitted to use that approach, then vehicle detection is required. Face 5 may only operate as a steady red indication when the highway approaches are not controlled by flashing yellow indications. 2. This signal may normally operate as a flashing signal.

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The operational efficiency of any traffic-responsive system depends on its ability to sense the presence of traffic. Traffic sensing is accomplished by a device commonly referred as a detector. Traffic detectors may be used to measure presence, volume, speed, and occupancy. Traffic detectors are used at individual signalized intersections, in coordinated traffic-responsive signal systems, or for ramp and freeway operations. For example, at an actuated signalized intersection, decisions such as extending the green for a vehicle or assigning the right of way to it at the earliest opportunity are based upon detector inputs to the intersection controller. The controller will process the inputs and make a decision as to how the intersection will be phased and timed. Detection systems are made up of three components: A device (sensor) placed in/under or above/alongside the roadway to sense the passing or presence of traffic. A detector amplifier module generally placed in the traffic signal controller cabinet. A lead-in cable (a group of separately insulated wires wrapped together) to connect the sensor to a detector amplifier.

This section will discuss traffic inductive loop, magnetic, magnetometer, and microwave detectors. These detectors are the most widely used in New York State. There are several other types of detectors such as pressure, radar, sonic light emission photoelectric, infrared, and video camera that have been used in the past or are under development. For information on these types of detectors check with your Regional Traffic Engineering Group. Information on detector amplifier modules can be found in the latest New York State Transportation Management Specifications published by Traffic Engineering and Highway Safety. Information on lead-in cables is included in the NYS Standard Specifications.

11.3.2.1 Detector Modes of Operations Before selecting the type of detector to be used, the engineer must consider the traffic variables to be measured. Detectors are designed to sense either the presence of a waiting vehicle or the passage of a through vehicle.

A. Pulse Mode The passage or motion of a vehicle is sensed by detectors which operate in the pulse mode. Each vehicle crossing the detector transmits a single pulse to the controller, regardless of the time a vehicle spends in the detection area. Detectors operated in the pulse mode are often referred to as point detectors. With this mode, the memory feature on the traffic signal controller for the traffic phase associated with the detector should be placed in the memory on (locking) mode.

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In presence mode, a continuous call is provided to the controller as long as a vehicle is within the detection area. Presence mode is used for detectors arranged to cover an area rather than a point. These detectors are generally used in left turn lanes or on low speed (40 km/h or less) approaches to an intersection. With this mode, the memory feature on the traffic signal controller for the traffic phase associated with the detector should be placed in the memory off (nonlocking) mode.

11.3.2.2 Detector Types This section provides technical information for vehicle detectors used in modern day traffic signal control.

A. Magnetic Detector Magnetic detectors operate on the basis of a change in the lines of flux from the earth's magnetic field. A coil of wire with a highly permeable core is placed below the surface of a roadway. When a vehicle comes near to or passes over the coil, the constant lines of flux passing through the coil are deflected by the vehicle, thus causing a voltage to be induced in the coil. A high-gain amplifier enables this voltage to operate a relay, which sends a message to the controller that a vehicle has been detected. A magnetic detector is a passive device which does not create a field around it. Accordingly, a vehicle must be in motion through the zone of influence to create a call to the controller. This type of detector is not suitable where vehicle presence detection is required or where speeds are below 8 km/h. The magnetic detector is a bullet-shaped probe that is installed under the roadway inside a nonferrous conduit (see standard sheet MAGNETIC VEHICLE DETECTOR INSTALLATION DETAILS). These units are insensitive to the direction of the vehicle and will respond to vehicles in any direction over an area as large as 4.8 m in diameter. Unless properly installed, this large area of sensitivity invites false actuations that defeat the purpose of the detector. The probe is pushed into a 3 NPS, nonmetallic conduit from the roadside access hole at the curb to a point beyond the centerline of the road. The probe can be located without interrupting traffic. Normally, a magnetic detector can be used to detect from one to three lanes of traffic. The advantages and disadvantages of magnetic detectors are shown in Table 11-12.

B. Magnetometer Detector A magnetometer detector system consists of the probe, probe cable, lead-in cable, and magnetometer vehicle detector module (detector amplifier). The detector measures a change in the vertical component of the earth's magnetic field caused by the presence or passage of a vehicle over the magnetic probe installed in the pavement. The magnetometer probe is a small cylindrical device, installed in a vertical position in a drilled hole in the pavement, usually 11.3.2.2 3/15/02

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0.3m deep (see standard sheet MAGNETIC VEHICLE DETECTOR INSTALLATION DETAILS). A single magnetometer probe is not recommended for defining vehicle speed and occupancy in a surveillance application because of the inaccuracy of locating the exact position of the vehicle with the probe. Sensitivity is very important to the magnetometer detector system. As many as 12 probes can be connected in series to one channel of a detector unit. However, as the number of probes per channel is increased, the sensitivity at each probe is decreased. Magnetometers are very good for pulse mode operation (point detectors) since they are capable of detecting two vehicles as close as 0.3 m apart. Magnetometer systems will operate properly where the vertical component of the earth's magnetic field is in the range of 0.2 oersted to 0.75 oersted. Nearly all candidate sites are within these limits. However, care should be taken in probe site selection to either avoid questionable locations such as those close to manholes, large pipes, near trolley lines and underground subways, within tunnels or iron structures, and on bridge decks, or verify by prior measurement that the specific sites will be satisfactory. Magnetometer detectors will function near horizontal steel such as reinforcing bars, but probes must be kept 0.9 m to 1.2 m away from vertical steel. A magnetic field analyzer is used for probe site verification. Each detector channel comes with a pair of double probes spaced 3.05 m apart at the end of 15 m of lead-in cable. See Table 11-11 for the advantages and disadvantages of magnetometer detectors.

C. Inductive Loop Detector An inductive loop detector system consists of an insulated loop wire placed in a shallow slot sawed in the pavement, a lead-in wire to a curbside pull box, a shielded lead-in cable from the curbside pull box to the controller cabinet, and a loop detector module (detector amplifier) in the controller cabinet. The loop detector module drives energy through the loop system at frequencies in a range of 25 kHz to 170 kHz creating an electromagnetic field in the vicinity. When a vehicle passes over or is stopped over the loop, it decreases the induction in the loop, which causes the detector electronics to send an impulse to the controller signifying it has detected a vehicle. A 0.02% change in inductance at the detector module will register as a vehicle actuation. Loop detectors may be used in both pulse and presence modes. An inductance loop can be arranged to encompass an area of detection or to sense a point of detection. An area of detection requires an elongated induction loop which operates in the presence mode. A point of detection requires a short inductance loop which operates in the pulse mode. Regardless of a loop's application (pulse or presence mode) the geometric arrangement of each loop is similar. All loops should have a width of 1.8 m. The length of a short loop should be 1.8 m. Normally, presence loop lengths are limited to 30 m maximum and are typically 21 m. The elongated presence loop should be installed such that the end of the loop nearest the intersection is at the stop line or no more than 20% of the loop is beyond the stop line. Loops should be located at least 0.6 m away from metallic object(s), such as covers of manholes or valves.

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Table 11-11 Comparison and Application of Several Vehicle Detector Types

Detector Type Microwave Advantages Disadvantages Application

-Immune to electromagnetic interference. -Can be mounted side fire. -Relatively easy to install. -Capable of measuring all traffic parameters (count, presence, speed and occupancy).

-Relatively expensive if existing poles not available for use. -May require FCC license to operate. -Some units cannot measure presence.

Microwave detectors can be used for both point and presence detection. Microwave detectors are useful for roadways where the pavement is deteriorating or on bridge decks. In the side-fire position microwave detectors are useful for detection on driveways. Microwave detectors are also appropriate for detection at temporary signals. Magnetic detectors may be used on high-speed approaches where point detection is combined with memory on (locking) on the controller, and in areas with poor pavement conditions.

Magnetic

-Installed under roadway. -Relatively easy to install. -Low maintenance costs. -Easily replaced.

-Nondirectional. -Cannot detect presence. -Cannot be installed on bridge decks. -Difficult to set detection zone. -Subject to false calls where located near large power lines.

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Table 11-11 Comparison and Application of Several Vehicle Detector Types (continued)
Detector Type Magnetometer Advantages -Works on road surfaces where inductance loops and magnetics cannot be used (bad or brick pavements). -Excellent for pulse mode operation (point detection). -Relatively easy to install. -Capable of count or presence detector. -Not affected by power lines in vicinity. Disadvantages -Cannot be used near devices which generate changing magnetic fields. -Requires closing of traffic lane for installation. -May double-count some vehicles due to magnetic material distribution. -Poorly defined detection zone. -More expensive than magnetic detector. Application Magnetometer detectors are used primarily to provide vehicle counting and passage information at intersections where the device senses vehicles within a small area (point detection). A large-area detection application requires a series of probes, which is more costly than a loop detector. Magnetometers may be used under bridge decks when damage to the reinforcing steel is a concern, or in roadways where the pavement is deteriorating and the linear feet of saw cut must be kept to a minimum. The induction loop detector is by far the most commonly used detector. Loop detectors may be used for both point and presence detection.

Induction Loop

-Detection area can be set by the size of the loop. -Excellent for presence detection. -Capable of measuring all traffic parameters. -Under roadway location and not subject to damage except in poor pavement. -Relatively easy to install. -Relatively inexpensive to abandon loop and reuse amplifier at new location.

-Requires closing of travel lanes for installation. -Cost of installation may be excessive. -Cannot be used in poor pavement. -Cannot be used on bridge decks. -Subject to damage by pavement movement (frost, etc.).

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C.1 Long Loops. The long loop (elongated inductance loop) is used to detect the presence of a vehicle. An approach where speeds are low (40 km/h or less) or where most of the traffic makes a right or left turn onto the cross street (regardless of approach speeds) should be considered for long loop installation. Long loops are particularly well suited for use in left turn lanes with separate traffic signal phases or in right turn lanes with a right green arrow displayed during a cross street left turn phase. Long loops are also useful in right turn lanes or through/right lanes when a large number of vehicles make right turns on red. There are precautions that must be considered before using an elongated presence loop. Long loops tend to have inadequate sensitivity. Attempts to increase the sensitivity may result in false actuations from vehicles in adjacent lanes (splash over). Lack of sensitivity, especially at the center of the loop, may result in failure to detect a small vehicle or to hold the detection for an adequate length of time. Where there are a significant number of motorcycles on an approach where an elongated loop will be used, a high sensitivity head should be installed at the end nearest the stop line. The high sensitivity head is a 1.8 m by 1.8 m loop within the long loop. The loop wire is continuous as shown schematically in Figure 11-3 below. The standard power head can be improved by angling the transverse wire to form a parallelogram in the direction of traffic flow. Another way to provide the function of the power head would be to install a separate loop in a parallelogram configuration at the stop line.

Figure 11-3 High Sensitivity Head

Multiple small loops offer greater control of both sensitivity and inductance. In addition, they provide better detection of small vehicles, greater resistance to loop damage, and easier adjustment of the length of the detection area. Multiple loop systems also maintain actuated control if one loop fails. Improvement in detector electronics and innovative long loop configurations such as the quadrupole are the most recent answers to long loop sensitivity problems. The quadrupole loop configuration consists of 2 narrow loops laid side-by-side with a polarity of winding such that their fields cancel each other outside of the loop perimeter and are enhanced within its confines. The quadrupole loop design provides excellent immunity from crosstalk. The quadrupole configuration also minimizes adjacent lane actuations (splash over) and environmental noise. This arrangement is shown in Figure 11-4. 11.3.2.2 3/15/02

SIGNS, SIGNALS, AND DELINEATION Figure 11-4 Quadrupole Layout

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Long loops are vulnerable to actuations by a vehicle turning from the cross street. Left turning vehicles tend to cut across the stop line when there is no traffic waiting on the approach. Proper location of the stop line (and therefore the loop) can help overcome this. Also, phases that have long loop presence detection are typically operated with the memory/recall on the controller in the memory-off mode. This helps to ease the problem of false actuations. (The "memory/recall" in a signal controller is a feature whereby the signal remembers that a vehicle has crossed a detector while the light is either yellow or red.) Also, a detector delay could be programmed for the long loop. With this feature, a vehicle must be over the loop for the programmed time before the controller will accept a call from the detector. Long loops do not provide dilemma-zone protection.

C.2 Short Loops (Point Detection). A short inductance loop is normally installed to detect motion of a vehicle and is operated in pulse mode. It may also be used as a calling detector when there are driveway entrances to the highway between the primary detector and the stop line where vehicles may enter the approach from the driveway without placing a call for the traffic signal phase on this approach (since the vehicles do not cross the detector). When the signal is red and there are no other vehicles approaching to actuate the detector, these vehicles can be trapped at the stop line. A detector installed near the stop line (calling detector) prevents this. This detector will only place a call when the signal is red and a call does not already exist for the associated signal phase. The calling detector will only place one call until the affected phase times its green interval.

C.3 Combined Point and Presence Detection. By installing a point and a long loop detector on each high speed approach to the intersection, the advantages of both are provided. For this operation, the memory/recall in the signal controller for the signal phase the detector is associated with must be in the memory/off mode. The required time needed to hold the vehicle actuation while a vehicle passes from the point loop to the long loop would be provided by the detector extension feature of the Model 179 controller. The major disadvantage of this type of operation would be the increased installation and maintenance cost for the additional detectors.

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See Table 11-11 for the advantages and disadvantages of induction loop detectors.

C.4 Inductive Loop Design

C.4.a General. One of the advantages of the inductive loop detector is the wide range of permissible loop geometries. The size and number of turns of the loop wire or combination of loops, together with the length of lead-in wire, must produce an inductance within a range that is compatible with the design of the detector amplifier and the system requirements. If the inductance falls outside of the required range, the detector will not operate properly. NYSDOT Models 222 and 224 loop detector modules are designed to operate within an inductance range of from 50 microhenries (h) to 2000 h. Loop layout and size are engineering considerations and should be determined by the detection requirements of the intersection approach and the capabilities of available equipment.

C.4.b Loop Configuration. The magnetic field emanating from the loop wire extends from 0.9 m to 1.2 m on each side of the loop wire. The width of the loop should be 1.8 m to ensure that there are no dead spots and that an adequate detection area is provided. To be detected, a vehicle must cross over, or occupy, at least 15% of the loop perimeter being accommodated by a single detector channel. The length of the loop and the number of turns is governed by the inductance of the loop system and the tuning range of the detector amplifier, as well as the detection requirements of the approach. Loops are conventionally installed in a rectangular configuration. A quadrupole configuration, shown in Figure 11-4, eliminates adjacent lane detection, a problem which plagues highsensitivity rectangular loops needed to detect motorcycles and bicycles. Quadrupole loops are installed so that the center wires have currents flowing in the same direction. Their fields reinforce each other and improve the capability of detecting small vehicles. The center wires counteract the fields of the outer wires which have their currents flowing in the opposite direction from the center wires. The influence of the outer fields is diminished, reducing the possibility of splash over. The 1-2-1 configuration shown in Figure 11-4 is intended for detection of automobiles, trucks, and large motorcycles. A 2-4-2 configuration is recommended for detection of bicycles and small motorcycles. Lateral placement is very important. Many times, the loop will be placed in the middle of the lane and a motorcycle will not be detected because of the path that the motorcyclist travels. Since motorcyclists wanting to turn left usually stop on the left side of the lane, they may easily be outside the quadrupole field. In a lane where vehicles require detection to turn left, the left edge of the quadrupole loop should be located at the stop line no farther than 600 mm from the centerline.

C.4.c Inductance A prime design consideration is the verification that the total inductance of the loop and lead-in system connected to one detector channel will operate within the tuning range of available loop detector amplifiers. NYSDOT Model 222 and 224 loop vehicle detector modules are designed 11.3.2.2 3/15/02

SIGNS, SIGNALS, AND DELINEATION to operate correctly when connected to an inductance of from 50 h to 2000 h.

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Total system inductance is equal to the inductance of the loop added to the inductance of the lead-in cable from the loop to the pullbox and to the detector input terminals inside the controller cabinet. Loop inductance may be obtained from Table 11-12. Inductance of the lead-in cable is added to the loop inductance at the rate of 20 h per 30 m of cable. Table 11-12 Loop Inductances CALCULATED LOOP INDUCTANCE (microhenries (h)) Loop size (meters) 1.8 x 1.8 1.8 x 3.0 1.8 x 6.0 1.8 x 9.0 1.8 x 12.0 1.8 x 15.0 1.8 x 18.0 1.8 x 21.0 1.8 x 24.0 1.8 x 27.0 1.8 x 30.0 1 Turn 12 16 26 36 46 56 66 76 86 96 106 2 Turns 36 48 78 108 138 168 198 228 258 288 318 3 Turns 72 96 156 216 276 336 396 456 516 576 636 4 Turns 120 160 260 360 460 560 660 760 860 960 1060

Combinations of loops may be connected to the same detector unit in either series or parallel in order to keep the total inductance within the required 50 h to 2000 h range. Loops connected in series have an inductance L= L1+L2+L3+... Li. Loops connected in parallel have an inductance L= 1/((1/L1)+(1/L2)+ ... (1/Li). Two loops connected in parallel have a total inductance of (L1 x L2)/(L1+L2). Only loops of the same size, shape, and inductance should be connected to the same detector channel.

When designing a loop and lead-in system, the total inductance should be kept between 60 h and 1600 h. This provides for a 20% safety factor with equipment currently in use. Avoid more than 225 m of lead-in cable per channel. If more than 300 m of lead-in is required, install a detector cabinet and detector amplifier between the detector and the controller cabinet. The following sample calculations illustrate the procedure for verifying that the inductance of a loop and lead-in system are within the allowable inductance range. 3/15/02 11.3.2.2

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SIGNS, SIGNALS, AND DELINEATION SAMPLE CALCULATIONS FOR LOOP SYSTEM INDUCTANCE

ALL LOOPS IN SERIES Two 1.8 m x 3.0 m 3-turn loops 152 m lead-in

ALL LOOPS IN PARALLEL Three 1.8 m x 1.8 m 3-turn loops 122 m lead-in

COMBINATION SERIESPARALLEL Two 1.8 m x 1.8 m 3-turn loops in parallel, connected in series to a 1.8 m x 1.8 m, 3-turn loop 91 m lead-in

STEP 1 Obtain individual loop inductance from Table 11-11 L1 = L2 = 96 h L1 = L2 = L3 =72 h L1 = L2 = L3 = 72 h

STEP 2 Calculate inductance of parallel loops (Lp) Lp = 0 L1,2 = (L1x L2)/(L1+L2) = (72 x 72)/(72 + 72) = 36h Lp = (L1,2 x L3)/(L1,2+L3) Lp = (36 x 72)/(36+72) = 24 Lp = (L1 x L2)/(L1 + L2) Lp = (72 X 72)/(72 + 72) Lp = 36 h

STEP 3 Calculate inductance of series loops (Ls) Ls = L1 + L2 Ls = 96 + 96 = 192 H Ls = 0 Ls = L3 = 72 h

STEP 4 Calculate loop system inductance (Ll = Ls + Lp) Ll = 192 + 0 = 192 h Ll = 0 + 24 = 24h Ll = 72 + 36 = 108 h

STEP 5 Calculate lead-in inductance values L' L' = 152 x (20/30) = 101 h L' = 122 x (20/30) = 81 h L' = 91 x (20/30) = 61 h

STEP 6 Calculate total loop system inductance (Lt = Ll + L') Lt = 192 + 101 = 293 h Lt = 24 + 81 =105 h Lt = 108 + 61 = 169 h

All three loop and lead-in systems are within the allowable induction range of 60 h to 1600 h.

C.4.d Sensitivity. A detectors sensitivity is defined as the smallest change in total inductance of the loop and lead-in system which will cause the detector to actuate. Detectors are actuated by a percent change in the total inductance. Detectors operating on a 11.3.2.2 3/15/02

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percent change basis are susceptible to decreased sensitivity due to large inductance values of long lead-in lengths. If the lead-in inductance is doubled, the change in inductance required to reach the percent change needed to actuate the detector also doubles. For this reason, the inductance of the loop should be as large as possible in relation to the inductance of the lead-in cable. Multiple loop design, unfortunately, can reduce the percent change in inductance that the detector can receive from any given loop in the combination. If a long lead-in and multiple loops are used together, care should be taken to make sure the percent change in inductance caused by a vehicle in the loop does not drop below the detector's sensitivity level. Digital detectors measure frequency counts and operate on an absolute change basis instead of percent change. This makes digital detectors relatively immune to a decrease in sensitivity due to a long lead-in. The total inductance must still be within the tuning range of the detector. The addition of pavement thickness over a loop causes a loss in sensitivity. A loss of 20 to 30 percent can be expected from typical overlays of 75 mm to 125 mm of thickness. The NYS Models 222 and 224 loop vehicle detector modules are both digital detectors.

C.4.e Design to Minimize Crosstalk and Environmental Noise. When more than one channel of a loop detector module is used at the same general location, crosstalk may be a problem. Crosstalk is interference resulting from the overlapping electrical fields of loops located near each other and operating at or near the same frequency. Some detector units are designed to minimize crosstalk in various ways. The following design steps should be taken to minimize crosstalk. 1. Twisted pairs must be used for all cabinet lead-in and pullbox wiring. 2. Loops within 3 m of each other must be connected to the same detection channel or to different channels of the same detector unit. 3. Shielded lead-in must be used to eliminate coupling between loops. 4. Loop input leads should never be harnessed with other wires carrying significant transient signals, loop input to other detectors, or high-level AC signals in the 10 kHz to 100 kHz range. 5. If electrical noise is likely, a noise-canceling loop configuration, such as a Quadrupole, should be considered. Details for the installation of inductive loop detectors can be found in Traffic Engineering and Highway Safety Division's Signal Installation Manual, the Standard Specifications, and on Standard Sheet INDUCTANCE LOOP VEHICLE DETECTOR INSTALLATION DETAILS.

D. Microwave Detectors Microwave detectors transmit microwave energy toward the roadway from the detectors antenna. The presence of a vehicle causes a reflection that is returned to the antenna. Many microwave detectors sense the frequency change of the reflected energy (Doppler frequency) and obtain vehicle speed from the signal. Other detectors use other properties of the reflected 3/15/02 11.3.2.2

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signal. Detectors that only use the Doppler frequency can sense only speed and passage, not presence. Microwave detectors should be mounted on a stable pole which does not flex more than 5 and is situated close to the road or intersection. The outputs of the detector should be easily connected to the traffic signal controller. All detection zones must be aligned along a straight line from the pole. If this cannot be achieved, sometimes an extension arm from the pole may provide the solution. Avoid trees and other moving objects between the microwave detector and the required detection zones. The mounting height of the detector should be sufficient so that vehicles are not masked by fixed obstacles or other vehicles. The height should be low enough so that all detection zones will be contained within a 50 elevation angle. In most cases a height of 5 m is preferred. See Table 11-11 for the advantages and disadvantages of microwave detectors.

11.3.2.3 Detector Selection Criteria The selection of the type of detector is determined primarily by suitability for the intended purpose. The decision whether a particular detector is appropriate for a certain purpose depends on its operating characteristics, its adaptability to the particular application, and the location specific details of the installation requirements.

A. Operating Characteristics Section 11.3.2.2 described the operating characteristics of the four most frequently used detectors. Each is inherently unsuitable for certain applications because of inappropriate operating theory. For example, magnetic detectors can not be used for presence detection, as the vehicle must be in motion to produce a call. Magnetometers will function in the vicinity of horizontal steel such as reinforcing bars, but probes must be kept 0.9 m to 1.2 m away from vertical steel. Steel mesh beneath a loop detector has the effect of compressing the electrical flux field and reducing the sensitivity. A steel mesh 50 mm under a loop buried in concrete can halve the sensitivity of the same loop buried in asphalt. Since microwave detectors do not need to be in or under the approach to be detected, they are useful for detecting traffic on driveways.

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The consideration of detection needs further narrows the range of detectors in some instances. For example both the loop and the magnetometer detector are suitable in theory for presence detection on a left-turn lane at a signalized intersection. Both are capable of doing the job. The loop, however, is significantly less expensive for this application. Another example would be an intersection approach where only rudimentary traffic responsiveness is adequate. A point detector of any of the four types would meet detection needs, but a magnetic detector might be chosen for its durability and low cost. Another consideration would be eliminating a saw cut by replacing it with a drilled hole (magnetometer). A magnetic or microwave detector might be used at locations with deteriorated pavement. The designer should discuss the type of detector to be used on any project with the Regional Traffic Engineering Group.

C. Installation In areas of high traffic volumes it may be desirable to select a detector that can be installed without disrupting traffic or breaking pavement. If a suitable pole is already in place consideration might be given to a microwave detector.

11.3.2.4 Detector Longitudinal Location The recommended longitudinal location of point vehicle detectors at a signalized intersection is shown in Table 11-13. These locations are based on the Traffic Engineering and Highway Safety Divisions December 1982 report titled Detector Location.

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11.3.2.4 Design Speed (km/h) 40 50.9 45.8 41.8 38.6 36.0 33.7 31.8 30.2 28.8 27.5 26.4 38.7 53.2 40.4 55.7 42.4 58.5 77.2 73.4 70.0 44.6 61.7 81.6 47.2 65.4 86.6 110.7 104.2 98.5 93.5 89.1 50.1 69.7 92.4 118.2 53.6 74.7 99.2 127.2 57.7 80.6 107.3 137.8 172.1 158.6 147.4 137.8 129.5 122.3 116.0 110.4 62.8 87.9 117.2 150.7 188.4 69.0 96.9 129.4 166.7 208.6 255.2 230.3 210.1 193.5 179.6 167.8 157.6 148.7 140.9 134.0 76.9 108.3 144.9 186.9 234.2 286.9 50 60 70 80 90 100 110 344.8 306.5 276.3 252.0 231.9 215.0 200.7 188.3 177.6 168.2 159.8 115 375.8 333.9 300.9 274.3 252.3 233.9 218.2 204.7 193.0 182.7 173.6 SIGNS, SIGNALS, AND DELINEATION

Table 11-13 Longitudinal Location of Vehicle Detectors (meters from stop line)

% Grade

30

-10

30.2

-8

27.3

-6

25.1

-4

23.3

-2

21.8

20.5

19.5

18.6

17.8

17.0

10

16.4

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After it has been found that a signal is needed at a particular location, the designer must determine the most appropriate method of control. The full benefit of a traffic control signal is realized only when it is operated as near as possible to actual traffic requirements. Operational and safety problems can follow unnecessary, arbitrary, or inappropriate operation. The operational decisions to be made are shown below. Signal phasing. Emergency vehicle phasing. Pedestrian phasing. Type of signal operation (pretimed, semi-traffic-actuated or full-traffic-actuated). Detection alternatives. Model 179 time clock and programmable features. Assignment of switch packs. Interconnection considerations.

11.3.3.1 Signal Phasing A signal phase is defined as that part of the signal cycle allocated to a group traffic movement or a combination of nonconflicting group traffic movements receiving the right of way simultaneously. A traffic movement may be a vehicular movement alone, a pedestrian movement alone, or combinations of vehicular and pedestrian movements. NYSDOT Models 170/179 traffic signal controllers use the National Electrical Manufacturers Association (NEMA) nomenclature for defining traffic signal phases. The Models 170/179 provide both an 8-phase dual ring sequencing mode and a 6-phase sequential mode. In the 8-phase dual ring mode, the phases are grouped into two rings of 4 phases each, and two combinations of 4 phases each (see Figure 11-5). The ring and combination grouping concept will determine the order in which the phases are served, as well as which phases can be served concurrently. Figure 11-5 is from Traffic Engineering and Highway Safetys Traffic Actuated Processing System Operators Manual and shows the two combination concept. Phases 1, 2, 5, and 6 are grouped into what is called combination 1. Phases 3, 4, 7, and 8 are grouped into combination 2. Figure 11-5 also shows the two ring concept. Phases 1, 2, 3, and 4 are grouped into what is called Ring "A". Phases 5, 6, 7, and 8 are grouped into Ring "B". In the dual ring mode, phases are timed in a preferred sequence, while allowing concurrent timing of compatible phases in either ring within the same combination. When the controller receives calls to serve the various phases in the signal operation, it will always serve the phases in accordance with three criteria that apply to the rings and combinations. They are as follows. 3/15/02 No more than 2 phases may be active at the same time. 11.3.3.1

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SIGNS, SIGNALS, AND DELINEATION Only 1 phase in each ring may be active at the same time. Only phases in the same combination but different rings may be active at the same time.

Figure 11-5 shows the potential sequence of operation by the controller (concurrent phasing), assuming calls for all phases. It starts the sequence by allowing the timing of Phases 1 and 5. From that point, there are 3 possible paths to follow, depending upon traffic demand. If the Phase 1 demand ends while the Phase 5 demand still exists, the controller terminates Phase 1 and starts timing Phase 2, while continuing to time Phase 5. This potential sequence is indicated by the arrow that connects the 1 and 5 boxes with the 2 and 5 boxes. If the Phase 5 demand ends while the Phase 1 demand still exists, the controller terminates Phase 5 and starts timing Phase 6, while continuing to time Phase 1. This potential sequence is indicated by the arrow that connects the 1 and 5 boxes with the 1 and 6 boxes. If the Phases 1 and 5 demands end simultaneously, the controller terminates both phases at once and starts timing Phases 2 and 6.

Once the controller has advanced to the point where it is timing either Phases 1 and 6, or Phases 2 and 5, its only possible path is to further advance to serve Phases 2 and 6. When the controller is ready to advance from one combination to the other, for example, from Phases 2 and 6 to Phases 3 and 7, it will always terminate the last two phases served in the combination together. For example, if Phases 2 and 6 are timing, and the Phase 6 demand ends, Phase 6 will remain green until Phase 2 is ready to terminate. Phase timing in the second combination, consisting of Phases 3, 4, 7, and 8, proceeds in the same manner as described for the first combination. If a phase does not have any demand during a cycle, the phase will be skipped and the remaining phases with demand will be serviced in accordance with the predefined paths. The concurrent phase timing capabilities of the dual ring controller provide for great efficiency and flexibility in servicing traffic demand. However, when assigning vehicle phases, care must be taken that conflicting traffic movements are not allowed by phases that can time concurrently. In Figure 11-5, there is an Exclusive Pedestrian Phase shown between Combinations 1 and 2. If a call is received for the Exclusive Pedestrian Phase while Combination 1 phases are timing, the Exclusive Pedestrian Phase will be serviced after the Combination 1 phases and before the Combination 2 phases in the cycle. If a call for the Exclusive Pedestrian Phase is received while Combination 2 phases are timing, the Exclusive Pedestrian Phase will not be serviced until after both the Combination 2 and Combination 1 phases complete their timing, unless there is no demand for Combination 1 phases, in which case the Exclusive Pedestrian Phase will be timed following the Combination 2 phases. The Models 170/179 also provide for an option to change from the normal dual ring mode to a 6phase sequential mode.

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Figure 11-5 shows the potential sequence of operation for the 6-phase sequential mode. In this mode, Combination 1 consists of Phases 1, 2, 5, and 6 and is served exactly as in the normal dual ring mode. The Exclusive Pedestrian Phase is also served as in the normal dual ring mode. However, in this mode, Combination 2 phases are sequenced such that concurrent phasing no longer exists. In the 6-phase sequential mode, Phases 3, 4, 7, and 8 will be serviced one at a time, in the preferred order indicated in Figure 11-5, assuming demand for each phase. Figure 11-5 Phase Sequencing Relationships

Source: NYS TE&HS Traffic Actuated Processing System Operators Manual

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The number of phases required for the proper and efficient operation of a signalized intersection varies with the composition and direction of both vehicular and pedestrian flows as well as with the number of entering highways and driveways and the general intersection layout. As a general rule, the number of phases should be held to a minimum. Additional phases reduce the green time available for other phases. They may decrease intersection efficiency because of additional starting delays, additional change (yellow and all red) intervals, longer cycles, and adverse impact on optimal progression. In determining the number of phases required, the goals of safety and capacity may conflict. For example, in many situations, protected left-turn phases are safer than permitted left turns. However, the added phases may result in longer cycle lengths, reduced progression in the system, and increased delay and percent of vehicles stopping. The usual traffic control signal will operate on a 2-phase cycle in which the right of way is alternately assigned to each of the two crossing movements. Table 11-14 shows an example of a 2-phase signal operation. Intersections having a large and concentrated volume of left turns or unusually heavy pedestrian movements, and intersections having more than 4 approaches for entering traffic, may require more than 2 phases in order to eliminate conflicts between vehicles or between vehicles and pedestrians. The division of the cycle into more than 2 phases should be avoided if at all possible since each additional phase introduces delays before the green interval is given to other phases. The number of phases chosen is primarily a left-turning issue. In general, as left-turning volumes and opposing through traffic volumes increase, a point is reached where it is difficult for left-turning traffic to find safe and adequate gaps. A separate left-turn lane will alleviate the problem somewhat by providing storage space in which turning vehicles can wait for an acceptable gap in opposing traffic. Alternative solutions to installing a left turn phase may include prohibiting left turns entirely or reconstructing the intersection. Left turn prohibition should only be considered where convenient alternate routes exist. Left turns can be prohibited on a full- or part-time basis. The following should be taken into account when considering a left-turn prohibition: Volume and classification (type) of vehicles diverted. Adequacy of marked or likely-to-be-utilized routes, (environmental considerations, pavement and bridge or culvert structural capacity, safety features, adjacent land use, etc.). Transit routes. Additional travel time and distance. Enforcement needs (particularly during the initial week or two of change). Will the prohibition solve the problem, or will it simply move the problem somewhere else.

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SIGNS, SIGNALS, AND DELINEATION Table 11-14 Two-Phase Traffic Signal Operation Phase Startup Phase Phase 2 1st Clearance 2nd Clearance Phase 4 1st Clearance 2nd Clearance Flashing Operation Main Street Green Green Yellow Red Red Red Red Flashing Yellow Side Street Red Red Red Red Green Yellow Red Flashing Red Ped Crossing Main Street DONT WALK DONT WALK DONT WALK DONT WALK DONT WALK(1) DONT WALK DONT WALK Inoperative

11-139

Ped Crossing Side Street DONT WALK DONT WALK(1) DONT WALK DONT WALK DONT WALK DONT WALK DONT WALK Inoperative

Notes: 1. This indication will be WALK followed by a flashing DONT WALK and steady DONT WALK pedestrian clearance interval if a pedestrian push button has been actuated.

Another obvious, but generally cost-prohibitive, solution is to reconstruct the intersection. interchange, roundabout, or a jug handle can eliminate the need for a left-turn phase.

An

There are no established warrants for left-turn phasing in the NYS MUTCD. Consideration should be given to a left-turn phase under the conditions that follow. The installation of a left-turn phase will improve the level of service and traffic operation of the intersection. Delay - Install left-turn phasing, if a left-turn delay of 2 vehicle hours or more occurs in the peak hour on a critical approach. Also, there must be a minimum left-turn volume of 50 during the peak hour and the average delay for left-turning vehicles must be at least 35 seconds. These two provisions should both be met for appropriate left-turn phasing. Volumes - Consider left-turning phasing when the product of the left-turning volume times the opposing volume during the peak hour exceeds 100,000 on a 4-lane highway or 50,000 on a 2-lane highway. The left-turn volume must also be at least 50 during the peak hour period. Volumes meeting these levels indicate that further study of the intersection is required. Traffic conflicts - Consider left-turn phasing when a consistent average of 14 or more total left-turn conflicts or 10 or more basic left-turn conflicts occur in the peak hour. (The basic left-turn conflict occurs when a left-turning vehicle crosses directly in front, or blocks the lane of an opposing vehicle. The other left-turn conflicts occur when a second through vehicle following the first one also has to brake or when a vehicle turns left on red.) Five or more left-turn accidents within a 12-month period.

Protected/permitted left-turn phasing is a left-turn movement of traffic at a signalized intersection

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having a separate phase in the signal cycle to provide a protected (green arrow) phase as well as a nonprotected (circular green) phase. This can reduce the delay caused by addition of phases by allowing turns against the opposing flow where conditions permit. One of the basic precepts of the protected/permitted left-turn phasing technique is that the protected green arrow is displayed only when needed by traffic demand. It is therefore emphasized that the protected/permitted left-turn phasing technique is for efficiency as opposed to accident reduction (although it will probably offer safer operation than strictly permissive operation). Where left-turn phasing is needed primarily to increase left-turn capacity, consider the use of protected/permitted left-turn phasing before protected-only left-turn phasing is implemented. Protected/permitted left-turn phasing should not be used when any of the following conditions exist: Protected-only phasing is currently in operation and the speed limit is over 35 MPH. Left-turn movements must cross 3 or more opposing through lanes. Intersection geometrics force the left-turn lane to have a separate signal head. Double left-turn movements are allowed on the approach. A left-turn accident problem exists (5 or more left-turn accidents in 12 months). Stopping sight distance for the opposing through movement is nonstandard. Sight distance for the left-turn movement is nonstandard. Unusual geometrics, as at multilegged (5 or more approaches) intersections.

In general, for intersections with traffic volumes indicating a need for a separate left-turn phase, protected/permitted left-turn phasing will provide safer left-turn operations than permitted only leftturns, but will not provide the safety of a protected-only left-turn phase. Leading and lagging left turns are two alternatives for inclusion of left turns in the signal phasing. A leading left-turn is one where the left-turn green arrow precedes the green indication for oncoming traffic. In contrast, the lagging left-turn phase provides the left-turn arrow following the green indication for oncoming through traffic. There are no specific guidelines in the NYS MUTCD for when to use leading or lagging left-turn phases. The following should be considered when determining left-turn operation. Generally, on 2-lane roads without an exclusive left-turn lane, a leading left-turn phase is preferred. A leading left-turn phase on a 2-lane road will reduce traffic congestion by clearing the left-turning vehicles through the intersection first. Lagging left-turn phasing is the preferred operation at T-intersections. Consider uniformity with the left-turn operation at nearby signals. If all the nearby signals have leading left-turn phases, than a leading left-turn phase may be appropriate. If all the nearby signals have lagging left-turn phases, a lagging left-turn phase should be considered. If the signal is part of an interconnected signal system, consider how well the left-turn operation will fit into the progression. When the signal controller is ready to advance from one combination to the other, for example, from Phases 2 and 6 to Phases 3 and 7, it will always simultaneously terminate the last 2 phases served in 1 combination. For example, if Phases 2 and 6 are timing, and Phase 6 demand ends, Phase 6 will remain green until Phase 2 is ready to terminate. Movements requiring the greater amount of green time should be assigned to the last 3/15/02

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phases in each combination (Phases 2, 6, 4, and 8) to take advantage of this additional green time a phase may receive. Table 11-15 shows the advantages of leading and lagging left-turn signal operation while Table 11-16 shows the disadvantages. Table 11-15 Advantages of Lead and Lag Left-Turn Operation ADVANTAGES OF LEAD 1. Permits higher intersection capacity on restricted width roadways, compared with 2-phase traffic signal operation. Reduces traffic congestion by clearing the left-turning vehicles through the intersection first. Desirable where left-turn lanes do not exist. 4. 4. Can be used to provide progressive traffic movement in an interconnected signal system with unequal spacings. 5. 5. Minimizes conflicts between left-turn and opposing through vehicles by clearing the left-turn vehicles through the intersection first. Drivers tend to react quicker than with lag-left operation. 7. 7. Opposing through traffic has been previously stopped when the left turns start. 1. ADVANTAGES OF LAG Both directions of straight through traffic start at the same time. Approximates the normal driving behavior of vehicle operators. Provides for vehicle/pedestrian separation as pedestrians usually cross at the beginning of through green. Where pedestrian indications are used, pedestrians have cleared the intersection by the beginning of the lag-green interval. Cuts off only the platoon stragglers from adjacent interconnected intersections. Less time needed for the lag, since left turns can filter through the opposing gaps during the time the through indications are exhibited. Can be used to provide coordinated progressive traffic movement in an interconnected signal system with unequal spacings.

2. 2.

3.

3.

6.

6.

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Table 11-16 Disadvantages of Lead and Lag Left-Turn Operation DISADVANTAGES OF LEAD 1. Left turns at end of leading indication may preempt the right of way from opposing movements when the green is exhibited to the stopped opposing movement. Opposing movements may make a false start in an attempt to move with the leading green vehicles movement. 3. 3. May create vehicle/pedestrian conflict during the leading green interval. 1. DISADVANTAGES OF LAG Creates conflicts for opposing left turns at start of lag interval as opposing leftturn drivers expect both movements to stop at the same time. Where there is no left-turn lane, an obstruction to the through movement during the initial green interval is created. A left green arrow cannot be displayed during the circular yellow, therefore, a stop-start situation is necessary with simultaneously opposing left turns. When used on only one approach, pedestrians desiring to cross the opposite approach may assume that both approaches have a red indication.

2. 2.

4.

Figure 11-6 and Table 11-17 show a signalized intersection with leading protected/permitted left-turn phases on the major street and lagging protected/permitted left-turn phases on the side street. Figure 11-7 and Table 11-18 show a signalized intersection with leading protected-only left-turns phasing on the side street and lagging protected-only left-turn phasing on the major street. In the protected/permitted example in Figure 11-6 and Table 11-17, note the use of the right green arrow on face 6 during Phase 1 and on face 8 during Phase 5. This operation is provided in Models 170/179 by the overlap feature. The overlap feature is used to allow traffic movement during 2 or more vehicle phases. Right-turn overlaps may be used when the right-turn movement would not conflict with vehicular or pedestrian traffic moving on an adjacent street and an acceptable traffic operation would be provided.

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SIGNS, SIGNALS, AND DELINEATION Figure 11-6 Signalized Intersection with Protected/Permitted Left-Turn Phasing

11-143

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Table 11-17 Signalized Intersection with Protected/Permitted Left-Turn Phasing FACES PHASE Startup 1 2 5 6 1+5 1+6 2+5 2+6 3 4 7 8 3+7 3+8 4+7 4+8 Flash Key: 1 Green Red LGA Red Red Green Red LGA Green LGA Red Green Red Red Red Red Red Red Red Red Yellow 2 Green Red Red Red Green Red Green Red Green Red Red Red Red Red Red Red Red Yellow 3 Green Red Green Red LGA Red Red LGA Red Green LGA Green Red Red Red Red Red Red Red Red Yellow 4 Green Red Green Red Red Red Red Green Green Red Red Red Red Red Red Red Red Yellow 5 Red Red Red Red Red Red Red Red Red Green Red Red Red LGA Green Green LGA Red Red LGA Red 6 Red Red RGA Red Red Red Red RGA Red RGA Red Red Green Red Red Red Green Green Red Red Red 7 Red Red Red Red Red Red Red Red Red Red Red LGA Green Red Green Red Green LGA Red LGA Red 8 Red Red Red Red RGA Red Red RGA Red Red RGA Red Red Red Green Red Green Red Green Red Red

LGA = Left Green Arrow

RGA = Right Green Arrow

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SIGNS, SIGNALS, AND DELINEATION Figure 11-7 Signalized Intersection with Protected Left-Turn Phasing

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Table 11-18 Signalized Intersection with Protected Left-Turn Phasing FACES PHASE Startup 1 2 5 6 1+5 1+6 2+5 2+6 3 4 7 8 3+7 3+8 4+7 4+8 Flash 1 LRA LRA LGA LRA LRA LRA LRA LGA LGA LRA LRA LRA LRA LRA LRA LRA LRA Dark 2,3 Green Red Red Green Red Green Red Green Red Red Red Red Red Red Red Red Red Yellow 4 LRA LRA LRA LRA LGA LRA LGA LRA LGA LRA LRA LRA LRA LRA LRA LRA LRA Dark 5,6 Green Green Red Red Red Green Green Red Red Red Red Red Red Red Red Red Red Yellow 7 LRA LRA LRA LRA LRA LRA LRA LRA LRA LRA LRA LGA LRA LGA LRA LGA LRA Dark 8,9 Red Red Red Red Red Red Red Red Red Red Green Red Red Red Red Green Green Red 10 LRA LRA LRA LRA LRA LRA LRA LRA LRA LGA LRA LRA LRA LGA LGA LRA LRA Dark 11,12 Red Red Red Red Red Red Red Red Red Red Red Red Green Red Green Red Green Red

Key: LRA = Left Red Arrow LGA = Left Green Arrow

Another example of an overlap is shown in Figure 11-8a and Table 11-19. This example shows 2 offset intersections operated from one traffic signal controller with a 3 phase operation. Faces 3 and 4 display a green indication during both Phase 1 and Phase 4, while faces 7 and 8 display green indications during Phases 1 and 3. This operation is provided by programming the Models 170/179 overlap feature to allow green indication on faces 3, 4, 7, and 8 during the required phases. This operation would be used at closely spaced intersections with limited storage space between the intersections. As either side street receives a green indication, it is allowed to move through the 11.3.3.1 3/15/02

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adjacent intersection. This operation also provides permitted/protected left turns from the artery to the side streets. If there were detectors located between the intersections the Model 179 controller software detector switching function could be used to provide the appropriate operation. The detector located in the eastbound lane between the intersections could be programmed to be associated with Phase 1 during Phase 1 and Phase 3 during Phase 3. This detector could also be turned off during Phase 3.

Figure 11-8a Offset Intersection with Three-Phase Operation

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Table 11-19 Operation for Offset Intersections with Three-Phase Operation FACES Phase Startup 1 Clear to 3 Clear to 4 3 Clear to 4 Clear to 1 4 Clear to 1 Clear to 3 Flash 1,2 Green Green Yellow Yellow Red Red Red Red Red Red Yellow 3 Green Green Yellow Green Red Red Red Green LGA Green LYA Yellow LYA Yellow 4 Green Green Yellow Green Red Red Red Green Green Yellow Yellow 5,6 Red Red Red Red Green Yellow Yellow Red Red Red Red 7 Green Green Green Yellow Green LGA Yellow LYA Green LYA Red Red Red Yellow 8 Green Green Green Yellow Green Yellow Green Red Red Red Yellow 9,10 Green Green Yellow Yellow Red Red Red Red Red Red Yellow 11,12 Red Red Red Red Red Red Red Green Yellow Yellow Red

Key: LGA = Left Green Arrow LYA = Left Yellow Arrow

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If the intersections shown in Figure 11-8b were operated as a 2-phase signal from one controller, one phase being the artery movements and the second phase being the movements for both side streets, there may be a problem with storage for vehicles between the intersections. This problem can be overcome by use of a double clearance following the artery phase. Table 11-20 shows this operation. Table 11-20 2-Phase Operation with Double Clearances FACES Phase Startup 2 1st Clearance 2nd Clearance 3rd Clearance 4th Clearance 4 1st clearance 2nd Clearance Flash 1,2 Green Green Yellow Red Red Red Red Red Red Yellow 3,4 Green Green Green Green Yellow Red Red Red Red Yellow 5,6 Red Red Red Red Red Red Green Yellow Red Red 7,8 Green Green Green Green Yellow Red Red Red Red Yellow 9,10 Green Green Yellow Red Red Red Red Red Red Yellow 11,12 Red Red Red Red Red Red Green Yellow Red Red

All four parts to the double clearance may not be required depending on the time needed to clear the vehicles between the intersections, the width of the intersection area, and the desired operation. For example, the 4th clearance may not be needed if the intersection area can be cleared in 3 seconds or less, or faces 3, 4, 7, and 8 could be yellow during the 2nd clearance, thereby eliminating the need for the third clearance. This operation would be possible if the 1st and 2nd clearances provided sufficient time for vehicles to clear from between the intersections. Earlier, it was stated that the Models 170/179 controller provided a 6-phase sequential mode of operation. Figure 11-9 shows a multileg intersection using the 6-phase sequential mode of operation. Due to heavy left turn movements from the side roads, a separate phase was required for each side road. The 5th leg of the intersection also required a separate signal phase. The table of operation for this intersection is shown in Table 11-21.

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Table 11-21 6-Phase Sequential Mode of Operation FACES Phase Startup 1 5 6 1+5 1+6 3 4 7 Flash 1 G G R R LGA G G LGA R R R Y 2 G G R R G G R R R Y 3 G R G R G R R R R Y 4 G R G R G R R R R Y 5 R R R R R R R G LGA R R 6 R R R R R R R G R R 7 R R R R R R G LGA R R R 8 R R R R R R G R R R 9 R R R R R R R R G R 10 R R R R R R R R G R

KEY: G=Green,

LGA = Left Green Arrow, R = Red

11.3.3.2 Emergency Vehicle Phasing See Sections 11.3.1.11 Emergency Vehicle Signals and 11.3.3.5 Model 179 Timeclock and Programmable Features.

11.3.3.3 Pedestrian Phasing The Models 170/179 traffic signal controller has pedestrian timing for each phase built into the software. The pedestrian timing feature is designed to reject multiple pedestrian detector actuations, so that only one pedestrian actuation is registered per cycle and vehicle timing is extended only by vehicles. In addition to pedestrian push buttons at signals where pedestrian indications are used, push buttons and pedestrian timing should be installed at all traffic signals where pedestrians are present and may cross the roadway. See Section 11.3.1.4 Pedestrian Signals. 11.3.3.4 Type of Traffic Signal Operation (Pretimed, Semi-Traffic-Actuated, or Full-Traffic-Actuated)

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There are two basic types of traffic signal operation; pretimed operation and actuated operation. Early signal operations were primarily pretimed, where a fixed sequence of intervals of fixed duration was used to assign the right of way. In the late 1920s, an advance was made that permitted the signal controller unit to respond to actual traffic demands, and the application of traffic-actuated control began. Through the years, traffic-actuated control grew to include semi-actuated operation, full-actuated operation and volume-density control. New York States Models 170/179 traffic signal controller can provide any of these operations.

A. Pretimed Operation Pretimed operation provides a fixed sequence of right of way assignments (phases), each of a fixed duration and regularly repeated. Both the cycle length and phase intervals are established by a predetermined time schedule and are of a fixed length. This type of operation does not respond to actual traffic demands and cannot skip a phase which may have no demand. Although regularly repeated, this fixed timing can be varied on a time-of-day (scheduled) basis, by operator command, or in response to variable-measured traffic patterns. The major elements of pretimed operation are: Fixed number and sequence of phases. Fixed phase and interval lengths. Fixed cycle length. Not responsive to traffic.

This type of signal operation is used at intersections where traffic volumes and patterns are stable and predictable. It may also be used at intersections included in a coordinated signal system where traffic progression is required on more than one phase and the needs of progressive movement are such that allowing the early return of the coordinated phase green, as may happen with actuated operation, would result in unnecessary vehicle stops. For example, pretimed operation is desirable at closely spaced intersections where complex phasing is used and precise interval timing is critical to efficient platooning of various traffic movements. In New York State, pretimed operation is generally used only in coordinated signal systems in urban areas. Pretimed operation generally is not used at isolated traffic signal locations.

B. Semi-Traffic-Actuated Operation (STA) Actuated operation provides variable vehicular and pedestrian timing and phasing intervals which depend on traffic volumes or the presence of pedestrians. The presence of traffic is determined by vehicular detectors or pedestrian actuation of push buttons. With semi-actuated operation, one phase (usually the major street) operates in the nonactuated mode. In semi-actuated operation, the major street has a green indication at all times, until detectors on the minor street determine that a vehicle has arrived. Semi-actuated operation provides a 3/15/02 11.3.3.4

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guaranteed minimum green time for the nonactuated phase. Right of way is given to the actuated phase only when an actuation call is placed for the phase. After timing the appropriate clearance intervals (yellow and all red), a green is given to the actuated phase for the initial period. The actuated phase being timed will retain the right of way as long as vehicles are detected and the gap timer is reset. The green will end when either the vehicle interval is allowed to time out or the preset maximum green time has been reached. In either case, the clearance intervals are timed and right of way is given to the next actuated phase with a call or returned to the nonactuated phase. If the actuated phase was terminated by reaching the maximum green setting, a vehicle call is placed for that phase when its clearance interval is entered. The major elements of semi-actuated operation are: Detectors are only on minor street approaches. Major street has a set minimum green interval guaranteed. Green for major street extends indefinitely until interrupted by minor street actuation. Minor street phase receives green after actuation after major street phase has completed its minimum green interval. Minor phase has minimum initial green period. Additional actuations will extend minor phase green until preset maximum is reached or a gap in actuations greater than the set gap timer occurs. Green will be returned to actuated phase if it was terminated by reaching the maximum setting.

Semi-traffic-actuated (STA) operation is used at the intersection of arterial streets with a side street having relatively moderate and irregular vehicle and pedestrian traffic. Semi-actuated operation is also used at signals which are to be coordinated with signals at adjacent intersections. This operation would also be used in coordinated signal systems where early return of the coordinated phase green is not of concern.

C. Full-Traffic-Actuated Operation (FTA) This type of operation requires detectors on all approaches to the intersection. The major difference between full- and semi-actuated operation is that right of way does not return automatically to a designated phase under the full-actuated operation (FTA controllers may be programmed to return to a given phase by programming the memory/recall status for the phase to minimum recall). With FTA operation, main street green varies with demand rather than being a preset minimum. The green will remain on the phase last serviced until demand is registered for a conflicting phase, unless recalled elsewhere. Once a call for a conflicting phase has been received the phase timing green may remain green up to the programmed maximum green time. The maximum green time does not begin timing until there is a call for a conflicting phase. Accordingly, a phase may remain green for some time before it starts timing its maximum green. Depending on the detector activity for the green phase, the controller may or may not service the opposing phase immediately upon receipt of a demand. The major elements of full-actuated operation are: 11.3.3.4 3/15/02

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Detectors on all approaches. Each phase has a preset initial interval to provide the starting time for standing vehicles. Green interval is extended by preset gap time for each actuation after the initial interval has completed timing, provided a gap greater than the initial interval does not occur. Green extension is limited by preset maximum limit (Models 170/179 have 3 maximum greens per phase selectable by time of day). Each phase has 3 choices for its recall setting.

The 3 recall setting options are discussed below. 1. Off Green will remain on last-called phase when no demand is indicated on the other phases. 2. Minimum Recall A call is automatically placed for the phase after it is served. The controller will cycle to, and serve phases in, the minimum recall mode in each cycle, for at least the initial interval plus any vehicle-actuated minimum green period. When in this mode, the controller will continue to accept vehicle actuations for the phase, and will time related variable initial, extension periods, and pedestrian timing. 3. Pedestrian Recall When pedestrian recall is on, a permanent demand for pedestrian service is placed for the associated phase(s). The controller will cycle to and serve phases in the pedestrian recall mode each cycle, for a minimum time interval equal to the pedestrian WALK plus pedestrian clearance intervals. When in this mode, all vehicle-related phase timing will take place concurrently with pedestrian timing in the normal manner, except that the green interval will never be less than the minimum pedestrian timing. Full-traffic-actuated operation is generally used when the intersection operates independently and where demand on all approaches varies throughout the day. Complicated intersections where several conflicting movements must be handled separately often require this type of operation to permit a reasonable degree of operating efficiency. FTA operation should be used at most intersections which are not included in a coordinated signal system. Models 170/179 also provide volume density features which may be used with all actuated phases. In the volume density mode of operation, the controller is programmed to operate with a variable initial interval and a reducible gap, in addition to the timing features of the normal actuated phase. These added features vary the amount of time a phase will receive the right of way based upon more complex evaluation of traffic conditions. The maximum extension for a phase functions the same as for a normal actuated phase. The initial interval is normally the time required for a standing queue between the detector and the stop line to get started and move into the intersection. With volume density control, detectors are placed a longer distance from the stop line (see Table 11-13 for detector placement). To avoid long preset initial intervals, the volume density module counts the number of vehicles arriving during the red phase and expands the initial interval if necessary as per variable initial time. Gap time is measured as the time between actuations by successive vehicles. The controller is set to 3/15/02 11.3.3.4

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terminate the green indication if the length of the measured gap exceeds a set duration. It is desirable for the maximum gap time to approximate the time it takes for a vehicle to travel from the detector to the intersection. This interval must be fairly long because of the distance involved which, in turn, results in inefficient operation. The allowable gap may be reduced to a preset minimum based upon waiting time of vehicles on other phases as per programmed time to reduce and minimum and maximum gap values. The major elements of volume density operation are: Detectors are placed on all approaches. Each volume density phase has a variable initial time. The gap time is the extended green time created by each additional actuation (this time is set as that required to travel from the detector to the stop line). The gap time is reduced to a minimum gap after a preset time. The green extension is limited by preset maximum limit (Models 170/179 software has 3 maximum greens per phase selectable by time of day).

Volume density operation can be effective at intersections when high speeds and high volumes are found. To achieve efficiency, the detector must be carefully located and the proper timing must be installed on the controller.

11.3.3.5 Model 179 Time Clock and Programmable Features A detailed list and description of all Model 179 time clock and programmable features may be found in the Traffic Engineering and Highway Safety Divisions Traffic Actuated Processing System (TAPS) Operators Manual. This section will discuss the features that a designer should be aware of when designing a traffic signals operation and installation.

A. Time Clock Functions The Model 179 TAPS program provides 8 separate functions that may be turned on or off based on time of day, day of week, and week of year. These functions are known as time clock functions and include the following: Flashing Operation. Phase Omit A. Phase Omit B. Rest in Red. Maximum Green II. Maximum Green III. Input by time clock. Auxiliary Output (SP 9Y).

A.1 Flashing Operation. This function is used when the traffic signal is to operate as a flashing 11.3.3.5 3/15/02

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signal during a predetermined time period. This operation is often used at permit traffic signals at shopping centers or other locations where the signal may not be needed on a full time basis. It should be noted that this flashing operation is done completely by software, and is not performed by any flasher relay in the cabinet, nor is it related in any way to the signal emergency flashing operation. Transition of the signal from 3-color to flashing operation takes place as follows: Calls for all phases not currently timing are removed. Phases currently timing will complete their minimum green timing and then cycle to an all red condition through normal clearances. The signal will commence flashing operation.

Transition of the signal to 3-color operation upon termination of the flashing operation takes place by one of two means. If a start-up sequence is programmed for the signal operation, the signal will sequence through the standard start-up sequence. If no start-up sequence is programmed for the signal, the signal will freeze its programmed flashing display for 4 seconds, and will then display all red indications, before displaying green indications allowed in the normal signal operation. The length of the all red indications is programmable from 4 seconds to 12 seconds (default 8 seconds).

Following both of the above transitions to 3-color operation, calls will be placed for all allowed phases.

A.2 Phase Omit A and B. These features are used to omit or allow a traffic phase on a time clock basis. There are 2 separate Phase Omit features available. Each Phase Omit is completely independent, and any combination of phases may be programmed into either Omit. The two Omit functions may be used singularly or in any combination during any part of the day. This feature could be used at intersections where a left-turn phase might only be needed during the peak period or where a left-turn movement is prohibited during the peak period and the leftturn phase needs to be omitted.

A.3 Rest-In-Red. If a phase is programmed for Rest-In-Red mode and completes its appropriate vehicle and/or pedestrian phase timing without any calls being made for opposing phases, the phase will cycle into a red condition and will remain there waiting to immediately service the next call for an appropriate phase. Any phases that are not programmed to Rest-inRed will rest in green, and will have to serve at least one gap time after receipt of an opposing call, before sequencing through its clearance(s) to serve an opposing phase. The benefit of this type of operation is that when all indications are red, no clearance interval is required upon the first detector actuation. The rest-in-red feature allows programmed phases to rest-in-red on a timeclock basis. Any 3/15/02 11.3.3.5

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combination of phases may be programmed to rest-in-red. If all phases are set to rest-in-red, all indications will be red after the called phase has cycled to red. Upon a new actuation, the phase associated with the detector begins immediately by having the red indication promptly change to green. Rest-in-red is sometimes used as a speed control measure during periods of moderate to light traffic. Rest-in-red is not commonly used as there have been some problems with drivers becoming accustomed to getting the instant green and not slowing down when another phase actually has a green indication.

A.4 Maximum Green II and III. This feature allows the use of alternate Maximum Green Timing intervals on selected phases on a time clock basis. Two separate alternate Maximum Greens are provided. Any combination of phases may be programmed to use the Maximum Green II and III timers. Under normal conditions, the signal will use the timings set in the Maximum Green I timer. When the Maximum Green II and/or III time clock function becomes active, the signal will use the time set in the appropriate Maximum Green timer for those phases programmed. Phases not programmed for these functions will remain in their normal Maximum Green I timing mode. Maximum Green II and III mode may be used singularly or in any combination throughout the day. This feature is not something the designer needs to be concerned about since the timing of signals is done by the Regional Traffic Engineering Group.

A.5 Input by Time Clock. This feature allows any pair of the controllers first 28 input positions to be turned on or off on a time clock basis. Any of these 28 input positions may be defined to perform any appropriate input functions. Accordingly, this function allows any input feature to be controlled on a time clock basis. Note that the inputs must be controlled in pairs (e.g., inputs 3 and 4). These pairs correspond directly to the grouping of such in the dual input rack positions of the Model 330 cabinet, and, in effect, the feature actually controls a cabinet rack position by time clock. The model 330 input groupings are inputs 1 and 2, 3 and 4, 5 and 6, etc. Accordingly, if the controller was programmed to control inputs 2 and 3 by time clock, inputs 1, 2, 3, and 4 would be controlled. Any combination of inputs may be controlled by timeclock, however, it should be noted that all are controlled by a single time clock and will turn on or off at the same time. This feature could be used to turn a detector off during the peak hour or to allow a bus preemption only during the peak hour.

A.6 Auxiliary Output (SP 9Y). This feature makes it possible to turn the Switchpack 9 yellow output on or off via time clock. This feature would be used to turn an illuminated sign on or off during programmed periods of the day. An example would be an intersection with a left-turn prohibition during the peak hour. This feature could be used to turn the NO LEFT TURN sign on and off.

B. Startup Display and Phasing The Model 179 will go through a startup sequence every time the controller is restarted, upon power-up after a power-down of 2 seconds or longer, or when it comes out of flashing

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operation. As part of the startup sequence, calls are placed for all vehicle phases allowed. If a power-down lasts less than two seconds, the controller will start at the exact point in the signal operation where the power failure occurred. The NYS MUTCD [Section 272.16 (c) (4)] states that Preplanned automatic changes from flashing to stop-and-go operation should be made at the beginning of the artery green interval where practicable, preferably at the beginning of the common green interval (i.e., when a green indication is shown in both directions on the artery). Preplanned automatic changes from stopand-go to flashing operation should be made at the end of the common artery red interval where practicable (i.e., when a red indication is shown in both directions on the artery). Emergency changes from stop-and-go operation to flashing operation (e.g., when a display of conflicting green indications is sensed by the control equipment) may occur at any time. The Model 179 startup sequence is a user-programmable sequence consisting of a 2-part startup display and the startup phases. Accordingly, the designer should indicate in the Table of Operation any required startup display and the startup phases. If a startup display is used, the startup phases must also be programmed into the controller. If startup phases are not programmed, then the controller will go through a default startup consisting of an 8-second all red, followed by the display and timing of the 1st phase, or 2 concurrent phases, allowed in the normal signal cycle.

C. Input Functions The NYS Model 330 pole-mounted controller cabinet is capable of receiving up to 28 channels of input, each of which is programmable by function and capable of extensions and delays. The inputs are connected to the cabinet at the terminal block and are interfaced to the Model 179 controller through one of the following modules. Loop Vehicle Detector Module Magnetic Detector Amplifier Module Magnetometer Vehicle Detector Module D.C. Isolation Module A.C. Isolation Modules

Each input may be programmed to provide one of the following functions subject to the pairing of inputs as discussed under Input by Time Clock. Normal Vehicle Detector Vehicle Calling Detector Pedestrian Push Button

A call for one of these functions will result in the appropriate vehicle or pedestrian demand being placed. A vehicle-calling detector is different from a normal vehicle detector in that it will only place a call during the yellow or red of the phase it is associated with, and can place only one call each cycle.

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C.1 Exclusive Pedestrian. A call for this function will result in the exclusive pedestrian phase being serviced.

C.2 Preemption A, B, or C. Preemption is the interruption of normal vehicle and pedestrian timing and sequencing to service a special predefined preemption signal operation. The Model 179 controller provides 3 separate preemption operations, A-C. The preemption operations are briefly described below: Preempt A. This is a preemption that interrupts normal signal operation as quickly as safely possible to sequence directly to the preemption operation. This preemption is generally used to accommodate those preemptions which require service as soon as possible. See Section 11.3.1.11 Emergency Vehicle Signals for additional discussion on operation of Preemption A. Preempt B. This preemption allows the signal to complete its timing for the phases currently active in a normally actuated manner, after which it will sequence directly to the preemption operation. Accordingly, it is used for preemptions that require priority service, but can wait for such. This preemption could be used for bus priority operation. Preempt C. This preemption is like Preempt A in that it interrupts normal signal operation as rapidly as safely possible. However, Preempt C allows the user to define one or two concurrent phases that will be serviced immediately prior to the preemption operation. Preempt C is generally used for railroad preemptions where it is desired to clear a signal approach that is crossed by the railroad track, before cycling to the preemption operation. Preempt C is unique in that it also has an option to provide flashing operation as the preemption operation. See the Traffic Engineering and Highway Safety Divisions Traffic Actuated Processing System Operators Manual for additional details on the operation of these preemptions.

C.3 Phase Selection A, B, C, or D. This function provides for priority servicing of selected phases based upon input from an external device. The Model 179 provides 4 separate Phase Selection options A - D, each of which is controlled by a separate input and serviced separately. Any 1 or combination of up to 4 Phase Selections can be used in a signal operation. This function could be used to provide bus priority or used with a queue detector to detect spillback onto the mainline of a freeway.

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C.4 Detector Delays and Extensions. Detector delays and/or extensions may be used on any of the 28 inputs. If an input is assigned a delay time, the controller will time the appropriate delay timer before recognizing and acting upon a call from the input. In effect, the controller will act as though the call has not been received until the delay timer expires. The delay timer starts as soon as the call is received. Since the controller does not act upon the call until the delay timer expires, the call will be forgotten if it goes away before the delay timer expires. One use of detector delay would be on a highway without a left-turn lane. A detector would be installed in the through/left-turn lane and would be programmed with a delay. If a vehicle remained in the detection zone longer than the delay, a left turn phase could be called by the controller. Another use of a detector delay would be on a force-off loop for an off ramp. If a vehicle stopped in the detection zone the controller would call the ramp phase or a preemption phase to clear the ramp before traffic backs up on the main line. If an input is given an extension time, the controller will hold the input active for the amount of time set in the extension timer. In effect, the controller will act as though the call has not gone away until the extension timer expires. The extension timer starts as soon as the call is removed. The timer is reset with each subsequent actuation. An extension timer could be used in a combined point and presence detection system. The extension timer would hold the call while the vehicle traveled from the point detector to the presence detector. See section 11.3.2.2.C.3 for the benefits of this type of operation. The above delay and extension timers may be used on any of the 28 inputs, regardless of the function of the input. Under normal circumstances, all detector delays associated with either normal vehicle detectors or calling detectors will operate only when the phase that the detector is associated with is either yellow or red. Detector delays for these detectors are inhibited during the associated phase green. Also, under normal circumstances, detector extensions associated with either normal vehicle detectors or calling detectors will operate only when the phase that the detector is associated with is green. Detector extensions for these detector types are inhibited during the associated phase yellow or red. This is known as green gating the delay and extension feature for these detector types. This function may be modified such that all detector delays and extensions associated with either normal vehicle detector inputs or calling detectors operate at all times regardless of the signal. This is known as unconditional delays or extensions.

C.5 Detector Jumping and Detector Switching. This function of the Model 179 allows the assignment of a secondary function to any of the first 8 detector input locations. Any valid input function can be used as a secondary function. There are two variations of this function as follows: Detector Jumping - This variation allows an input to be programmed such that it will operate as both the normal function and the secondary function all the time. This mimics taking one input with one function and physically jumping it to another input with a different function. Detector Switching - This variation allows the input to be programmed such that it will operate as either the normal function or as the secondary function depending upon which phase is timing. This allows the detector to switch function during the signal cycle. It should be noted 3/15/02 11.3.3.5

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that for detector jumping/switching, the calls to the secondary function will be subject to any delay and/or extension timing that is programmed for the normal function. Refer to Figure 11-10 for the following examples of Detector Jumping/Switching. Example A - It is desired to ensure that if either Side Street gets a call, then the opposite approach will also get a call. In this example, Detector number 4 would be programmed as a Phase 4 normal vehicle detector and would be programmed for detector jumping with a secondary function of Phase 8 calling detector. Detector 8 would be programmed as a Phase 8 normal vehicle detector and programmed for detector jumping with a secondary function of Phase 4 calling detector. When Detector 4 on the north Side Street (Phase 4) is actuated, a call will be placed for Phase 4 and a call will be placed for Phase 8, if Phase 8 is not timing a green interval. Since the secondary function for Detector 4 is a calling detector, no call will be placed for Phase 8 if a call is received when Phase 4 is timing a green interval. Calling detectors only place a call when the associated phase is not timing a green interval. A call will be placed if the associated phase is timing a clearance interval. Detector 8 would operate in a similar manner with a call being placed for Phase 4 when Phase 4 is not timing a green interval. Example B - Traffic in the right turn lane (Detector 4) of the southbound Side Street normally calls Phase 1. It is desired to have this traffic extend Phase 4 whenever Phase 4 is timing green instead of calling Phase 1 during Phase 4. This is a case of detector switching. Detector 4 should be programmed as a normal vehicle detector and programmed for detector switching with a secondary function of Phase 4 normal vehicle detector. During Phase 2 and/or Phase 5, Detector 4 will operate as a normal Phase 1 vehicle detector placing calls for Phase 1. During Phase 1, this detector will also operate as a normal Phase 1 vehicle detector extending Phase 1. During Phase 4, Detector 4 will operate as a Phase 4 detector with vehicle calls extending Phase 4.

C.6 Coordination Inputs. These inputs allow the Model 179 to input Free, Offset, Synch and Cycle, via an AC Isolation Module in the input rack. These inputs are used with interconnection and coordination. See Section 11.3.3.5.F for a discussion of interconnection and coordination considerations. All input assignments should be shown on the plans and in the Table of Input Wiring.

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D. Output Functions The NYS Model 330 controller cabinet outputs the appropriate vehicular indications, pedestrian indications, illuminated signs, etc., through the use of up to 14 switch packs. Each switch pack consists of 3 solid state switches for opening and closing connections between electrical power and the traffic control device. It is by turning on or off the individual switches in the switch pack that the controller controls the appropriate output indications. Because the switch pack is most

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often used to control vehicle indications, the individual switches are referred to as the red, yellow, and green switches. However, as will be shown, the actual traffic control device turned on by the switch does not have to be the red, yellow, and green of the traffic signal head. In general, each active switch pack should have only one switch on at any given time; either the green, the yellow, or the red. The red switch is turned on as the default position. The green and yellow switches will be turned on subject to the Programmable Features selected in the Model 179 controller and normal phase sequencing and timing. The function of each switch pack is programmable into any one of seven general categories and should be shown in the Table of Switch Packs.

D.1 Vehicular Phase. A switch pack can perform the function of any one of the 8 vehicular phases. In general, a switch pack assigned as a vehicular phase will be red at all times except when that phase is active, during which time it will be green, yellow, or red in accordance with appropriate phase timing. The associated phase should be shown in the function column of the Table of Switch Packs.

D.2 Pedestrian Indications. Any switch pack can perform the function of any of the 6 userdefined pedestrian outputs. If pedestrian indications are desired for any of the pedestrian intervals permitted, the pedestrian interval must have a separate switch pack assigned for it. However, if it is only desired to have pedestrian timing associated with a phase, and no pedestrian indications are required, a switch pack output is not necessary and should not be designated in the Table of Switch Packs. In general, a pedestrian switch pack output will display a steady or flashing WALK indication during the appropriate pedestrian timing interval, a flashing DONT WALK indication during the pedestrian clearance interval, and a steady DONT WALK at all other times. The WALK indication output is controlled by the green switch in the switch pack. The flashing and steady DONT WALK indications are controlled by the red switch. The yellow switch is not used for output for pedestrian indications.

D.3 Overlap Function. Any switch pack can perform the function of any of the 6 user-defined overlap outputs. The overlap feature is used to allow traffic movement during 2 or more vehicle phases. An overlap switch pack is like a vehicular phase switch pack in that it will cycle vehicular indications green-yellow-red. However, an overlap switch pack must be associated with one or more parent vehicle phases. Whenever any of the parent vehicle phases are green, the overlap switch pack will also display a green. An overlap switch pack will normally display the appropriate yellow and red clearances with the parent phase whenever the parent phase is timing a clearance. However, because an overlap switch pack allows for the movement of traffic on 2 or more phases, it may be desirable to display the overlap switch pack green during the clearance when the signal is cycling from a phase that allows a certain traffic movement to another phase that also allows that traffic 11.3.3.5 3/15/02

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movement. The phases associated with the overlap switch pack should be shown in the Table of Switch Packs. For example, in Figure 11-6 and Table 11-17, the right green arrow on face 8 is an overlap of Phases 5 and 7. However, the right green arrow should not be displayed during phase 7. This overlap should be shown on the Table of Switch Packs as an overlap of Phase 5 + Phase 7 - Phase 7 green (N5 + N7 - N7G).

D.4 Double Clearance. Any switch pack can perform the function of any of the 6 user-specified double clearances. The double clearance feature is generally used to obtain an offset clearance between signal heads controlled by the same vehicular phase. A double clearance switch pack is like a vehicular phase switch pack in that it cycles vehicular indications greenyellow-red. However, a double clearance switch pack must be associated with one or more parent vehicle phases. Whenever the parent vehicle phase is green, the double clearance switch pack will also display a green. The parent phase for the double clearance switch pack should be shown in the Table of Switch Packs. Whenever the parent vehicle phase goes through a clearance, the double clearance switch pack will remain green while the parent phase is timing and displaying its yellow and red clearance intervals. Immediately following completion of those intervals, the double clearance switch pack will display the appropriate yellow and red clearance in accordance with the timing settings of the 3rd and 4th clearance intervals of the parent phase. Figure 11-8a and Table 11-20 show an example of a double clearance operation. Faces 3 and 4 would be on one double clearance switch pack while a separate double clearance switch pack would be used for Faces 7 and 8.

D.5 Double Clearance/Overlap Function. Any switch pack can perform the function of either of the two double clearance/overlap outputs provided by the Model 179 controller. The double clearance/overlap output combines the functions of the double clearance and the overlap output. As a result, the double clearance/overlap switch pack will display a green whenever the parent double clearance phase(s), and parent overlap phase(s), are timing a green interval. The double clearance/overlap switch pack will display the appropriate delayed double clearance whenever the parent phase(s) is terminating, except that it may display the green during the clearance when cycling from a phase that allows a certain traffic movement, to another phase that also allows that traffic movement. Any double clearance/overlap switch pack should be shown in the Table of Switch Packs.

D.6 Master Coordination Outputs. These outputs allow the Model 179 controller to output Cycle, Offset, Sync and Free via switch pack output. These outputs are used in association with Coordination and Interconnection, which will be discussed in Section 11.3.3.5.F.

D.7 Miscellaneous Outputs. There are two miscellaneous switch pack output functions.

D.7.a Auxiliary Output by Timeclock. The output of Switch Pack 9 yellow is capable of being controlled by time clock. Whenever the time clock indicates that the output should be active, Switch Pack 9 yellow will be turned on. Accordingly, this output could be used to control any 3/15/02 11.3.3.5

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device that needs to be turned on and off on a regular time clock basis. Since Switch Pack 9 can also be assigned any of the various functions available to any switch pack, care should be taken not to assign conflicting uses of Switch Pack 9 yellow when using this feature. The use of this function should be shown in the Table of Switch Packs.

D.7.b Blue Light Output. The output of Switch Pack 11 yellow is capable of being outputted during preemption operation as a blue light or any other appropriate preemption vehicle indication. If used, the output of Switch Pack 11 yellow will be turned on when the controller enters its appropriate preemption condition, and will remain on for the entire preemption timing period. The output may be programmed as a flash or steady output. Since Switch Pack 11 can also be assigned any of the various functions available to any switch pack, care should be taken NOT to assign conflicting uses of Switch Pack 11 yellow when using this feature. The use of this function should be shown in the Table of Switch Packs.

E. Assignment of Switch Packs The NYS Model 330 Controller Cabinet is equipped with a NYS Model 215 Current Monitor. The major function provided by the Model 215 Current Monitor is to detect the condition where all bulbs are not functioning for red indications on an approach to an intersection. When this occurs the traffic control signal is placed in flashing operation. Accordingly, the current monitoring of switch packs must be taken into consideration when assigning the function of switch packs. There are three major considerations in determining the need to current monitor a switch pack: The electrical operation of the switch pack. The functional operation of the switch pack. The need to current monitor circuit breakers feeding the switch packs. The

Table 11-22, Current Monitoring Design Chart guides in making these decisions. following is a discussion of the considerations used in developing Table 11-22.

Electrical operation of the switch pack: In order to current monitor a switch, the operation of the switch pack from an electrical viewpoint must be such that the switch will draw at least 0.4 amps from any one or combination of its 3 switches at all times during its normal operation. If this is not the case, then the switch pack cannot be current monitored (without using dummy loads) regardless of other factors. Examples of switch packs that can be current monitored as a result of their electrical operation are: Normal green/yellow/red vehicle indications. Full-time flashing red indications. Pedestrian WALK/DONT WALK indications.

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Examples of switch packs that cannot be current monitored as a result of their electrical operation are: Left green/left yellow arrow permissive/protected left-turn phases. Right green/right yellow overlap indications. Preemption blue light indication.

Table 11-22 Current Monitoring Design Chart Switch Pack Output Function G/Y/R LGA/LYA/LRA VGA,RGA/Y/R G/Y/Flashing R Current Monitoring Required for Switch Pack with this Function Yes. Current Monitoring Required for Circuit Breakers With This Function Yes. SP cannot be allowed to go dark if CB trips and 3-color operation continues. Decision to current monitor any SP with this function automatically requires CB monitoring. For criteria (A) CB - No. SP could be allowed to go dark if CB trips and 3-color operation continues. Assumes trouble call will follow. For criteria (B) - Yes. SP cannot be allowed to go dark if CB trips and 3 - color operation continues. Decision to current monitor any SP with this function automatically requires CB monitoring. No. SP could be allowed to go dark if CB trips and 3-color operation continues. Assumes circular G/Y/R primary approach indications will control traffic until trouble call is responded to.

Pedestrian WALK/DONT WALK indications

(A) If signal layout is such that normal vehicle indications could serve as backup in the event of burnouts, then current monitoring is not required. (B) If this is not the case, then current monitor is required.

Left-Turn Phase with LGA and LYA

No. Cannot be current monitored.

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Table 11-22 Current Monitoring Design Chart (Continued) Switch Pack Output Function Overlap with RGA and RYA Current Monitoring Required for Switch Pack with this Function No. Cannot be current monitored. Current Monitoring Required for Circuit Breakers with this Function No. SP could be allowed to go dark if CB trips and 3-color operation continues. Assumes circular G/Y/R primary approach indications will control traffic until trouble call is responded to. No. SP could be allowed to go dark if CB trips and 3- color operation continues. Assumes a trouble call will follow. Yes. SP cannot be allowed to go dark if CB trips and 3-color operation continues. Decision to current monitor any SP with this function automatically requires CB monitoring. Depends on function. Can the SP be allowed to go dark and wait for a trouble call if the CB trips and 3-color operation continues?

Preemption Blue Light

No. Cannot be current monitored.

Full time flashing R vehicle indications

Yes. SP must be current monitored.

Miscellaneous such as auxiliary outputs for signs, full-time GA indications, etc.

Depends on function. SP can be current monitored if function draws greater than 0.4 amps at all times during normal operation.

Key: SP = Switch Pack, CB = Circuit Breaker, G= Green, Y =Yellow, R = Red, LGA = Left Green Arrow, LYA = Left Yellow Arrow, LRA = Left Red Arrow, VGA = Vertical Green Arrow, RGA = Right Green Arrow Functional operation of the switch pack: Once it is determined that a switch pack could be current monitored based on its electrical operation, the desirability of monitoring it based on its functional operation must be considered. This process involves assessing the relative trade-offs of placing the signal in flash due to a burn out of all indications on the switch pack, versus allowing the indications to go dark while maintaining 3-color operation at the signal. For example, subject to approval by the Regional Traffic Engineer, at locations utilizing pedestrian indications where the signal layout is such that pedestrians could also view appropriate vehicle indications, if the pedestrian indications suffer a total burnout on a switch pack, it is preferable to leave the indications dark and maintain 3-color operation, rather than to go into flashing operation. The assumption is that the burned out pedestrian indications will eventually result in a trouble call, and pedestrians can rely on the vehicle indications as a backup until the signal is repaired.

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Current monitoring of signal head circuit breakers: Each Model 330 cabinet with current monitor contains a set of 4 circuit breakers that feed either 2 or 4 switch packs per the following: Circuit Breaker 1 - Switch Packs 1, 2, 13, and 14 Circuit Breaker 2 - Switch Packs 3, 4 Circuit Breaker 3 - Switch Packs 5, 6, 11, and 12 Circuit Breaker 4 - Switch Packs 7, 8, 9, and 10 The circuit breakers are manufactured with mechanical connection between the 4 units to ensure that if one breaker trips, the entire group will trip. The cabinet is, in turn, designed to sense this common trip of the 4 breakers and place the signal in flash. When the cabinet places the signal in flash mode, power is provided to the flashing signal indications through the Flash Transfer Relays. This mechanical connection of circuit breakers does not always work. The result is that a circuit breaker can trip, and all associated switch packs and signal indications go dark, while the signal continues in the 3-color mode. To protect against this, the circuit breakers should be monitored using the capabilities of the current monitor, as the tripping of a circuit breaker will result in no current draw on all switch packs fed by that circuit breaker. This process involves determining the switch packs which are used in the signal operation, and, based upon the switch pack/circuit breaker interconnection, which circuit breakers are used. For each circuit breaker that is used in the operation, at least one switch pack fed by that circuit breaker must be current monitored, unless every switch pack fed by that circuit breaker has a function such that it is preferable to allow the signal indication to go dark rather than put the signal into the flash mode. For example, consider a location that uses Switch Pack 11 yellow for a preemption blue light. This is fed by Circuit Breaker 3. Assume that Switch Packs 5, 6, and 12, also served by Circuit Breaker 3, are not used. At locations such as this, if the circuit breaker feeding the preemption blue light were to trip, the Regional Traffic Engineer may prefer the signal to remain in 3 color operation without blue light capability, rather than go to flash. The assumption is that the inoperative blue light will eventually result in a trouble call. Another example is the case of the left green/left yellow arrow permissive-protected left-turn or the right green/right yellow arrow right-turn overlap. In both situations, vehicles controlled by the left-turn or overlap indications are also controlled by the primary approach faces (red, yellow, green) during appropriate parts of the signal cycle. In the event the circuit breaker feeding these indications were to trip, and the signal were to remain in the 3-color operation, these indications could be allowed to go dark, with vehicles controlled by the primary approach faces until a trouble call is responded to. Note that in the case of the left green/left yellow arrow permissive-protected left turn, it may be desirable to monitor the circuit breaker feeding the switch pack, particularly where opposing permissive-protected left turns exist. This is because if the circuit breaker(s) feeding opposing left turns were to trip and the signal remained in 3-color operation, the signal would likely display all red to the intersection while timing the opposing left turns, which would be dark. The major function provided by the current monitor is to detect all-red bulb outs on an approach

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to an intersection. However, if the signal operation is designed such that opposite approaches to an intersection are controlled by the same phase, and thus by the same switch pack, one complete approach could burn out, and as long as one indication remained on the opposite approach, the current monitor would not trip. Consider splitting control of approaches in cases such as this by using concurrent phases so that the primary indications on each approach are serviced by a separate switch pack when feasible. With the Model 179 controller, if splitting control of opposite approaches into concurrent phasing is not desired, it is also possible to assign 2 switch packs to the same phase function, thereby controlling opposite approaches by separate switch packs assigned to the same phase. The following procedure should be used to determine current monitoring and switch packs assignments. 1. Based on the desired signal design, determine the switch packs (SPs) that will be used in the operation. Circle these on the 2nd row of Table 11-23. 2. Using Table 11-22, determine which switch packs must be current-monitored (2nd column). Circle these on the 3rd row of Table 11-23. 3. Using Table 11-22, and referring to the switch pack/circuit breaker association as shown in 2nd row of Table 11-23, determine which circuit breakers must be currentmonitored and circle these on 1st row of Table 11-23. 4. Referring to Table 11-23 for each circuit breaker (CB) that is circled in the 1st row, at least one switch pack must be circled (current-monitored) in the 3rd row. If this is not the case, reassign switch pack outputs until this criteria is met. 5. As a check, refer to Table 11-23. If the 2nd row indicates that a switch pack is used in the signal operation, but the 1st row indicates that the corresponding circuit breaker does not require current monitoring, then the function of this switch pack must be such that it can be allowed to go dark while 3-color operation is maintained if the breaker trips.

Table 11-23 Current Monitoring Design Worksheet Circuit Breaker No. Current Monitoring Switch Assignment SP Fed By CB SPs That Are Current-Monitored 1 2 3 4

1-2-13-14 1-2-13-14

3-4 3-4

5-6-11-12 5-6-11-12

7-8-9-10 7-8-9-10

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Coordination of traffic signal operation is a term used to describe a process in which two or more intersections are synchronized so that vehicles can pass through each intersection without stopping. Coordination is accomplished by synchronizing each coordinated phase(s) (Main Street) green of each intersection to a system reference point. The coordination of signal operation between adjacent intersections offers an opportunity for significant benefits to motorists. On open highways, traffic flow is characterized as being random in that it is not normally influenced by upstream interruptions. Its arrival at a point is generally uniform throughout a selected time interval. In contrast, traffic flow on urban streets is generally less uniform because of interruptions, and it tends to flow in pulsed groups of vehicles, or platoons. Signal coordination simply attempts to recognize this flow characteristic and coordinate signal operation to accommodate platoons with minimal stops. The success of signal coordination is influenced by the following factors: Signal spacing. Signal timing (cycle length and split). Traffic volumes. Amount of turning traffic. Midblock storage or contributions of traffic.

Safety and driver comfort (satisfaction) should also be appraised when considering signal coordination. Safety can be enhanced through progressive movement along thoroughfares where stops and delays are reduced. Driver comfort and satisfaction are influenced by the expectation of system operation where traffic moves smoothly with few stops, and trip times are generally repeatable along the same route. In fact, the laypersons view of good signal timing is where progression permits continuous movement, and they are able to observe route continuity and consistency but not optimized system-wide measures of effectiveness. There are two ways to interconnect traffic signals, direct and indirect. Direct means use a physical connection between controller assemblies; indirect means rely on an air path or timebased approach. Direct connection uses one of several types of connections and cables, as follows: 1. Electrical Cables (Wires): The most widely used cable consists of a minimum of 7conductor (AWG 14) cable physically linking each controller. In a Model 179 traffic signal controller, this cable would be connected from a switch pack output at one controller to an input of the next controller. The switch pack output would be programmed for the required Master Coordination Output (free, offset, synch, or cycle) while the input at the second controller would be programmed for the same function. The second controller would use a Model 252, dual A.C. isolation module in the detector input rack. 2. Data Communication Cable: Sophisticated systems use digital data communication techniques rather than energized circuits, and the direct wire cables contain data communication twisted wire pairs. These systems use modems at both ends to encode 3/15/02 11.3.3.5

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SIGNS, SIGNALS, AND DELINEATION and decode (multiplex) the data. Model 179 controller systems using the Model 400 modem require a 4-pair, 18-gauge shielded communications cable which will be connected to the C2 connector on the Model 179. 3. Coaxial Cable: Coaxial cable has a large signal information capacity and has come into widespread use for cable TV systems. Its broadband characteristics make it well suited for the transmission of video signals within narrow slices, or channels, of its bandwidth. Again, modems are required at both ends to multiplex the data. This type of cable may be used on large Intelligent Transportation System (ITS) type systems. 4. Fiber Optic Cable: Developments in the use of fiber optics for communication have made this medium attractive for use in computerized traffic systems. Fiberoptic cable size is much smaller than wire cable and often can be included in existing conduit. Modems convert multiplexed data into light pulses rather than electrical pulses.

Indirect connection uses one of the following methods: 1. Radio Communications: Radio represents an indirect method of interconnection that is not widely used, but can be effective in certain situations. As generally used, it is a one-way form of data communication from a central transmitter to multiple receivers at intersection controller assemblies. 2. Time-based Coordinators (TBC): One of the most popular advances in signal coordination has been the time-based coordinator. Working without cables, this device functions as a very accurate clock to supervise a controller unit locally by the transmission of sync pulses and commands, much like a system master unit. Adjacent traffic signals operate from the same reference point, providing a high level of coordination. The primary disadvantage is that two-way communication is not achieved. The Model 179 controller comes programmed with time based coordination capability. The designer should confer with the Regional Traffic Engineer concerning the need for, and type of, coordination and interconnection to be used.

11.3.3.6 Electrical Service and Equipment Wiring

A. Power Cable The requirement for connecting electrical power from the local utility lines to signal equipment may vary among electrical power companies. Service connections normally consist of a singlephase circuit of 110 volts to 120 volts, 60 Hz, connected to the nearest source of power. The service point may be from either an overhead or underground power line. The service cable must be connected to an electrical meter if required by the utility company and must always be connected through a disconnect box as shown on Standard Sheet BASE - AND POLE MOUNTED CABINET INSTALLATION DETAILS. The most important aspects of the service connection are that the connection point is located as close as possible to the controller cabinet 11.3.3.6 3/15/02

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and the wire is of adequate size and capability to minimize voltage drop to less than 5% of the utility voltage. Locating the controller close to the power source is generally a trade-off between the length of the service cable and the lengths of the signal control wiring. The controller cabinet should also be located to be readily accessible to maintenance/service personnel and preferably be on the same side of the road as any interconnection cable. Two #6 or #8 AWG single conductor cables should be used for the service connection. Typical service connections are shown on Standard Sheets SPAN WIRE MOUNTED TRAFFIC SIGNAL INSTALLATION DETAILS and BASE - AND POLE - MOUNTED CABINET INSTALLATION DETAILS.

B. Signal Cable Signal head wiring originates at the terminal block in the controller cabinet and terminates at the signal head. Number 14 AWG conductors are generally used for signal head wiring. The number of conductors making up the cable is a function of the signal operation and head layout. The number of conductors and suggested color code is shown in Section 680 of the Standard Specifications. Each signal lamp requires one conductor plus a common. Some spare conductors should be provided in each signal cable. Generally, either 2-, 10-, 15-, or 19-conductor cable is used for signal head wiring. Two-phase signal operation requires 10-conductor cable. Three-phase operation with no overlaps requires 15-conductor cable. Three-phase operation with one overlap requires one 19-conductor cable while 4-phase through 8-phase operation may require from 1 to 3 cables of the appropriate number of conductors. Five conductor cable is generally used for pedestrian signal head wiring. The number of conductors and color code shown in the Standard Specifications works well for signal installations with 1 span wire assembly. If 2 span wire assemblies or mast arm installations are used, several signal cables may be required. In such cases, determine the number of conductors needed in each cable (2 for each lamp plus a minimum of 2 spares) and then select the next larger cable size from the standard sizes used (10-, 15-, or 19- conductor). The signal head wiring for each signal installation should be shown in the Table of Switch Packs. There is great variation among Regions in how to show the wiring and electrical requirements. Procedures may range from simply listing the required cable to a detailed wiring diagram which shows the individual conductors, their color code, and their terminal position. A wiring diagram should identify the number of conductors in each conduit between the controller cabinet and the signal head assembly, and the detectors. Examples of various ways of showing wiring information can be found in the Institute of Transportation Engineers Manual of Traffic Signal Design.

C. Inductance Loop Wire The inductance loop wire is a 1-conductor #14 AWG wire loosely encased in a tube and embedded in a saw-cut slot in the pavement to form a loop configuration. See Section 11.3.2 for additional information on the design and operation of loop detectors. Section 680 of the Standard Specifications and Standard Sheet INDUCTANCE LOOP VEHICLE DETECTOR INSTALLATION DETAILS detail the installation of inductance loop detectors.

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D. Shielded Lead-In Cable The shielded lead-in cable is the electrical cable used to connect the inductance loop wire to the input of the loop detector unit in the controller cabinet. This cable is sometimes called the home-run cable or transmission cable. The shielding is provided by a conductive material surrounding the pair of lead-in wires, so that outside electrical interference will not induce noise onto them.

E. Shielded Communication Cable The shielded communication cable is the cable used to interconnect traffic signals to provide coordinated operation. In general, the cable types used for interconnecting controllers are twisted, shielded pairs of conductors in cables ranging from two pairs to hundreds of pairs. The functions of the twisting and shielding are similar in that both reduce interference (crosstalk) which might distort the message on the communication channel. To interconnect Model 179 controllers using Master/Slave TAPS communication software, the shielded communication cable should consist of 4 pairs of #18 AWG wire. This cable would not be used to interconnect signals using the output of a switch pack to the input of an A.C. isolation module. Standard #14 AWG signal cable should be used for this type of interconnect. Shielded communication cable should not be placed in close proximity to power cables or signal cables due to noise induced by those cables. The designer should also advocate the use of surge protection for the cable to insure that transients, caused by high power surges such as lightning, do not flow through the system.

F. Conduit Underground cable should normally be housed inside conduit. Only detector sensor cable and direct burial cable should be installed without conduit. Conduit offers some measure of protection for conductors from physical damage and moisture. Direct burial cable can eliminate the need for some conduit and possibly some pullboxes, however, a trench must be excavated to remove or replace damaged cable. Wiring housed in conduit can be removed or added from a pullbox without the necessity of digging a trench. Steel conduit may be installed in a trench, pushed underground, or attached to a pole. It is normally used due to its structural strength and its availability as a grounding system. Polyvinyl chloride (PVC) and other plastic conduit should only be installed in a trench or attached to a structure. PVC conduit should not be used under load bearing surfaces, such as roads or driveways, except in a magnetic detector installation. Steel conduit used with a magnetic detector probe could result in a constant call. A #6 AWG ground wire should be installed in all nonmetallic conduit and should be grounded at both ends. The size of the conduit is determined by the number and dimension of the cable(s) to be housed

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within the conduit. The cross sectional area of the cables is totaled and a conduit large enough to easily accommodate these cables is selected. Conduit shall be large enough to meet the requirements (31% full for 2 conductors, 40% for 3 conductors) in Chapter 9 of the National Electric Code (NEC). It is considered good practice to provide extra space for future additional cable and for ease in pulling the cable through. Bends in the conduit should be kept to a minimum to facilitate pulling the cable. Avoid more than three 90 bends in cable runs of 30.5 m or less. If future need for additional conduit under the roadway is anticipated, the installation of the added conduit during the original installation will save time, effort, and the expense of digging up the road to lay conduit a second time. Extra conduit should also be installed in controller cabinet base foundations and signal pole foundations if the need for additional wiring at a later date is anticipated.

G. Pullboxes/Junction Boxes Pullboxes are used near a cabinet or pole as a junction point for incoming and outgoing conduit, near detector locations to house the splice between sensor cable and shielded lead-in, and as a pulling station on long conduit runs. Pullboxes should be located in back of the edge of shoulder or curb line where they will not interfere with pedestrian or vehicular traffic. The pullbox size will be dependent on the number and size of entering/leaving conduits or cables and what work is required within the box. Extra pullboxes should be considered at all locations where conduit changes direction. For long conduit runs pullboxes should not be placed more than 60 m apart.

H. Grounding Traffic signal poles and controller cabinets shall be electrically grounded in accordance with the Standard Sheets, Standard Specifications, National Electrical Code, and Traffic Engineering and Highway Safety Divisions Signal Installation Manual.

I. Utility Clearances The required offset distance between traffic signal equipment and existing overhead and underground utility lines varies among different utility companies and should be determined by contacting each individual utility involved. The clearance distance must meet or exceed the requirement of the National Electrical Safety Code (NESC) ANSI C2, 1997, published by IEEE. If the clearance required by any utility company is less than the NESC standard, the NESC standard shall apply.

J. Wood Poles Wood poles may occasionally be used in signal installations. They are most often used in temporary signals and to carry overhead wires in interconnected signal systems. Wood poles at each end and at each change of direction along the run of interconnect cable should be guyed 3/15/02 11.3.3.6

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as shown on the Standard Sheets. If a cabinet is mounted on a wood pole it shall be grounded by a #6 copper ground wire and a copperweld ground rod in accordance with the Standard Specifications and Standard Sheets. A wooden pole requires that wiring be run up the outside of the pole. Wiring must be housed in a conduit riser installation, details of which are shown in the Standard Sheets.

11.3.3.7 Model 170/179 Microcomputer Traffic Signal Controllers The Model 170 controller is a microcomputer (Motorola MC6800 MPU) based unit jointly developed by the states of New York and California. Since its introduction, many states and other traffic organizations have adopted the Model 170 controller. The controller unit contains a microcomputer which, with the addition of appropriate software, can provide a variety of control applications. New York States Isolated Traffic Actuated Processing (ITAP) software is used with the Model 170 to provide traffic signal control in New York State. In 1985 New York State upgraded the Model 170 specifications to use a Motorola MC6809 microprocessor unit. The new traffic signal controller unit is known as the Model 179. The specifications for the Model 179 controller, Model 330 pole-mounted controller cabinets, and associated peripheral equipment can be found in Traffic Engineering and Highway Safety Divisions New York State Transportation Management Specifications. It should be noted that the Model 330 pole-mounted controller cabinet may also be mounted on a concrete base. See Standard Sheet BASE - AND POLE-MOUNTED CABINET INSTALLATION DETAILS for details on ground mounting the Model 330 cabinet. All traffic signal operations for traffic signals to be maintained by NYS DOT should be designed to use the Model 179 controller. As with the Model 170 controller, the Model 179 with appropriate software can provide a variety of control applications. As of this time, the Traffic Engineering and Highway Safety Division provides software for the following applications: Traffic Signal Controller - Traffic Actuated Processing System (TAPS). Time-Base Coordination - Traffic Actuated Processing System (TAPS). Closed-Loop System - Developed by Bi Tran Systems Inc. (Statewide License). Ramp Metering - Model 179 Ramp Metering Software Program (GATER).

Operators manuals for these software systems can be obtained from the Traffic Engineering and Highway Safety Division. The TAPS program is designed to perform the functions of a typical 2-phase through 8-phase traffic signal controller, using either a standard dual ring, or a 6-phase sequential format. Each of the 8 vehicular phases is capable of density timing, as well as concurrent pedestrian timing, 3 maximum greens selected by time of day, all red clearance timing, and double clearance timing. A variety of vehicle- and pedestrian-actuated, and recall green modes are also available for actuated and fixedtime operation. The program provides the capability of outputting up to 14 switch packs for traffic signal indications. All switch packs are fully user programmable, and can be implemented in any combination of the 11.3.3.7 3/15/02

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Up to 8 vehicular and pedestrian phases. Up to 6 overlaps. Up to 6 pedestrian movements. Up to 6 double clearances. Up to 2 overlaps of double clearances. Special outputs including a blue light for emergency vehicle indication, and an output that is controlled by a time clock.

Other major software capabilities of the program include: Programmable start-up sequence and phases. Up to 28 inputs, each of which is programmable by function, and capable of extensions and delays. Capability to flash any outputs during 3-color operation. Light reduction. Up to 4 phase omits for priority servicing of selected phases. 3 emergency preemptions, including one railroad preempt. A 52-week clock with built-in daylight savings time and leap year adjustments. A time clock capable of implementing up to 192 day program events, 10 week programs, 26 yearly week program changes and 16 exception days. 8 time clock functions capable of being implemented at any day program event. These functions include 2 phase omits, rest-In-red, auxiliary output, 2 max greens, input by time clock, and flashing operation. Detector failure analysis with built-in corrective action. Exclusive pedestrian phase. Time-based coordination.

T his program can be used for almost all 2-phase through 8-phase fixed time or actuated signal operations. For additional information on the capabilities and flexibility of TAPS see Section 11.3.4 Signal Operation Design and the TAPS Operators Manual.

11.3.3.8 Administrative Issues The Model 179 controller, Model 330 Pole-Mounted Controller Cabinet and associated peripheral equipment are supplied to construction contracts by the Department from its inventory. For all projects where there is State-supplied traffic signal equipment, 1 copy of Form TE 200c Traffic Signal Equipment Furnished by New York State Department of Transportation must be completed for each signal location and included in the PS&E submittal. The following procedure must be used to ensure that the equipment is actually installed and to obtain reimbursement for the cost of the equipment. 1. The Regional Design Group will submit 1 Form TE 200c for each traffic signal with the PS&E submittal to the Design Quality Assurance Bureau (DQAB) with the Engineering 11.3.3.8

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SIGNS, SIGNALS, AND DELINEATION Share Box, Description, PIN, and Estimated Quantity Boxes filled in. Do not fill in the unit price or estimated amount columns.

2.

DQAB will complete the Contract Number and forward the form to the Traffic Engineering and Highway Safety Division, Traffic Operations Bureau. The Traffic Operations Bureau will complete the unit price and estimated amount columns and return the form to DQAB. DQAB will complete the expenditure codes, Federal-Aid Project Number, and Fiscal Share Number boxes, and transmit the form to the Accounting and Fiscal Services Bureau with a copy of the form to the Construction Division. The Appropriation Control Unit of the Accounting and Fiscal Services Bureau will prepare an accounting entry to charge the cost of the State-furnished signal equipment against the project involved. The Construction Division will transmit the form to the Regional Construction Group at the time the contract is awarded. The Regional Construction Group will forward the form to the Engineer-in-Charge. When the final quantities of the traffic signal equipment to be furnished by the Department are known, the Engineer-in-Charge enters the final quantities on Form TE 200c, signs the form, and forwards it with the Final Agreement through the Regional Office to the Construction Division. The Construction Division will forward the form to the Traffic Engineering and Highway Safety Division, Traffic Operations Bureau who in turn will advise the Accounting and Fiscal Services Bureau of any changes. The Appropriation Control Unit of the Accounting and Fiscal Services Bureau will prepare an accounting entry to adjust the cost charged to the project to the actual cost based on the report of the State-furnished signal equipment actually installed in the project.

3.

4.

5.

6.

7. 8.

9.

10.

For traffic signal equipment which will be maintained by an agency other than NYSDOT, the designer must work with that agency to provide equipment which they are capable of maintaining.

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Accurate and complete plans and specifications are a necessary part of the contract documents to help reduce change orders and potential disputes which may occur during construction.

11.3.4.1 Traffic Signal Plans The traffic signal plans and details should provide the information necessary for a contractor to bid and construct the traffic control signal. Guidance regarding traffic signal plans is provided in Chapter 21, Section 21.2.2.17 of this manual, and additional guidance is provided in Section 11.3.4.2 to facilitate the development of the traffic signal plans.

11.3.4.2 Signalization Details Either on the traffic signal plan or on a separate sheet, specify the details associated with each installation. The tables required in Chapter 21, Section 21.2.2.17 of this manual and discussed in the following sections should be prepared using the working tables provided in the nytraffic.cel cell library.

A. Table of Quantities The item number, description, work unit and estimated quantities of materials and equipment for each signal installation or modification should be listed separately and totaled as a summary for the project. Materials and equipment that will be provided by NYS DOT to the contractor must be clearly identified (e.g., Model 179, poles, signal heads) or listed separately from those items to be supplied by the Contractor. Figure 11-11 shows a Table of Quantities. See Section 11.3.3.8 with regard to the need for a form TE 200c for State-supplied equipment. (See Chapter 21 of this manual for additional details.)

Figure 11-11 Table of Quantities TABLE OF QUANTITIES ITEM NUMBER DESCRIPTION UNIT ESTIMATED QUANTITY FINAL QUANTITY

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B. Table of Operation (Table of Sequence) A Table of Operations is required for each proposed signal installation. The Table of Operations should define each signal face configuration, the vehicular and pedestrian phases utilized by the controller to be installed, the respective signal indications for each signal face during a particular phase or combination of phases, the startup indication/startup phasing, and the emergency flashing operation for the intersection. A Table of Operations is shown in Figure 11-12. Figure 11-12 Table Of Operations TABLE OF OPERATIONS FACE PHASE Startup 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

FLASHING OPERATION

DISPLAY
300 mm DIAMETER LENSES 1

1. In this example all lenses are 300 mm. Lenses should be specified consistent with the NYS MUTCD Section 272.10.

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The Table of Clearances should be prepared to define the appropriate signal indications displayed during each clearance interval. Clearances are necessary between signal indications which convey different messages to motorists. Generally, clearances are composed of two parts; a yellow indication and an all-red time period before the green is given to an opposing movement (the all-red time period may be omitted if it is not needed). The yellow indication advises traffic that the related green period on the approach is being terminated and a red indication will be displayed immediately thereafter. The all-red time period is used to provide additional time for a vehicle to clear the intersection. These clearance indications may also be shown in the Table of Operation. A table of clearances is shown in Figure 11-13.

Figure 11-13 Table of Clearances

TABLE OF CLEARANCES FROM TO

D. Table of Switch Packs The Table of Switch Packs should be prepared to show the wiring of each section of the traffic signal head to the output terminal board in the traffic signal controller cabinet. The first column should provide the switch pack number, from 1 to 14. The second column should indicate the function that each switch pack will be used for (output functions are discussed in Section 11.3.3.5.D). The third column entitled Face Numbers should show the face number (from the traffic signal plan) that will be connected to the subject switch pack. The Flash Plug Color column should be used to indicate which switch packs will flash red or yellow during emergency flashing operation. The indication (red, yellow, walk, etc.) connected to each switch pack output should be shown in the Indication column. The color code for each conductor connect from the switch pack output terminal to the signal indication should be shown in the Wire Color Code column. Some Regional Traffic Groups may choose to have the signal heads wired to the terminal board by the Regional Traffic Signal Crew in which case the Table of Switch Packs may not be required in the Contract Plans. A Table of Switch Packs is shown in Figure 11-14.

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Figure 11-14 Table of Switch Packs

TABLE OF SWITCH PACKS Signal No._______ FLASH PLUG COLOR County :__________ TERMINAL WIRING BOARD INDICATIONS TERMINAL SP 1R SP 1Y SP 1G GRND BUS SP 2R SP 2Y SP 2G GRND BUS SP 3R SP 3Y SP 3G GRND BUS WIRE COLOR CODE

SWITCH PACK

FUNCTION

FACE NO.S

SP 1 GRND WIRE

SP 2 GRND WIRE

SP 3 GRND WIRE

SP 13 GRND WIRE

SP 13R SP 13Y SP 13G GRND BUS SP 14R SP 14Y SP 14G GRND BUS

SP 14 GRND WIRE

E. Table of Input Wiring The Table of input wiring should be prepared to show how each detector, pedestrian pushbutton, etc. is connected to the input terminal board in the traffic signal controller cabinet. The first column is entitled Function and is used to indicate the signal phase or preemption the input device calls. Input functions are discussed in Section 11.3.3.5.C. The second column entitled Detector Number is the detector number from the plan sheet for the signal. The column entitled Type should indicate what type of device (e.g., loop detector, calling detector, pushbutton, presence detector, etc.) is connected to the input (See Section 11.3.3.5). Each input slot in the input rack controls an odd and even input number (e.g., 1 & 2, 3 & 4) and does not mix detector types. Also, when using the microwave detectors with type TCPS-1 power supply/ iso modules, the input will be on the odd-numbered terminal and the 12 V AC power supply to the unit will be on the even-numbered terminal. 11.3.4.2 3/15/02

SIGNS, SIGNALS, AND DELINEATION Figure 11-15 Table of Input Wiring

TABLE OF INPUT WIRING DETECTOR NUMBER TERMINAL BOARD WIRING 1A, 1B 2A, 2B 3A, 3B 4A, 4B

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FUNCTION

TYPE

REMARKS

F. Table of Magnetic Detectors The Table of Magnetic Detectors should be prepared to show each magnetic detector to be installed. Detector Number is the detector number from the plan sheet for the signal. The phase number is the traffic control signal phase that will be called by the detector. The number of magnetic probes represented by each detector number is shown in the Magnetic Detector Probes column. The length of 3 NPS PVC conduit for each detector is shown in the next column. The number of dual magnetic amplifier units is shown in the last column. Note that 2 magnetic detectors can be attached to each amplifier unit. Figure 11-16 shows a Table of Magnetic Detectors. Figure 11-16 Table of Magnetic Detectors
TABLE OF MAGNETIC DETECTORS DETECTOR NUMBER PHASE NUMBER MAGNETIC DETECTOR PROBES 3 NPS PVC CONDUIT DUAL MAGNETIC AMPLIFIER UNITS

G. Table of Magnetometer Detectors The Table of Magnetometer Detectors should be prepared to show each magnetometer detector to be installed. Detector Number is the detector number from the plan sheet for the signal. The Phase Number is the traffic control signal phase that will be called by the detector. The Magnetometer Channel No. column is used to indicate the channel of the detector amplifier the probes are to be connected to. The number of magnetometer probes connected to each detector is shown in the Number of Probes column. The spacing between each probe is shown in the Spacing column. The number of dual magnetometer amplifier units is shown in the last column. Note that 2 magnetometer detectors can be attached to each amplifier unit. One dual magnetometer amplifier unit uses 4 input positions on the input terminal board. Figure 11-17 shows a Table of Magnetometer Detectors. 3/15/02 11.3.4.2

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Figure 11-17 Table of Magnetometer Detectors

TABLE OF MAGNETOMETER DETECTORS NUMBER OF PROBES DUAL CHANNEL MAGNETOMETER DETECTORS

DETECTOR NUMBER

PHASE NUMBER

MAGNETOMETER CHANNEL NO.

SPACING

H. Table of Microwave Detectors The Table of Microwave Detectors should be prepared to show each microwave detector to be installed. Detector Number is the detector number from the plan sheet for the signal. The Phase Number is the traffic control signal phase that will be called by the detector. The number of microwave detector units is shown in the Microwave Detector Units column. The type of mounting (band on pole, mast arm mount, etc.) is shown in the Type of Mounting column. Microwave detector units are interfaced to the Model 170/179 controller using an isolation module. The number of isolation modules is shown in the last column. Figure 11-18 shows a Table of Microwave Detectors. Figure 11-18 Table of Microwave Detectors
TABLE OF MICROWAVE DETECTORS DETECTOR NUMBER PHASE NUMBER MICROWAVE DETECTOR UNITS TYPE OF MOUNTING TCPS-1 SINGLE ISOLATION MODULES

I. Table of Inductance Loop Design The Table of Inductance Loop Design should be prepared to show each inductance loop to be installed. Detector Number is the detector number from the plan sheet for the signal. The phase number is the traffic control signal phase that will be called by the detector. The width and length of the loop should be shown in the Inductance Loop Size column. The width of the loop is generally 1.8 m to ensure that there are no dead spots and that an adequate detection area is provided. The Number of Turns column is used to show how many turns of loop wire are required for the loop. The Jct Boxes column shows how many junction boxes are required at each loop. The length of 1 NPS conduit required for each loop is shown in the 1 NPS 11.3.4.2 3/15/02

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Conduit column. The number of dual loop detector amplifier units is shown in the last column. Note that 2 loop detectors can be attached to each amplifier unit. Figure 11-19 shows a Table of Inductance Loop Design. Figure 11-19 Table of Inductance Loop Design
TABLE OF INDUCTANCE LOOP DESIGN DETECTOR NUMBER PHASE NUMBER INDUCTANCE LOOP SIZE NUMBER OF TURNS JCT BOXES 1 NPS CONDUIT DUAL LOOP DET. MODULES

11.3.4.3 Specifications Designers should use either the Department's standard specifications found in Section 680 of the "Standard Specifications", or, when these specifications do not satisfy the designer's needs, write or use previously written special specifications. Specification pay items with corresponding quantities, or notes referring to separate agreements with utilities or municipalities regarding payment for work to be performed by them, shall be provided for all aspects of the work to be performed by the contractor. Refer to Chapter 21, Section 21.3 of this manual for further guidance regarding specifications.

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The following definitions are applicable to traffic signals. Actuated Controller. A controller for supervising the operation of traffic control signals in accordance with the varying demands of traffic as registered with the controller by traffic detectors. Actuation. The action of a vehicle or pedestrian which causes a detector to call a specific signal phase. Allowable Gap. The maximum time interval between successive vehicles crossing a detector which will extend the phase serving those vehicles. Amplifier (Detector Electronics). A device that is capable of intensifying the electrical energy produced by a sensor. A loop detector unit is commonly called a detector amplifier, although its electronic function actually is different. Arterial Intersection Control (Open Network Control). A form of control for signalized intersections along an arterial street where progressive traffic flow along the arterial is promoted. Arterial System. A linear sequence of signals on an arterial supervised to provide progressive flow in one or both travel directions. Audible Pedestrian Signals. An audible signal that indicates walk intervals for pedestrians. Background Cycle. The term used to identify the cycle length established by a coordination unit and master control in coordinated systems. Bus Detector (Passive). A pavement-installed loop detector with digital device that identifies buses. Bus Priority. The cycle-by-cycle timing of a traffic signal so the beginning and end times of green may be shifted to minimize delay to approaching buses. The normal sequence of signal displays is usually maintained. Cable. A group of separately insulated wires wrapped together. Call. A registration of demand for right of way by vehicle or pedestrian traffic. The call to the controller is usually via detector actuation. Calling Detector. A detector normally placed just upstream of the stop line to detect vehicles entering the roadway from a nearby driveway between the stop line and extension detector during a red or yellow interval. When the signal is green, the detector is ignored so that extensions of the green can come only from the detector located upstream of the driveway. A calling detector can place a maximum of one call for a phase each cycle.

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Check-In Detector. A vehicle presence detector placed on the approach to a ramp metering signal so that the signal changes to green only at vehicle presence. Check-out Detector. A vehicle detector located to sense the departure of a vehicle past a ramp metering signal. Terminates the green signal after one vehicle has passed. Clearance Interval. The interval from the end of the of the green or pedestrian walk indication of one phase to the beginning of a conflicting phase. Closed Grid Signal System. A network of traffic control signals forming an interlocking pattern and supervised to give progressive flow in all traveled directions within the network. Closed-Loop Control System. A traffic control system capable of controlling some operation by implementing certain strategies, receiving inputs that permit the rapid evaluation of the effects of the control, and then taking some action that modifies the strategy on the basis of the evaluation, all without the need of operator input. Closed-Loop Signal System. A system that provides two-way communication between the intersection signal controller and its master controller. This system also provides two-way communications between the master controller and the traffic operations center. Coaxial Cable (Coax). A transmission line in which one conductor completely surrounds the other, the two being coaxial and separated by a continuous solid dielectric or by dielectric spacers. Such a line has no external field and is not susceptible to external fields from other sources. This broad band communications technology has the capability of carrying many channels to transmit either data or video. Concurrent Timing. Mode of operation where a traffic phase can be selected and timed independently and simultaneously with another nonconflicting traffic phase. Conflicting Phases. Two or more phases which will cause interfering traffic movements if operated concurrently. Controller Assembly. A complete electrical mechanism mounted in a cabinet for controlling the operation of a traffic control signal. Controller Unit. The part of the controller assembly which performs the basic timing and logic functions. Coordination. The establishment of a timing relationship between signal indication displays at two or more signalized locations. Crosstalk. The mutual coupling of magnetic fields, producing interaction between two or more detector units in the same cabinet, when the units are operating at similar frequencies. Crosstalk results in a detector outputting an actuation in the absence of a vehicle (false call).

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Cycle. A complete sequence of signal phasing in a pretimed signal operation. For an actuated signal operation, a cycle is variable depending on the presence of calls. Cycle Length. The time (in seconds) required for one complete sequence of signal phases. Demand. The need for service, e.g., the number of vehicles desiring use of a given segment of roadway during a specified unit of time. Demand Control (Loop Occupancy Control). A detector/controller design using long detection loops with the controller unit operated in the nonlocking mode (memory off). The call is active only when an object is present within the loop. Detection Zone. That area of the roadway within which a vehicle will be detected by a vehicle detector. Detector. A device for indicating the presence or passage of vehicles or pedestrians. This general term is usually supplemented with a modifier indicating type, i.e., loop detector, magnetic detector. Detector Memory. The retention of an actuation, after a vehicle has passed the detector, for future use by the controller assembly. Detector Setback. The longitudinal distance between stop line and detector. Detector System. The complete sensing and indicating group consisting of the detector unit (amplifier), transmission lines (lead-in cable), and sensor. Detector Unit (Amplifier). The portion of a detector system, other than the sensor and the lead-in, consisting of an electronics assembly which interfaces with the controller. Dilemma Zone. A distance or time interval related to the onset of the yellow interval. Originally the term was used to describe that portion of the roadway in advance of the intersection within which a driver can neither stop prior to the stop line nor clear the intersection before conflicting traffic is released. That usage pertained to insufficient length of timing of the yellow and/or red clearance interval. More recently the term has also been used to describe that portion of the roadway in advance of the intersection within which a driver is indecisive regarding stopping prior to the stop line or clearing (proceeding into or through the intersection), although the signal timing is long enough to permit either. It may also be expressed as the increment of time corresponding to the dilemma zone distance. Dilemma Zone Protection. Any method of attempting to control the end of the green interval so that no vehicle will be in the dilemma zone when the signal turns yellow, or delay the onset of an opposing green indication if a vehicle is in the dilemma zone. Direct Wire. A communications method that uses wire interconnect between the transmission and reception points with no multiplexing.

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Directional Detector. A detector capable of being actuated only by vehicles traveling in one direction. Distributed System. A control system in which individual computers are installed in each of the major control areas of a total system, and a supervising master is used to provide interface between the individual areas and to make decisions on timing patterns affecting two or more areas. Downstream. The roadway extending from a reference point in the direction of the traffic movement that is being discussed. Dual Entry. A fully activated operating mode in a dual-ring controller unit in which one phase in each ring must be in service. Dual-Ring Controller. A controller unit that contains two interlocked rings arranged to time in a preferred sequence and allows concurrent timing of compatible phases in both rings. Electromagnetic Field. A field produced by magnetic material surrounded by a coil of wire through which an electrical current is passed to magnetize the material. Emergency Vehicle Preemption. The transfer of the normal control of signal to a special signal control mode for emergency vehicles. Entrance Ramp Control. The regulation of the number of vehicles per unit of time entering a freeway so that demand on the freeway does not exceed capacity; and/or the guidance of vehicles entering a freeway into gaps in the freeway traffic stream, in order to improve the safety and capacity of the merging operation. Extended Call. It holds or stretches the call of a vehicle for a period of time set on an adjustable timer incorporated into the detector or controller. It can be designed to begin the timing of that period when the vehicle enters the detection area, or when it leaves. This function is provided in the software in traffic signal controllers, and therefore it does not need to be provided by the detector unit. Extension. The time interval during the extensible portion of the green which is reset by each detector actuation on the phase currently timing. Fixed Time Operation. The preset phase green time. It is always serviced with a fixed green duration. Flashing Beacon. A flashing beacon consists of two or more flashing yellow indications, facing in one direction, to emphasize a sign message or to warn approaching traffic of a potential hazard. Full-Traffic-Actuated Controller Assembly. A type of traffic-actuated controller assembly in which means are provided for traffic actuation on all approaches to an intersection. Both the Model 170 and Model 179 controllers provide full-traffic-actuated operation.

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Gap. The time or distance between successive vehicles passing an individual detector. Gap-Out. The termination of a green interval due to exceeding a selected maximum time interval (gap) between the actuations of vehicles arriving on the green, so as to service a conflicting phase. Gap Reduction. A feature whereby the allowed time spacing between successive vehicles on the phase displaying the green during the extensible portion is reduced, so as to service a conflicting phase. Indication. A lighted shape, word, or symbol used to control traffic. Inductive Loop Detector. A vehicle detector system that senses a decrease in inductance of its sensor loop(s) during the passage or presence of a vehicle in the zone of detection of the sensor loop(s). Initial Vehicle Interval. The time assigned by an actuated controller assembly to initiate traffic movement on a given phase. The length of this interval is usually set to permit clearance of vehicles stored between the detectors and the stop line on a given approach (see Variable Initial). Interconnecte d Signal System. A number of intersections which are connected by wire, radio, or some other means to effect traffic progression. Interval. The part or parts of the signal cycle during which signal indications do not change. Lane Use Signals. The special overhead signals having indications to permit or prohibit the use of specific lanes or warn of impending prohibition. Reversible lane control is the most common use of lane control signals. Lead-In Cable. The cable which serves to connect a detector to the detector unit in the controller cabinet (sometimes called a Home-Run Cable or Transmission Line). Lead-In Wire. The wire between the sensor and the pull box. Locking Detection Memory. A traffic signal controller feature, selectable for a phase, whereby the call of a vehicle passing through the detection area during the red or yellow indication for the phase is remembered, or held, by the controller until served by a green interval for the phase. Loop detector. see Inductive Loop Detector Loop Detector Unit. An electronic device which is capable of energizing the sensor loop(s), monitoring the sensor(s) inductance and responding to a predetermined decrease in inductance with an output to the controller which indicates the passage or presence of vehicles in the zone of detection. Loop Occupancy Control. A detector/controller unit design using long detection loop(s) and a controller unit operated in the nonlocking mode. 11.3.5 3/15/02

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Magnetic Detector. A pavement installed device of coiled wire with a highly permeable core. Vehicle induced flux changes cause an induced voltage pulse. Not to be confused with a magnetometer detector. See Section 11.3.3.2.A for more information. Magnetometer Detector. A pavement-installed device that detects change in the vertical component of the earth's magnetic field caused by the presence of a vehicle. It is not to be confused with a magnetic detector. See Section 11.3.3.2.B for more information. Master Controller. The controller which supervises a system of coordinated signals, maintaining time relationships, and accomplishing other supervisory functions, such as turning the system on and off, placing the system in flashing operation, etc. Maximum Gap. The selected maximum length of a gap between approaching vehicles that may hold a phase in green in the presence of an opposing call. This applies to actuated signals only. Maximum Green. The longest time for which a green indication will be displayed in the presence of a call on an opposing phase. This applies to actuated signals only. Merge Detector. A detector used to sense the presence of vehicles in the primary merging area of the ramp and freeway mainline. Minimum Gap. This controller setting defines the minimum allowable gap when using the gap reduction feature (see Maximum Gap and Gap Reduction). Minimum Green. The shortest green time of a phase. Minimum Recall Green. The phase memory/recall position which results in the phase being served for the minimum green period equivalent to a single vehicle actuation. Additional vehicle actuation will extend the green period beyond the minimum. Model 170 Controller. This is New York State's first microprocessor (Motorola 6800) based traffic signal controller. The specifications for this controller were jointly developed by New York and California. The traffic signal software used in New York State was developed by the NYSDOT Traffic Engineering and Highway Safety Division. Model 179 Controller. This is New York State's microprocessor (Motorola MC 6809) based traffic signal controller. Both the specifications for this controller and the traffic signal software were developed by the Traffic Engineering and Highway Safety Division. M odel 2070 Controller. The model 2070 controller is one member of the new Advanced Transportation Controller (ATC) family. The ATC is being developed to provide an open architecture hardware and software platform for a wide variety of ITS applications. The development of the ATC is a joint effort sponsored by the Institute of Transportation Engineers (ITE), American Association of State Highway and Transportation Officials (AASHTO), National Electrical Manufacturers Association (NEMA), and the Federal Highway Administration (FHWA).

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Modem. A modulator/demodulator device that prepares data for transmission and accepts data at reception. It provides an interface between a computer and the field equipment, such as the traffic signal controllers. Multiplexing. A communications technique which allows more than one item of information to be transmitted or received over one communication channel. NEMA. National Electrical Manufacturers Association. Nonactuated Phase. Traffic signal phase without detection. Nonactuated phases must have the memory/recall on the controller placed on Recall Green. Nonlocking Detection Memory. A controller feature that sets phases through loop-occupancy control using large-area presence detectors. Waiting calls are dropped when vehicles leave the detection zone. Nondirectional Detector. A detector capable of being actuated by vehicles traveling in either direction. Occupancy. The percent of time that a point on the roadway is occupied by a vehicle. Offset. The time relationship expressed in seconds or percent of cycle length, determined by the difference between a defined interval portion of the coordinated phase green and a system reference point. Open-Loop Signal System. A system that supervises the intersection controller functions but does not receive feedback information. Opposing Phase. A phase which permits a conflicting movement. Overlap. An indication that allows a specific traffic movement through two or more traffic phases. The overlap must not conflict with current running traffic movements. Pedestrian (WALK) Interval. The interval used to initiate the pedestrian crossing phase. Pedestrian Clearance (Flashing DONT WALK) Interval. The interval that provides time for a pedestrian to travel from the curb to the center of the far lane before opposing vehicles receive a green indication. Pedestrian Detector (Push-button). A pole-mounted momentary contact switch which, when activated by a pedestrian, causes a pulse which registers the demand by a pedestrian for the right of way. Pedestrian Phase. A traffic phase allocated to pedestrian traffic which may provide a right of way indication either concurrently with one or more vehicular phases, or to the exclusion of all vehicular phases. 11.3.5 3/15/02

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Pedestrian Recall. The phase memory/recall position which provides a demand resulting in a minimum time equal to a pedestrian "WALK" plus a flashing "DONT WALK" pedestrian clearance interval. Phase. A portion of a signal cycle during which an assignment of right of way is made to a given traffic movement(s). It includes green and clearance indications. Phase Sequence. The order in which a signal cycles through all phases. Point Detection. The detection of vehicles as they pass a specific point on the roadway. Frequently referred to as small-area detection. Powerhead Loop Detection. The detector configuration that has increased detection sensitivity for small vehicles. It uses small internal loops of wire at the stopline end of long loops. Preemption. The interruption of normal signal operation to provide for railroad, drawbridge, emergency vehicle, or other unusual operation. Presence Detection. The sensing of a stationary or slow moving vehicle over a detector. The pulse duration is equal to the actual time the vehicle remains in the detection field of influence. Presence Loop Detector. An induction loop detector which is capable of detecting the presence of a standing or moving vehicle in any portion of the effective loop area. Pretimed Signal. A traffic signal for which cycle lengths and phase intervals are established by a predetermined time schedule. Primary Vehicular Signal Face. A vehicular signal face intended to control through traffic on an intersection approach and located for optimal visibility as per the NYS MUTCD. Progression. A term used to describe the progressive movement of traffic through several intersections within a control system without stopping. Pull Box. A container to house cable splices and conduit ends that are placed underground. It also breaks up long cable and conduit runs to facilitate maintenance. Pulse Mode. A short output pulse produced when detection occurs. The pulse lasts about 100 milliseconds (ms), even if the vehicle remains in the detection zone for a longer time. Quadrupole. A loop configuration that adds a longitudinal saw cut along the center of the rectangle, so that the wire can be installed in a rectangular figure-eight pattern, thereby producing four electromagnetic poles instead of the normal two. The design improves the sensitivity to small vehicles and also minimizes splashover.

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Queue Detector. (1) A vehicle presence detector installed on an entrance ramp just downstream of a frontage road to detect potential queue spillback onto the frontage road. (2) A component of a traffic control system which senses the presence (or number) of vehicles waiting in a queue. Radar/Microwave Detector. A pole-mounted device that can sense speed and passage and/or presence when activated by a vehicle passing through its radio-frequency (RF) field. Radio-Frequency Detector. A vehicle detector consisting of a loop of wire embedded in the roadway that is tuned to receive a preselected radio frequency from a transmitter normally located on a bus or emergency vehicle. Ramp Metering. A method of freeway traffic control that regulates the number of vehicles entering the freeway over a given time interval so that demand does not exceed capacity. Ramp Metering Signal. A traffic signal which directs entrance ramp vehicles to stop and permits them to proceed in accordance with metering rates determined by the type of entrance ramp control being used. Recall. An operational mode for an actuated controller unit whereby a phase, either vehicle or pedestrian, is displayed each cycle whether or not demand exists. It is usually for a temporary or emergency situation. Recall Green. The phase memory/recall position in the Model 170/179 controller which provides a demand resulting in a given programmable fixed-green time. Red Clearance Interval. It follows the yellow change interval. conflicting phases display red. Red Revert. terminated. Both terminating phase and

The fixed minimum red signal indication time prior to returning to a phase just

Rest-In-Red. A control designed to display red to all movements, in the absence of any traffic demand. Reversible Lane. A term used to describe a traffic lane upon which the direction of the flow of traffic may be varied during different periods of the day. Sampling Detector. Any type of vehicle detector used to obtain representative traffic flow information for signal system coordination. Secondary Vehicular Signal Face. A vehicular signal face intended to control only traffic in an auxiliary lane or other nonpredominant traffic movement Self-Powered Vehicle Detection. An in-road detection device, currently in development, that does not require lead-in or interconnecting cables. It uses an internal battery and Radio-Frequency (RF) link. 11.3.5 3/15/02

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Self-Tracking Detector. A loop detector unit, not necessarily self-tuning, that includes electronics that compensate for environmental drift. Environmental drift is the drift in the resonant frequency of the detector caused by changes in temperature and moisture. Self-Tuning Loop Detector Unit. One that is capable of adapting its operation to the resonant frequency of the loop and lead-in wire without any manual adjustment required. The term applies particularly to the startup of the detector's operation upon turn on. Semiactuated Traffic Operation. A traffic signal operation in which means are provided for traffic actuation on one or more, but not all, approaches to an intersection. Sensitivity. As it relates to a loop system, it is the change in the total induction of a system caused by a minimum vehicle at one loop, expressed as a percentage of the total inductance. As it relates to a detector, it is the minimum inductance change, in percent, required at the input terminals to actuate the detector. Sensor. Traffic detection devices (detector) that informs the system master or a local controller as to the traffic characteristics in the area of the sensor. Shield. A conductive material surrounding the pair of lead-in wires of a loop detector installation, so that outside electrical interference will not induce interference in them. Signal Indication. The illumination of a signal lens (or an equivalent device) controlling the movement of vehicular or pedestrian traffic. Signal Timing. The amount of time allocated to each interval/function in a signal cycle. Single Entry. A fully actuated operating mode in a dual ring in which a phase in one ring can be selected and timed alone when there is no demand for service in a nonconflicting phase or a parallel ring. The software for the Models 170 and 179 controllers is configured as single- entry controllers. Skip Phasing. The ability of a controller unit to omit a phase in the absence of demand on that phase or as directed by a master control. The Models 170/179 controller software has this capability. Small-Area Detectors. Devices that detect vehicle passage at spot locations. Also called shortloop, point, or passage detectors. Sonic Detector (Active). A pole-mounted device that transmits/receives ultrasonic pulses to determine a vehicles presence. Sonic Detector (Passive). A mounted acoustic device that listens to vehicle generated noise to establish presence and passage. May provide vehicle type based on noise spectrum.

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Splashover. An unwanted actuation caused by a vehicle in a lane adjacent to that in which the detector is located. Split. The percentage of a cycle length allocated to each of the various phases. Stretch Detector (Extended Call Detector). A detector that holds or stretches the call of a vehicle for a period of seconds that has been set on an adjustable timer. Supplemental Vehicular Signal Face. A vehicular signal face in addition to the required primary and secondary vehicular signal face. Time-Based Signal Coordination. A controller coordination technique that changes timing plans on an internal time clock basis. The Model 179 traffic control software has a time-based function included in the controller. Time-Based Coordination Control (TBC). TBC control permits systems operation of traffic controllers without communication links or master control units. Time Before Reduction. The time interval commencing with an opposing call before the maximum gap begins to be reduced. Time-Of-Day Operation. Signal timing plans or signal operation selected according to the time of day. Time To Reduce. The time it takes to reduce from maximum allowable gap to the minimum allowable gap. Traffic-Actuated Operation. It assigns right of way and determines the cycle length and phases, based on the detection of traffic on the various approaches. Traffic Control Signal. A highway traffic signal by which traffic is alternately directed to stop and permitted to proceed. A traffic control signal is sometimes referred to as a three-color signal or a stop-and-go signal. Traffic Phase. Those green, yellow, and all red intervals in a cycle assigned to any independent movement(s) of traffic. Traffic Signal System. A signal system that controls a group of arterial or surface street networks through coordinated traffic signals. There are two types of traffic signal systems: arterial and closed grid network systems. Upstream. The roadway portion which is positioned toward the source of approaching traffic from the point of reference.

11.3.5

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Variable Initial. A value which is automatically multiplied by the number of vehicles passing the detector on the previous red interval to provide sufficient time to clear all vehicles queued between the detector and stop line at the onset of green (see Initial Vehicle Interval). Vehicle Detection System. A system for indicating the presence or passage of a vehicle. Yellow Change Interval. The interval following green that alerts motorists to imminent phase termination.

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11-198 11.3.6 References

SIGNS, SIGNALS, AND DELINEATION

The following is a list of the publications and other sources of information used in the preparation of the Signals portion of this chapter. 1. Detector Location, Safety Operations Unit Publication 12, December 1982, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Evaluation of Rest-In-Red Signal Operation, Safety Operations Unit Publication 9, May 1982, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 GATER: Model 179 Ramp Metering Software Program, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Manual of Traffic Signal Design, Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC 20024-2729 Model 215 Current Monitor For Model 330 Cabinets, April 24, 1986 Memorandum D.J. Russo to All Regional Traffic Engineers, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 New York State Standard Sheets (Metric Units), Plan Sales Unit, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Vehicle and Traffic Law, (latest edition), State of New York State Commissioner of Motor Vehicles, 6 Empire State Plaza, Albany, NY 12228 Signal Installation, September 1981, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Signalized Intersection Design Course, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Standard Specifications, Construction and Materials (Metric Units), Plan Sales Unit, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Technical Note 82-2, Leading vs. Lagging Left Turns, October 1982, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Technical Note 82-3, Protected and Protected/Permissive Left Turns, October 1982, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 3/15/02

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

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SIGNS, SIGNALS, AND DELINEATION

11-199

13.

Title 17, Volume B of the Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR), also known as the New York State Manual of Uniform Traffic Control Devices, West Group, 620 Opperman Drive, PO Box 64833, St. Paul, MN 55164-9752 Traffic Control Systems Handbook , Publication No. FHWA-SA-95-032, 1996, US Department of Transportation Federal Highway Administration, Office of Technology Applications, 400 Seventh Street, SW, Washington, DC 20590 Traffic Actuated Processing System, Operators Manual, January 1, 1998, Traffic Engineering and Highway Safety Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY 12232 Traffic Detectors Student Manual, US Department of Transportation Federal Highway Administration, Office of Technology Applications, 400 Seventh Street, SW, Washington, DC 20590

14.

15.

16.

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11.3.6

APPENDICIES

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HIGHWAY DESIGN MANUAL

Chapter 12 - Highway Lighting

Revision 24

August 4, 1995

CHAPTER 12 HIGHWAY LIGHTING Contents Page

12.1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1 12.2 WARRANTS AND POLICY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1 12.3 DESIGN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1 12.3.1 Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-2 12.3.2 Illuminance Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-2 12.4 EQUIPMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-8 12.4.1 Luminaires . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-8 12.4.2 Luminaire Supports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-8 12.5 CONFIGURATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-12 12.5.1 Pole (Light Standard) Placement - Conventional Lighting . . . . . . . . . . . . . . . 12-12 12.5.2 Luminaire Support Placement - High Mast Lighting . . . . . . . . . . . . . . . . . . . 12-12 12.6 HARDWARE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-13 12.6.1 Electrical Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.6.2 Wire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.6.3 Conduit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.6.4 Pullboxes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.6.5 Junction boxes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.6.6 Photoelectric Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-13 12-14 12-15 12-15 12-15 12-15

12.7 TUNNELS AND UNDERPASSES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-16 12.7.1 Tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-16 12.7.2 Underpasses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-16 12.8 PARK-AND-RIDE FACILITIES AND REST AREAS . . . . . . . . . . . . . . . . . . . . . . . . . 12-17 12.8.1 Park-and-Ride Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-17 12.8.2 Rest Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-17 12.9 GUIDE SIGN LIGHTING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-17 12.10 LIGHTING REPORT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-18 12.10.1 Preliminary Lighting Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-18 12.10.2 Advanced Lighting Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-18 12.10.3 Final Lighting Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-19

12.11 PLANS AND SPECIFICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-19 12.11.1 Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-19 12.11.2 Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-20 12.12 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-21

HIGHWAY LIGHTING 12.1 INTRODUCTION

12-1

The lighting industry and governmental agencies have published guides, handbooks, and standards which describe and detail highway lighting design practices. Rather than repeat all of the detailed information in these publications, this chapter provides an overview of permanent highway lighting design which is consistent with these publications and refers to them as necessary. However, Regional experience and Department policy is stated where it may differ from the guidance presented in these other publications. References are provided throughout the text to provide the source for further discussion. Refer to Engineering Instructions 95-3 "Requirements for Maintenance and Protection of Traffic During Nighttime Construction" and 95-5 "Lighting for Nighttime Operations-Special Specifications" for temporary highway lighting requirements for nighttime work zones and a special specification for lighting for nighttime operations. 12.2 WARRANTS AND POLICY Warrants and policy for highway lighting are presented in the "Policy on Highway Lighting" issued by the Traffic Engineering and Safety Division (TE&S). Questions regarding warrants and policy should be directed to TE&S. Prior to preliminary or detailed design, the designer should review and subsequently discuss the "Policy on Highway Lighting" with all municipalities and electric utilities involved. This discussion should establish: 1. The locality's consent to assume the operational and maintenance costs for lighting (except for parkway lighting in Region's 8 and 10). a. Design should not begin without the municipality's consent to maintain and operate the lighting system. b. Refer to Chapter 14 of this manual for guidance on, and an example of, the necessary resolution and agreement to be obtained by the Region from the municipality. Any preferences for equipment selection or placement, thus allowing the designer to accommodate the municipality's needs with regard to aesthetics, maintenance, agreements with utilities, etc.

2.

12.3 DESIGN A design should provide a safe, energy efficient, and economical lighting system which will produce the desired visibility. This will involve selecting the appropriate light source (lamp), luminaire type, mounting height, luminaire position (spacing and transverse location), and pole offset from the traveled way.

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HIGHWAY LIGHTING

Guidance regarding lighting system continuity, such as when to extend lighting across a bridge when only one approach is lit, and where to begin and end lighting installations, is presented in the "Policy on Highway Lighting". 12.3.1 Criteria There exists two criteria and corresponding procedures (methods) for roadway lighting design, illuminance and luminance. The illuminance criterion and procedure is recommended for roadway (conventional and high mast) and walkway/bikeway lighting systems. The luminance criterion and procedure is not used for Department designs. Chapter 6 of the "Roadway Lighting Handbook" discusses the advantages and disadvantages of these two methods. Highway lighting designs should provide values (lighting levels) for average maintained horizontal illuminance and uniformity of illuminance (illumination), commonly called the uniformity ratio, recommended in "An Informational Guide for Roadway Lighting". The Federal Highway Administration (FHWA) has adopted this publication, in section 625.5 of the Federal-aid Policy Guide (FAPG), as a guide to be used to promote good lighting design. Recommendations are provided for: 1. 2. 3. 4. 5. Roadways Tunnels and underpasses Rest areas Guide signs Pedestrian ways and bicycle lanes

Note: Average maintained horizontal illuminance is the average level of horizontal illuminance on the traveled way, in lux, when the output of the lamp and luminaire is diminished by the maintenance factors. (See section 12.3.2.1.) Refer to section 12.3.2.3 for a definition of the uniformity ratio. Refer to the "Roadway Lighting Handbook", the "American National Standard Practice for Roadway Lighting", or "An Informational Guide for Roadway Lighting" for a complete glossary of the terms used in this Chapter. 12.3.2 Illuminance Procedure The illuminance procedure for conventional and high mast lighting design is briefly discussed in sections 12.3.2.1 and 12.3.2.2 respectively. A complete discussion is presented in: 1. 2. "Roadway Lighting Handbook", Chapter 6, and "American National Standard Practice for Roadway Lighting", Appendix B (this also includes the procedure for calculating walkway and bikeway illuminance).

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12-3

Computer software is available from major lighting manufacturers which will calculate lighting levels based on the design parameters entered (see sections 12.3.2.1 and 12.3.2.2). This software will enable designers to evaluate and refine their designs more readily. The computer printout, or written calculations, for the final design should be filed in the project files. 12.3.2.1 Conventional Lighting This type of lighting design includes the selection, and subsequent specification on the plans and/or proposal, of the following items as a minimum: 1. 2. 3. 4. Light source type, Light source size and mounting height, Luminaire type and location, and Luminaire spacing and arrangement.

These items may be fixed or predetermined due to local preference or existing conditions. The relationship between these variables and the average maintained horizontal illuminance is defined by the spacing formula (see section 12.3.2.1D). Before any design is progressed, the designer should review the field conditions, and check with localities and electric utilities to establish any needs. After determining items one through four above, which are discussed further in sections 12.3.2.1 A-D, the average maintained horizontal illuminance (see section 12.3.2.1D) and uniformity ratio (see section 12.3.2.3) should be calculated to ensure that the design values recommended in "An Informational Guide for Roadway Lighting" have been achieved. Once it has been determined that the design will provide the desired lighting levels, an estimate of the length of the pole, and mass of the pole, arm, and luminaire, (provided in a manufacturer's data catalog) should be made. As most lighting system designs will utilize an aluminum light standard (pole) and arm mounted on a breakaway transformer base (aluminum), it is desirable to limit the length of the pole to under 16.75 m, and the combined mass of the pole, arm and luminaire to under 450 kg. (The 16.75 m criterion is based on available hardware limitations. The mass restriction is intended to limit the potentially serious consequences should a pole fall on a vehicle.) Designs which result in a pole length in excess of 16.75 m or a mass in excess of 450 kg should be redesigned to utilize a lower mounting height, and therefore a lighter and shorter pole, in order to maintain the safety feature provided by using a breakaway base. A. Light Source Type High pressure sodium (HPS) lamps are the Department's preferred type of light source.

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HIGHWAY LIGHTING B. Light Source Size and Mounting Height 150 W, 250 W, or 400 W lamps are generally recommended. The luminaire should be mounted at a minimum height of 9 m above the roadway surface to provide an economical design. However, this may not be feasible when the luminaire is to be supported by a utility pole. Higher mounting heights (12 to 15 m) in conjunction with higher output lamps should result in an increased spacing between luminaires, and therefore fewer poles, which is desirable. A safer design will be provided due to the reduction in the total number of poles. The following are commonly used lamp size and mounting height combinations: 1. 2. 3. A 150 W lamp mounted at a height of approximately 9 m. A 250 W lamp mounted at a height of 12 m. A 400 W lamp mounted at a height over 12 m and up to 15 m.

C. Luminaire Type and Location Luminaire selection should be based on the roadway width or desired area to be lit and the lateral location of the luminaire relative to the roadway. Luminaires are classified based on their light distribution pattern, and should be specified using the following light distribution classification standard developed by the Illuminating Engineering Society of North America (IES): 1. 2. 3. Vertical - short, medium or long (medium is generally recommended), Lateral - type I, II, III, IV or V (type II or III is generally recommended depending on the width of the area to be lit), and Control of light distribution above maximum candlepower - cutoff, semicutoff, or non-cutoff (semi-cutoff is generally recommended).

Refer to Appendix E of the "American National Standard Practice for Roadway Lighting" or Chapter 4 of the "Roadway Lighting Handbook" for an explanation of luminaire classification. The luminaire should be located adjacent to the area to be illuminated (such as over the edge of the traveled way adjacent to the shoulder). When placement of the luminaire near the roadway is not possible due to clear zone requirements and limited availability of required mast arm length, consider: 1. A different type (III instead of II) of luminaire and larger lamp size,

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HIGHWAY LIGHTING 2. 3.

12-5

A luminaire placed at a higher mounting height or a combination of higher mounting height and higher lamp wattage or, A luminaire mounted on a short arm ( or no arm) similar to a floodlight, i.e., an offset luminaire.

D. Luminaire Spacing and Arrangement Luminaires should be spaced as far apart as practical to minimize the total number of poles necessary and increase roadside safety. If the luminaire is to be supported by a utility pole, spacing will be fixed and this will influence the type of luminaire and lamp size needed. Where scheduled bus service is provided, luminaire spacing should be coordinated with bus stop and bus shelter placement to provide increased illumination in these areas of pedestrian activity. Luminaire spacing may be determined using computer software as mentioned in section 12.3.2 or by the following formula. Regardless of the method used, the designer will have to determine appropriate values for some of the variables upon which the luminaire spacing is determined. S = (LL)(CU)(LLD)(LDD)(EF) (Eh)(W) where: S LL CU LLD LDD EF Eh W = luminaire spacing, in meters, = initial lamp lumens (see note 1), based on size and type of lamp, = coefficient of utilization (see note 2), = lamp lumen depreciation factor (see note 3), = luminaire dirt depreciation factor (see note 3), = equipment factor. A value in the range of 0.95 to 0.90 is commonly used. = average maintained horizontal illuminance (in lux), from section 12.3.1 = lighted roadway width (in meters).

Refer to Chapter 6 of the "Roadway Lighting Handbook" or Appendix B of the "American National Standard Practice for Roadway Lighting" for a complete discussion of the terms in the luminaire spacing formula and an example problem. Note 1: Provided in the manufacturer's lamp product data sheet. The data should correspond to a particular lamp/luminaire combination rather than consist of general information for a luminaire type.

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HIGHWAY LIGHTING Note 2: It is not necessary to calculate the CU if the computer software is used. If needed, the CU is determined from utilization curves provided by luminaire manufacturers. Note 3: The product of LLD, LDD, and EF is referred to as the light loss factor (LLF). The software may ask for a value of LLF rather than LLD, LDD, and EF. LLD and LDD are dependent on the maintenance schedule established by the municipality and/or the utility. Values for LLD and LDD are available in the Manufacturer's lamp product data sheet. EF represents anticipated losses due to the differences in equipment performance between laboratory data and field performance. Poles may be located in the median and/or off to the side from the traveled way. A median placement should be considered only if the pole is to be mounted on concrete median barrier, and both the maintaining agency and Region feel that maintenance will not pose an unacceptable level of safety or an unacceptable level of service (LOS) if lane closing is needed for maintenance. Poles may be arranged on one side, staggered, and/or placed on opposite sides of the roadway, the choice of which will depend on achieving the most efficient lighting configuration.

12.3.2.2 High Mast Lighting High mast lighting (HML) consists of several luminaires mounted on a single luminaire support (mast). If proper light control can be achieved, and there is no objectionable light spillage or affect on adjacent residents, this type of system should be considered for interchanges and rest area locations. Advantages of HML include: 1. 2. Increased roadside safety, as the mast is located well outside the roadside clear zone, and Increased visibility of the roadway and roadside area.

Disadvantages include: 1. 2. Unwanted light "spilling over" to adjacent residences, and Reluctance of agencies to accept maintenance responsibility.

The advantages and disadvantages of high mast lighting should be discussed with the locality and utility company, and the decision made jointly whether to progress this type of design. This discussion should identify any community concerns with environmental issues and identify system maintenance considerations to achieve a balanced final design.

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The section on high mast lighting in Chapter 6 of the "Roadway Lighting Handbook" and Appendix B, section B.5, of the "American National Standard Practice of Roadway Lighting" provides a complete discussion on HML including: 1. 2. An example problem which illustrates the procedure to determine the number of luminaires per mast and mast location, and Potential mast locations which will provide the greatest degree of roadside safety.

After reviewing the above mentioned references, the designer should contact manufacturers of high mast lighting to seek their assistance in determining luminaire selection and mast location. As with a conventional lighting design, HML design includes the selection and subsequent specification on the plans and/or proposal of the following items as a minimum: 1. 2. Light source type. High pressure sodium (HPS) lamps are the Department's preferred type of light source. Light source size and mounting height. Several 400 W or 1000 W lamps, mounted at a height of approximately 30 m, is a recommended initial design in the absence of any previous experience with HML. The exact number of luminaires and final mounting height will be determined by analyzing and refining the initial design until the lighting levels recommended in "An Informational Guide For Roadway Lighting" are obtained. Luminaire type. The type V luminaire is generally the most efficient as it will provide a circular uniform light pattern. Floodlights should be avoided unless the failure of one luminaire will not produce an unacceptable lighting level. Where more light control is desired to reduce spill light, either the type V with modified optics that will provide an asymmetrical light distribution or, a type IV luminaire should be evaluated. Mast spacing and location. Masts should be spaced and located to provide recommended lighting levels for the area to be lit. Refer to section 12.5.2 for additional guidance.

3.

4.

12.3.2.3 Uniformity Ratio The uniformity ratio is a means of defining the quality of illumination and is calculated using the following formula: Uniformity Ratio = Average Maintained Horizontal Illumination Minimum Maintained Illumination

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HIGHWAY LIGHTING

If software is not used to progress the design, the minimum point of illumination is determined by inspection using the isolux diagram contained in the photometric data for the particular luminaire selected. 12.4 EQUIPMENT Selecting lighting equipment is discussed in detail in Chapter 4 of the "Roadway Lighting Handbook". The designer should determine if the locality or utility have any specific equipment needs or preferences prior to equipment selection. The type of equipment used to support a luminaire located on a structure should generally be the same as that used for the approaching roadway. Luminaires recessed into concrete walls or incorporated into bridge rail are not recommended due to the maintenance difficulties (dirt accumulation, lens cracking , etc.) associated with these types of installations. 12.4.1 Luminaires A luminaire consists of a lamp together with the components designed to distribute the light (reflector and refractor), to position and protect the lamp, and to connect the lamp to the power supply. If a luminaire is to be mounted or remounted on existing utility poles, the designer may only have to provide the appropriate pay items necessary to coordinate the work. Some maintaining agencies include the cost of new arms, luminaires and any other equipment necessary to locate or relocate the luminaires in their agreement with the municipality. The designer should ensure that the equipment supplied by others will provide lighting levels and uniformity consistent with the recommendations provided in "An Informational Guide for Roadway Lighting". 12.4.2 Luminaire Supports Luminaire support design and specification should be consistent with the "Standard Specifications for Structural Supports for Highway Signs, Luminaires and Traffic Signals". FHWA has adopted this publication in the FAPG, section 625.4, Standards, policies and standard specifications, to be followed in the design of structural supports. 12.4.2.1 Conventional Lighting The luminaire support consists of a foundation, base, pole, and arm.

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HIGHWAY LIGHTING A. Foundation

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Aluminum and fiberglass poles should be supported by means of a cast-in-place or precast concrete foundation, designed in accordance with the reference mentioned in Section 12.4.2. Wooden poles are not normally provided with a separate foundation as they are supported by direct embedment into the soil. Regardless of the type of foundation, the best information possible concerning the foundation soil conditions should be obtained from the Regional Geotechnical Engineer. A local subsurface investigation may be necessary in areas where weak, organic and/or plastic deposits are believed to be present. The Regional lighting engineer should be consulted to determine if any Regional foundation details have been developed. At locations where the standard sheets are not applicable or the geometric or soil conditions are unusual, the Regional Geotechnical Engineer should be consulted. B. Base

The base, or method by which a pole is to be supported, is dependent on the material used to construct the pole and consideration for roadside safety. Bases may be of the breakaway, anchor, or direct embedment type. Aluminum poles shall be supported by a breakway transformer base (aluminum) regardless of whether the pole is located within or out of the clear zone. (Situations for which a breakaway base may not be provided, and therefore an aluminum anchor base (non-breakaway) is provided, are discussed later in this section.) The added expense of providing a breakaway base is minor, the added safety benefit is desirable, and its use increases the probability that the pole and arm will be reusable with only the replacement of the luminaire. If a breakaway base were not provided, the vehicle would impact the pole, thus making replacement of the pole and luminaire necessary. This would be a more expensive and time consuming activity. It is desirable to have the side slope prior to the breakaway base be 1:6 or flatter. This is to ensure that the vehicle will impact the base at an acceptable height, which will allow the base to fail in shear, as intended, versus in bending. In addition, the height above ground of any portion of the anchor bolts or foundation should not exceed 100 mm. This is to prevent the bottom of a vehicle from snagging the foundation or base. Refer to section 4.2 and 4.5 of the "Roadside Design Guide" for a more complete discussion of the breakaway base concept.

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HIGHWAY LIGHTING A aluminum anchor (non-breakaway) type base may be considered: 1. In urban areas or where pedestrians and bicyclists may be hit by falling poles and mast arms after a vehicular impact. The designer shall weigh the relative risks involved between potential pedestrian(s)/bicyclist(s) injury caused by the falling pole versus potential driver injury caused by hitting a fixed object. On structures where the pole is located behind bridge rails.

2.

Fiberglass poles may be supported by direct embedment or by a fiberglass anchor type base. The maintaining agency should be contacted to determine any preferences. The materials requirements section of Departmental specifications developed for this type of pole, or base, should state whether or not the pole, or base, should meet the specification for breakaway supports found in the "Standard Specifications for Structural Supports for Signs, Luminaires and Traffic Signals". Poles should be located laterally from the edge of traveled way based on the materials requirements (breakaway versus non-breakaway). A separate base is not necessary for wooden poles directly embedded (nonbreakway) in the ground as the pole and base are one unit. C. Pole An aluminum, wood, or fiberglass pole may be specified. See Section 12.4.2.1B for a discussion of the type of base applicable for the type of pole selected. Aluminum poles are preferred and should be specified. Wood poles have limited application. They are acceptable in downtown urban areas when used in conjunction with utility pole lighting where short gaps must be filled in, and may be required on historic parkways. The Regional Environmental/Landscape Group should be contacted to determine the applicability of wood poles on historic parkways. Fiberglass poles also have limited application. Some communities find them more aesthetically pleasing. They should be specified only when the maintaining agency deems them acceptable.

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HIGHWAY LIGHTING D. Arm

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The arm supports the luminaire closer to the roadway, or over the roadway, while allowing the pole to be placed a distance from the traveled way. To maintain aesthetics and continuity, the designer should specify an arm type (single arm, truss, or davit) similar to existing adjacent lighting, and length required to achieve the correct light levels and pole positioning. 12.4.2.2 Ornamental (Decorative) Lighting Ornamental or decorative lighting is defined as any lighting equipment specified to replicate a historic period or provide a more decorative appearance, such as within a city, on a bike path or for a historic parkway. A special specification is necessary to provide pay item(s) for this type of work as it is not covered in the standard specifications. Any ornamental lighting provided at the request of a locality and not associated with a historic program, such as historic parkways, should be treated as a betterment. The locality should be requested to pay the additional cost of providing a decorative pole and arm, versus a conventional light pole with associated arm. Any ornamental or decorative lighting system design should be coordinated with the Regional Landscape/Environmental Group. 12.4.2.3 High Mast Lighting Support for a HML installation consists of a foundation, pole (mast), and head frame assembly with luminaire ring and lowering device. The first two items are discussed below:

A. Foundation Dead and live load reactions, horizontal shear, uplift and overturning moments should all be taken into consideration when designing foundations. The foundation and anchoring system should be designed for loads equal to, or greater than, the maximum loads that the pole is designed for. B. Mast The pole length specified is to be based on the mounting height of the luminaires, determined during design, and is the difference in elevation between the foundation and luminaires. 8/4/95

12-12 12.5 CONFIGURATION

HIGHWAY LIGHTING

Refer to Chapter 5 of the "Roadway Lighting Handbook" for a complete discussion on luminaire and luminaire support placement. 12.5.1 Pole (Light Standard) Placement - Conventional Lighting The preferred pole location is on the right hand side in the direction of travel. However, if poles are required in areas where they are likely to be struck, or on ramps with insufficient width of embankment to provide for a pole outside the deflection distance of the guiderail, the pole should be placed on the inside of the curve. Median installations should be avoided on freeways, unless the maintenance agency and the designer feel that servicing activities will not present an unacceptable level of safety, or service, during maintenance. 12.5.1.1 Lateral Offset The designer should provide the appropriate lateral clearance (refer to Chapter 2, Section 2.6.9), if applicable, and clear zone (refer to Chapter 10). In addition, where sidewalks are present or proposed, the pole should be placed to allow continuous passage as discussed in Chapter 18 and the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities, Section 14, Public Rights-of-Way. 12.5.1.2 Longitudinal Spacing The longitudinal spacing between poles will be established during the design procedure. Appurtenances along the highway, and highway geometrics, influence the final luminaire support location. Some recommendations follow: 1. 2. 3. To avoid being struck, poles in the area of exit ramps should not be placed within 50 m of the physical gore, Poles should be placed approximately 25 m from each facia to provide light under structures without underbridge lighting and to reduce the shadowing effect due to the bridge, and Poles should be placed no closer than 15 m in front of lighted overhead signs, or 10 m where overhead signs are not lighted.

12.5.2 Luminaire Support Placement - High Mast Lighting The criteria for spacing and locating the support for the luminaires is somewhat different than for conventional lighting. While the common concern for roadside safety should be adhered to, HML is an area type of lighting system which allows the designer more latitude in placing the support 8/4/95

HIGHWAY LIGHTING

12-13

farther from the roadway. Masts should not be placed in narrow medians if possible. They are difficult to construct as part of the concrete median barrier system and hazardous to maintain. The exact location of the high masts should be specified only after the number and type of luminaires necessary to meet the design criteria has been determined. Using a plan of the area to be lighted, the designer should: 1. 2. Identify potential support locations which would provide the greatest degree of roadside safety, and Provide the area to be lit with the desired lighting levels.

Additional factors which should be considered when locating the supports are discussed in the high mast systems section of the "Roadway Lighting Handbook", Chapter 6. 12.6 HARDWARE The design of a highway lighting system also includes electrical design. The electrical design includes specifying the method by which electricity will be supplied to the luminaires (by connection to wires on utility poles, separate underground power connection with or without a distribution cabinet, etc.), and the source of electricity or power (secondary or other). The maintaining agency or utility company may have a preference for or require that they provide some or all of the components discussed in this section. The designer generally will not have to specify pay items for work provided by others as the cost of this work is included in the maintenance agreement with the municipality. Refer to sections 12.6.1 through 12.6.6 when pay item selection is necessary. Refer to Chapter 7 of the "Roadway Lighting Handbook" for additional discussion regarding the topics discussed in this section. 12.6.1 Electrical Distribution Electricity is usually supplied by connection to existing utility poles which supply "secondary" power to other commercial users. When "secondary" power is insufficient to energize the proposed lighting installation, as may be the case with continuous parkway or expressway lighting, the designer may have to provide transformer(s) to convert the higher voltage provided by the utility company to a voltage suitable for use in the lighting system branch circuits. Discussion of the electrical design (transformers, controller cabinet wiring) necessary for these larger systems is beyond the scope of this Chapter. Designers should seek the assistance of the utility company, maintaining agency, and Regional Utility Engineer when specification of transformers, and lighting control system equipment is a necessary part of the total lighting system. The point of service(s) where the utility will provide electricity for distribution to the luminaires should also be discussed, and if possible determined, at this time.

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12-14

HIGHWAY LIGHTING

All electrical distribution equipment (controller cabinets and other electrical boxes) should be specified for placement in the safest location within the roadside area (such as behind and beyond the deflection distance of guiderail). 12.6.1.1 Luminaire and Arm Attachment to Utility Poles The designer will generally need to provide fewer pay items for an installation on wood utility poles as compared to providing a distribution system with associated controller cabinet, etc. Electrical distribution to luminaires on wood poles is usually provided by wiring from the luminaire to existing overhead wires and the luminaire is switched on and off by means of a photoelectric control mounted on the luminaire. Refer to section 12.6.6 for further discussion regarding photoelectric controls. 12.6.1.2 Luminaire and Arm Attachment to Light Standards (Pole) Distribution for this type of system consists of the utility company bringing in power to a specified location for subsequent distribution via branch circuit(s). These circuits distribute the electricity from the point of service, or distribution equipment, and are established by the specification of conduit, cable, wire, pullboxes, etc. The designer should specify service pole and distribution equipment locations which are outside the clear zone, placed behind and beyond the deflection distance of guiderail, and in a location where they are not susceptible to being hit by errant vehicles. The extent of the electrical design necessary for the distribution system will be dependent on the magnitude of the highway lighting system. 12.6.2 Wire In the absence of utility company, maintaining agency, or locality requirements, wire size and type should meet minimum requirements of the National Electric Code (NEC). Wire should be sized separately: 1. 2. For each branch circuit based on voltage drop criteria presented in NEC Article 21019a FPN No. 4. and, From the pole base to the luminaire (usually 10 or 12 AWG).

Refer to Chapter 7 of the "Roadway Lighting Handbook" for an example of how to determine wire size based on voltage drop.

12.6.3 Conduit 8/4/95

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Underground wiring is generally installed in conduit, and specified as separate items !wire and conduit. Direct burial cable, which consists of cable enclosed in a polyethylene conduit, is preferred by some. The type of conduit specified should be appropriate for the roadway environment. Galvanized steel is generally specified for underground installations and when the conduit is to be exposed to the weather. Polyvinyl chloride (PVC) conduit may be specified for installation in non-rocky soils, and where there is reasonable certainty that it will not be damaged by construction equipment. Conduit shall be large enough to meet the requirements (31% full for 2 conductor, 40% for 3 conductor) found in Chapter 9 of the National Electric Code (NEC). Consideration should be given to the installation of spare conduit for future lighting maintenance needs or plans for traffic systems management strategies such as Information for Motorist (INFORM) variable message signs (VMS). 12.6.4 Pullboxes Cast-in-place concrete or precast concrete pullboxes should be provided at major junction points, at utility service points if required by the utility company, and at other locations as required by the project. The pull box size will be dependent on the number and size of entering/leaving conduit or cable and what work is required within the box. 12.6.5 Junction Boxes A junction box should be considered for each luminaire support located on a bridge, to accommodate conduit and wire installation and connection. The dimensions and any installation details shall be included in the plans. 12.6.6 Photoelectric Control A photoelectric control (PE) should be specified as the means to switch the luminaire(s) on and off. Control may be provided at each luminaire, or by central control, locating the PE at the luminaire closest to the electrical control unit serving multiple circuits. The designer should consult with the maintaining agency and locality to establish any preferences. Individual luminaire control is normally preferred for installations on utility poles, park-and-ride lots, and other minor lighting systems. 8/4/95

12-16

HIGHWAY LIGHTING

When it is desired to turn all of the circuits on and off with one PE, as with longer and more numerous circuits for lighting entire sections of an expressway, a contactor must be provided within the central controller. The contactor is needed due to the limited number of volt-amps that a photoelectric control can handle. The various circuits are connected to the contactor which in turn is connected to a photoelectric control. This arrangement limits the number of amps reaching the photoelectric control to an acceptable level. When this arrangement is used, a reverse contactor should also be provided for within the control box to energize the circuits should the PE fail. 12.7 TUNNELS AND UNDERPASSES Refer to the "Policy on Highway Lighting" for daytime and nighttime lighting policy and warrants. The lighting design should provide for the lighting levels and uniformities recommended in "An Informational Guide for Roadway Lighting". This reference and the "American National Standard Practice for Tunnel Lighting" discuss other factors, such as the selection and placement of luminaires, which the designer should consider. 12.7.1 Tunnels To achieve good visibility before entering, after leaving, and while within a tunnel, the designer should take into account the surroundings in which the tunnel is located as well as the characteristics of the tunnel itself. The designer should read the publications mentioned in section 12.7 and progress the design consistent with that guidance. 12.7.2 Underpasses Lighting can be provided from "wall packs" mounted on abutments and piers, or by "pendant" or "flat" lights, mounted over the travel lanes. The maintenance agency should be consulted to establish any preference. Some recommendations when designing underpass lighting are: 1. 2. For luminaires mounted over the travel lanes, an initial design may include a 70 W high pressure sodium lamp with type V, short, semi-cutoff luminaire(s), Avoid placing the luminaire below the bottom flange of girder type bridges or other types of bridges that have flush bottom surfaces, unless there is available additional vertical clearance above the required minimum vertical clearance to accommodate the luminaire, and Poles adjacent to an underpass should be located at a distance away (approximately 25 m) from the entrance and exit point of the underpass to allow the light from the lamp and luminaire to penetrate the underpass. This is very important at short underpasses where supplemental underbridge lighting is not required.

3.

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HIGHWAY LIGHTING 12.8 PARK-AND-RIDE FACILITIES AND REST AREAS

12-17

Refer to the "Policy on Highway Lighting" for park-and-ride facility and rest area lighting policy and warrants. 12.8.1 Park-and-Ride Facilities The recommended design values referred to in section 12.8.2 are applicable to the design of parkand-ride facilities, with the exception of design values for platforms and shelters which are contained in the "Guide for the Design of Park-and-Ride Facilities". 12.8.2 Rest Areas Refer to "An Informational Guide for Roadway Lighting" for recommended design values for: 1. 2. 3. 4. Entrance and exit gores, Interior roadways, Parking areas, and Activity areas

12.9 GUIDE SIGN LIGHTING The criteria for lighting overhead guide signs are as follows: 1. 2. The preferred light source is metal halide. Position the luminaire(s) externally, 300 mm below and 1200 mm in front of the sign panel. Minimum vertical clearance requirements should be determined from the NYSDOT "Geometric Design Policy for Bridges". (150 mm of additional vertical clearance should be provided to avoid damage to the luminaire assembly.) Provide an illumination gradient of 2:1 max. (refer to manufacturer's literature for a further discussion of this concept). Luminaire shields should be specified to prevent light from shining into the eyes of traffic flowing toward the sign as well as in the opposite direction.

3. 4.

The designer should consult with lighting manufacturers to seek their recommendation regarding lamp size and spacing. Refer to "An Informational Guide for Roadway Lighting" for recommended lighting levels and the "Recommended Practice for Roadway Sign Lighting" for additional discussion.

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12-18 12.10 LIGHTING REPORT

HIGHWAY LIGHTING

The designer should prepare a lighting report and retain it in the project files for future use when roadway modifications require revision to the lighting system. In addition, the report will document and provide a means for reviewing the basis for the design, performed consistent with the guidance in this chapter, as it progresses from inception to final design. A lighting report should be submitted, or made available, with the Preliminary Plans, Advance Detail Plans, and Final Plans for review within the Region. Prior to submitting the preliminary report, the lighting criteria, determined based on the recommendations given in section 12.3.1, should be agreed to within the Region. The purpose of this step is to establish and agree upon the lighting levels (design criteria) before preliminary design work begins. Designers should consider sending a copy of the lighting report to the utility company and municipality for review and comment. Continued coordination with these agencies should prevent problems associated with electric service connection, assumption of maintenance responsibility, or other issues which may be difficult to resolve late in project development or construction. A written reply from these agencies may be useful to document their concurrence with the design. It is important that these organizations are satisfied with those aspects of the design for which they will become responsible for servicing or maintaining. This correspondence with the utility and municipality should be added to the project file. 12.10.1 Preliminary Lighting Report The preliminary lighting report should establish the basic components of the lighting system and identify them in sufficient detail so that the system can be laid out and completed during design Phase V (Advanced Detailed Plans). The designer should include the following information: 1. 2. 3. 4. 5. 6. 7. Light source type, Light source size and mounting height, Luminaire type and location, Luminaire spacing and arrangement, Power supply point(s), Hardware, and Calculations (manual or computer printouts) which verify that the items selected in 1 through 4 above, satisfy the lighting design criteria.

12.10.2 Advanced Lighting Report The advanced lighting report should build upon and resolve the comments made regarding the preliminary lighting report. Design tasks performed leading up to and reflected in the advanced lighting report should include:

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Energy consumption and cost calculations (if requested by the maintaining agency or utility), Voltage drop calculations performed to determine cable (wire) size, Other determinations necessary to bring plans/report up to this stage of development.

12.10.3 Final Lighting Report The final lighting report should build upon and resolve the comments made regarding the advanced lighting report. 12.11 PLANS AND SPECIFICATIONS Accurate and complete plans and specifications are a necessary part of the contract documents to help reduce disputes which may occur during construction and prevent the necessity to utilize the changed conditions clauses in the contract (see section 109-16 of the Standard Specifications). 12.11.1 Plans The lighting plan and details should provide the information necessary for a contractor to bid and construct the lighting system. As a minimum, the following plan sheets should be provided: 1. Roadway Lighting Plan - provide the location of proposed and existing features such as: a. b. c. 2. edges of pavement, shoulder and curb, luminaire supports and spacing, and all other lighting facilities (conduit, cables, jacking, pole numbering, controller, power supply, and pullboxes).

Table of Luminaire Installation - either on the plan or on a separate sheet, specify the details associated with each luminaire installation. Indicate: a. b. c. d. e. f. g. h. luminaire number (corresponds to number on plan), location by station, lateral offset of luminaire support (pole), (indicate what control line is used to measure offset), foundation elevation, foundation type (refer to foundation details, etc.), pole type (refer to pole details, etc.) luminaire type and lamp size, IES distribution type, voltage requirements, luminaire mounting height.

8/4/95

12-20 3.

HIGHWAY LIGHTING Wiring Details - provide details for: a. b. c. 4. circuit wiring, transformer base wiring, and controller wiring.

Pole Foundation Details - provide: a. b. special installation details for cut or fill locations, and dimensional requirements of foundation and conduit placement.

5.

Pole Details - provide requirements for: a. general configuration

6.

Miscellaneous Details - show limits of clearing and grubbing existing trees in the path of light and in the vicinity of the luminaire.

12.11.2 Specifications Designers should use either the Department's standard specifications found in Section 670 of the "Standard Specifications", or when these specifications do not satisfy the designer's needs, write or use previously written special specifications. Designs in Region 11 are progressed based on New York City Department of Transportation Division of Street Lighting approvals, standards, specifications and the New York City Electrical Code. Pay items have been developed, or should be developed when necessary, with the Region 11 pay item number prefix, which are based on the City of New York Specifications, Compiled 1970 for use in New York State Department of Transportation Contracts (Gray Book). Specification pay items with corresponding quantities, or notes referring to separate agreements with utilities or municipalities regarding payment for work to be performed by them, shall be provided for all aspects of the work to be performed by the contractor. Refer to Chapter 21 section 21.3 for further guidance regarding specifications.

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HIGHWAY LIGHTING 12.12 REFERENCES 1. 2.

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Policy on Highway Lighting, December 1979, Traffic Engineering and Safety Division, New York State Department of Transportation, State Campus, Albany, N.Y. 12232. An Informational Guide for Roadway Lighting, 1984, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Roadway Lighting Handbook, December 1978, U.S. Department of Transportation, Federal Highway Administration, Offices of Research and Development, Office of Traffic Operations, Washington, D.C. 20590. Roadway Lighting Handbook Addendum to Chapter Six, September 1983, U.S. Department of Transportation, Federal Highway Administration, Washington, D.C. 20590. American National Standard Practice for Roadway Lighting, July 1983, Illuminating Engineering Society of North America, 345 East 47th Street, New York, N.Y. 10017. Roadside Design Guide, 1989, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, D.C. 20001. Americans With Disabilities Act Accessibility Guidelines for Buildings and Facilities (ADAAG), December 1993, Landscape Architecture Bureau, New York State Department of Transportation, State Campus, Albany, N.Y. 12232. Standard Specifications for Structural Supports for Highway Signs, Luminaires and Traffic Signals, 1994, American Association of State Highway and Transportation Officials, Suite 249, 444 North Capitol Street, N.W., Washington, D.C. 20001. American National Standard Practice for Tunnel Lighting, 1987, Illuminating Engineering Society of North America, 120 Wall Street, Fl.17, New York, N.Y. 10005. Guide for the Design of Park-and-Ride Facilities, 1992, American Association of State Highway and Transportation Officials, Suite 249, 444 North Capitol Street, N.W., Washington, D.C. 20001. Geometric Design Policy for Bridges, July 1993, Structures Design and Construction Division, New York State Department of Transportation, State Campus, Albany, N.Y. 12232. Recommended Practice for Roadway Sign Lighting, 1983, Illuminating Engineering Society of North America, 345 East 47th Street, New York, N.Y. 10017.

3.

4. 5. 6. 7.

8.

9. 10.

11. 12.

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HIGHWAY DESIGN MANUAL

Chapter 13 - Utilities Revision 41

June 6, 2003

CHAPTER 13 UTILITIES Contents 13.1 13.2 Page

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1 UTILITY ACCOMMODATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2 13.2.1 13.2.2 13.2.3 Part 131 of Title 17 of the Official Compilation of Codes, Rules, and Regulations of the State of New York . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2 Accommodation Plan for Longitudinal Use of Freeway Right Of Way by Utilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-3 Requirements for the Design and Construction of Underground Utility Installations Within the State Highway Right of Way . . . . . . . . . . . . . . . . . 13-3

13.3 13.4

UTILITY COORDINATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-4 DESIGN PHASES I-VI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-5 13.4.1 13.4.2 Preliminary Design Stage (Design Phases I-IV) . . . . . . . . . . . . . . . . . . . . 13-5 Final Design Stage (Design Phases V&VI) . . . . . . . . . . . . . . . . . . . . . . . 13-13

13.5

UTILITY FACILITY RELOCATIONS, ADJUSTMENTS, AND BETTERMENTS . . 13-16 13.5.1 13.5.2 13.5.3 13.5.4 Time Schedules for Relocating Utility Facilities . . . . . . . . . . . . . . . . . . . . Utility Reimbursement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Municipal Resolutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Utility Service Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-17 13-20 13-26 13-27

13.6

STANDARD SPECIFICATIONS AND SPECIAL NOTES . . . . . . . . . . . . . . . . . . . 13-29 13.6.1 13.6.2 13.6.3 Standard Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-29 Special Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-29 Special Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-29

13.7

CONSTRUCTION STAGE - SUPERVISION, INSPECTION, AND FIELD RECORDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-30 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-30

13.8

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APPENDIX A - 17 NYCRR Part 131 ACCOMMODATION OF UTILITIES WITHIN STATE HIGHWAY RIGHT OF WAY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13A APPENDIX B - ACCOMMODATION PLAN FOR LONGITUDINAL USE OF FREEWAY RIGHT OF WAY BY UTILITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13B APPENDIX C - REQUIREMENTS FOR THE DESIGN AND CONSTRUCTION OF UNDERGROUND UTILITY INSTALLATIONS WITHIN THE STATE RIGHT OF WAY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13C APPENDIX D - UTILITY FACILITIES INVENTORY REPORT . . . . . . . . . . . . . . . . . . 13D APPENDIX E - TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS . . . . . . . . . . . 13E APPENDIX F - WATER SUPPLY SYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13F APPENDIX G - UTILITY REIMBURSEMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13G

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UTILITIES 13.1 INTRODUCTION

13-1

This chapter discusses the laws, regulations and procedures associated with Utilities (i.e., the entities owning and/or operating utility facilities), and provides guidance regarding progressing projects with and without utility involvement (e.g., projects with and without utility facility relocation, adjustment, or betterments) to award. This chapter and State laws and regulations define utility facilities to mean the lines, facilities and systems for producing, transmitting, or distributing communications, signal, power, electricity, light, heat, gas, oil, crude products, liquid products, water, steam, wastes, storm water not connected with highway drainage, and other similar commodities, including fire and police signal systems and street lighting systems, which directly or indirectly serve the public or any part thereof. In addition, this chapter: Contains requirements that apply to all projects let by the Department (e.g., Appendix 13D Utility Facilities Inventory Report). Applies to and is for use by Utilities seeking accommodation within State highway right of way. Does not apply to railroads and their associated utilities (communications, signals, power, etc.). Guidance regarding railroads is provided in Chapter 23 of this manual.

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13.1

13-2 13.2 UTILITY ACCOMMODATION

UTILITIES

The State accommodates utility facilities within the right of way of State highways as discussed in Sections 13.2.1 through 13.2.3.

13.2.1 Part 131 of Title 17 of the Official Compilation of Codes, Rules, and Regulations of the State of New York Part 131 identifies the rules and regulations associated with the accommodation of utility facilities located within state highway rights of way, and those utility facilities that affect the use and operation of state highway facilities. In addition, Part 131 is applicable to other highways in which federal laws or regulations require such compliance (e.g., locally administered federally aided projects). As such, Part 131 shall be used by Utilities seeking accommodation within State highway rights of way and by personnel progressing capital construction projects for letting by the Department. Applicable utility facilities include water mains, gas mains, sewer lines, telephone, cable, other communication lines, electric, and other utilities and structures. The rules and regulations under Part 131 apply to both public and privately owned utilities. The major points of Part 131 address the statutory authority and conditions associated with utility facility occupation of State highway right of way, various types of permits and agreements, general design requirements and construction procedures, and insurance requirements. Refer to Appendix 13A for the full text of Part 131.

13.2.1

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13.2.2 Accommodation Plan for Longitudinal Use 0f Freeway Right 0f Way by Utilities The Accommodation Plan for Longitudinal Use of Freeway Right Of Way by Utilities (hereinafter referred to as the Accommodation Plan) is most applicable to Communication Utility Companies, and as a result, it is not necessary for designers working for the Department to be familiar with it in order to progress a capital construction project. The Accommodation Plan discusses the process by which parties interested in using portions of the right of way of a freeway for longitudinal installations of communications facilities are granted approval to do so, and applies only to the occupation of freeways by lines, facilities, or systems used for communications. The major points of the Accommodation Plan address the means by which to submit an expression of interest, the Department's Request for Proposal process, the requirements to be included in the proposal, proposal evaluation criteria, utility facility installation conditions and requirements, and necessary permits/agreements. Refer to Appendix 13B for the full text of the Accommodation Plan.

13.2.3 Requirements for the Design and Construction of Underground Utility Installations Within the State Highway Right of Way The Requirements for the Design and Construction of Underground Utility Installations Within the State Highway Right of Way, commonly referred to as the Blue Book, addresses the general requirements for the design and construction (by a Utility) of underground utility facility installations within the State highway right of way. The Blue Book was developed with recognition of the fact that soil, traffic, weather, and other conditions vary considerably across the state. In this respect, the requirements contained in the Blue Book should be viewed as general guidelines, preserving flexibility for any Region to include specific requirements in its highway work permits which suit that Region's unique needs. The major points of the Blue Book address the general design and construction requirements for Utility-installed underground utility facility installations, various types of underground highway crossings, material specifications, and maintenance and protection of traffic requirements. The requirements contained within the Blue Book are promulgated by the Department under authority of Title 17, New York Official Compilation of Codes, Rules and Regulations Part 131 (17 NYCRR Part 131), and apply to highway work permits authorizing work within the State highway right of way for water mains, gas mains, sewer lines, telephone, cable, other communication lines, electric and other utilities, and structures. These requirements, and any specifications which are added to the work permit on the method of performing work, are enforceable by the Department. The Blue Book is provided in Appendix 13C for use by Utilities seeking accommodation within the State highway right of way.

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13.2.3

13-4 13.3 UTILITY COORDINATION

UTILITIES

To avoid unnecessary delays and costs in the physical construction of a highway project, it is essential that both the Department and Utilities give full consideration at the earliest practicable date to the coordination process associated with utility adjustments and relocations, and that insofar as feasible and economical, the necessary utility facility adjustment work be accomplished before the Departments contractor starts work. Recognition must be given to the fact that if owners of utility facilities are to complete the adjustments of their facilities by the time desired, they must have ample opportunity and time to design the adjustments, budget the costs, procure the necessary materials and supplies, fit the work into operating schedules, assemble the required crews and equipment, and actually perform the work. It is desirable, whenever practicable, to avoid utility facility relocation in the selection of a design alternative and the establishment of right of way taking limits. In addition, consideration should be given to designing around utility facilities. As soon as the highway location and design have advanced sufficiently so that any right of way clearance work and utility facility adjustment work that will be required is apparent, the Region should initiate joint studies of the situation (e.g., representatives of all affected governmental agencies and Utilities should be contacted and requested to participate), including on-site investigations, to estimate the costs and difficulties involved and to consider whether revisions should be made in the location and design to reduce such costs and difficulties. When several Utilities are involved, as in urban areas, representatives of all owners should be present at the same conferences in order that their plans for proposed adjustments can be properly coordinated and that consideration can be given, where feasible, to the joint use of certain facilities (e.g., pole lines or utility facility tunnels). As a result of these studies, determination should be made as to the nature and extent of the work to be done, who is to be responsible for its performance, and the general distribution of costs thereof. Agreement should also be reached regarding the scheduling of work to avoid conflicts with the highway contractors work. Early coordination is also critical to give owners of utility facilities (both Municipally owned and others) the opportunity to plan and combine any betterment work they may be contemplating for their facilities within the project limits. Both highway and utility facility work can be very disruptive to a community and every effort should be made to combine and/or coordinate utility facility upgrades and/or betterments. A betterment need not be defined as merely replacing one size conduit with a larger or additional conduits but a betterment could be where a Utility reimburses the Department for the additional cost of minor adjustments (i.e., in a drainage design or guide rail design) that results in savings to the Utility in terms of reducing or eliminating relocation work while still maintaining the integrity of the highway or roadside design. The Department and the Utilities need to work cooperatively in order to explore these situations which can save both money and construction time. Refer to Sections 13.4 and 13.5 for additional guidance regarding coordination with Utilities.

13.3

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UTILITIES 13.4 DESIGN PHASES I-VI

13-5

The designer, Regional Utilities Engineer (RUE), Regional Real Estate Group, and Utilities should closely coordinate their efforts so that projects will progress to construction without delay, and once in construction, progress consistent with the contract documents. The activities discussed in Sections 13.4.1 and 13.4.2 should be considered during the project development process. These activities are organized within the context of the Preliminary and Final Design Stages.

13.4.1 Preliminary Design Stage (Design Phases I-IV)

13.4.1.1 Existing Utility Facility Location All existing utility facilities should be located as part of the terrain data collection process discussed in Chapter 5, Section 5.4, of this manual. The type of terrain data to be gathered should be based on the type of project and scope of work. Sections 13.4.1.1 A through E discuss collecting utility facility location information via photogrammetry, field survey, site visitation, contact with Utilities, and the use of subsurface utility engineering.

A. Photogrammetry This section provides a listing of the utility facility-type features obtained using photogrammetry and is based on the information provided in the Specifications for Photogrammetric Stereocompilation. Some necessary information is not provided by photogrammetry (e.g., utility facility ownership, overhead lines, underground utility facilities). This type of information should be obtained through contact with Utilities, field survey, site visitation, and the use of subsurface utility engineering. The following types of utility facilities are mapped by photogrammetry: Fire Hydrants Gas Line Markers Gas Line Vents Guy Wires or Brace Poles Light Poles Light Pull Boxes Manholes Pipelines Substations, Electric/Gas Transmission Poles, Towers and Lines Utility Boxes Utility Poles Utility Poles - Cross Country Utility Poles with Lights Valves (Large)

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13-6 B. Field Survey

UTILITIES

If field survey is selected as the means to gather terrain data, field survey will gather the same type of utility facility information as obtained via photogrammetry. Field survey should be requested and performed to gather any necessary utility facility information not obtained through photogrammetry (e.g., to gather terrain data which cannot be identified through photogrammetry) or to supplement photogrammetry. Field survey would not routinely gather data regarding overhead utility facilities unless requested to do so.

C. Site Visitation The project should be visited by the designer to gather information not obtained through photogrammetry or survey (e.g, types of overhead lines (cable TV, electric), ownership information). In addition, consideration should be given at this time as to how the proposed project may influence existing or proposed utility facilities.

D. Contact With Utilities Utilities should be contacted to determine if they have facilities which may be impacted by the project and to provide the location of their facilities. Designers are cautioned regarding the use of existing records of underground site conditions because they are often incorrect, incomplete, or otherwise inadequate. These conditions exist for a number of reasons: The records were not accurate in the first place. Design drawings are not as-built, or installations were field run and no record was ever made of actual locations. On old sites, there have usually been several utility owners, architects/engineers, and contractors installing facilities and burying objects for decades in the area. Seldom are the records placed in a single file, and often they are lost. References are frequently lost. Records show that an object is a certain distance from a building that is no longer there, or an object is a certain distance from the edge of a two-lane road that is now four lanes or is part of a parking lot. Lines, pipes, and tanks are removed from the ground, but arent removed from the drawings.

13.4.1.1

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UTILITIES E. Subsurface Utility Engineering and Quality Levels

13-7

Subsurface utility engineering (SUE) is an engineering process for accurately identifying the quality of subsurface utility facility information needed to develop a capital project, and for acquiring and managing that level of information during the project development process. In order to understand SUE, it is important to first define the quality levels of utility facility information that are available (e.g., to the designer and the contractor). The concept of quality levels was developed from the realization that sometimes more reliable information on the location of underground utility facilities is known to the designer, but is not typically presented within any documents (e.g., the contract documents) for the benefit of others. Examples of the wide range of notations historically made include presenting information regarding a gas line for which there exists a certified reference to a recoverable survey control in the same manner as presenting a water line for which there is only a verbal recollection by a water company representative. Four separate quality levels of subsurface utility facility information are generally recognized and are as folllows: Quality Level A (QLA): Quality Level A is the highest degree of accuracy. The information shown on the plans has been obtained by the actual exposure (or verification of previously exposed and surveyed utility facilities) of subsurface utilities, using (typically) minimally intrusive excavation equipment to determine their precise horizontal and vertical positions, as well as their other utility facility attributes. (Shown as QLA) Quality Level B (QLB): Quality Level B is the second highest degree of accuracy. The information shown on the plans has been obtained through the application of appropriate surface geophysical methods (i.e., underground cameras, radar, sonar, tone outs, etc.) to identify the existence and appropriate horizontal position of subsurface utility facilities. Quality Level B data are reproducible by surface geophysics at any point of their depiction. The information was surveyed to applicable tolerances and reduced onto the plans. No excavations were performed. (Shown as QLB) Quality Level C (QLC): Quality Level C is the third highest degree of accuracy. The information shown on the plans has been obtained by surveying and plotting visible above-ground utility features and by using professional judgement in correlating this information to Quality Level D information. (Shown as QLC) Quality Level D (QLD): Quality Level D is the lowest degree of accuracy. The information shown on the plans was derived solely from existing NYSDOT and/or utility company records or recollections. (Shown as QLD) The quality level definitions shall be provided in the general notes section of the plans.

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13.4.1.1

13-8

UTILITIES In addition to providing the quality level definitions, the quality level information (i.e., QLA, QLB, QLC, QLD) for each subsurface utility facility shown on the general plans and utility plans shall be shown on the right-hand side of the plan sheet above the as-built revision box. For example, underground utilities known on this project: Waterlines: Sta. 0+035 lt. - Sta. 1+030 lt.= QLA; Sta. 1+030 lt. - Sta. 9+350 lt. = QLC; etc. Sanitary Sewers: (Town) Sta. 5+020 rt. - 7+090 rt. = QLD; (City) Sta. 7+090 rt. - Sta. 9+015 rt. = QLD; etc. Electric: (RG&E) Sta. 0+000 rt. - 14+050 rt. and Sta. 0+000 lt. - 17+050 lt. = QLC Telephone: (Verizon), Sta. 0+000, rt. - 14+050,rt. and Sta. 0+000, lt.-17+050, lt., = QLA Gas: (RG&E), 399 mm, Sta. 0+000 rt. - 8+029 rt. = QLA; 200 mm, Sta. 8+029 rt. - Sta. 14+050 rt. = QLD; etc. Traffic Loop Detectors: Rtes. 5 & 20 intersection with Bristol Street (NE, SE and SW legs of intersection = QLD, etc. Inform Communications Cables: Sta. 0+000 rt. - 14+050 rt. = QLA; Sta. 14+050 rt. 17+050 rt. = QLD; etc. Accurate identification of underground utility facilities is a critical element in the design of any project. As previously discussed, relying on record plans obtained from the Utility can often create delays during construction due to inaccuracies in identifying the true locations of utility facilities. In the past, the only way to accurately determine offsets and depths of utility facilities was to dig test pits with a backhoe. This, in itself, often caused utility facilities to be damaged. Now, with the recent technologies associated with SUE, underground utility facilities can be located easily, safely, and less expensively. SUE utilizes electromagnetic, magnetic, sonic, and other energy fields to determine the approximate horizontal location of underground utility facilities. The facilities are then located through the use of nondestructive digging equipment (such as vacuum excavation) to determine the precise horizontal and vertical positions, as well as the type, size, and condition of the buried utilities. This information should then be tied to the project's survey control and provided in the contract documents for the project.

13.4.1.1

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UTILITIES

13-9

Early results from the Department's SUE program have shown that projects involving profile or horizontal alignment changes, excavation for drainage, etc., can realize significant benefits by utilizing this technology. Conservative estimates based on the Department's experience, as well as the experiences of other states, indicate that for every $1 spent on SUE, overall project savings can average between $5 and $10. Designers should consider the use of this valuable tool for projects in which a moderate to high potential for utility conflicts exist (e.g., projects with storm drainage systems, profile changes, signal pole installation). SUE may be appropriate for use along the entire project length or for certain segments. Those desiring to use SUE on a project should contact the Design Quality Assurance Bureau, Design Support Services Section for details as provisions for SUE are performed by a consultant managed by DQAB. FHWA encourages the use of SUE as an integral part of preliminary engineering. Costs for SUE services are eligible for Federal participation. Proper use of this cost-effective, professional engineering service will eliminate many of the utility problems typically encountered on highway projects, including: Delays to projects caused by waiting for utility relocation work to be completed so highway construction can begin. Delays to projects caused by redesign when construction cannot follow the original design due to unexpected utility conflicts. Delays to contractors during highway construction caused by cutting, damaging, or discovering utility lines that were not known to be there. Time-related compensation by contractors for delays resulting from unexpected encounters with utilities. Deaths, injuries, property damage, and releases of product into the environment caused by cutting utility lines that were not known to be there.

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13-10

UTILITIES

Accurate and comprehensive knowledge of the exact horizontal and vertical location of all underground utilities early in the development of a project, long before excavation begins, makes it possible to: Design around many underground utility facilities, thus avoiding costly and timeconsuming relocations. Accurately depict utility facilities on construction plans so the Utilities, the Department, and Contractors will know exactly where all of them are prior to any excavation. The Department should not be relocating underground utility facilities unnecessarily or encountering them unexpectedly when progressing a project because SUE technology is readily available to help eliminate these wasteful activities. Following is an example table showing how test hole data should be presented in the plans. A working version is provided in the tables.cel cell library.
TEST HOLE COORDINATE TABLE
TEST HOLE NUMBER UTILITY W, T, G, E, SA, ST EXISTING LOCATION STATION OFFSET m LT RT TOP OF UTILITY ELEVATION COORDINATES REMARKS

NORTHING

EASTING

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UTILITIES 13.4.1.2 Coordination With Utilities

13-11

The designer should identify major utility facilities involved (high-voltage transmission lines, large gas transmission lines, etc.) and initiate liaison with the Utility(ies) through the Regional Utilities Engineer (RUE). The designer should contact Utilities within the project limits and discuss with them any potential betterments or upgrades the Utility might be planning or would like to explore. Proper coordination helps prevent future utility cuts into newly/recently paved or reconstructed pavement. These cuts can have a detrimental effect on pavement life, aesthetics, and at times, safety.

13.4.1.3 Initial Utilities Facilities Inventory Report An Initial Utility Facilities Inventory Report should be prepared by the designer, with support from the RUE, listing all information that can be obtained at the time about each major utility facility for each alternate. The report should be kept with the project files and updated as more information becomes available during the progression of Design Phases I through IV. As the design progresses to the end of Design Phase IV, the report should contain a listing of all utility facilities for the recommended alternative and related information as it becomes available. Instructions regarding the preparation of the Initial Utility Facilities Inventory Report are provided in Appendix 13D.

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13-12 13.4.1.4 Design Approval Document

UTILITIES

The information required in Appendix B of the Design Procedure Manual should be provided in the Design Report. If a Design Report is not required, similar consideration should be given to utility facilities within the project limits (i.e., describe and identify owners of utility facilities in the vicinity of the project that could be affected by or have an effect on the project). At the end of Design Phase I, the Draft Design Approval Document should be sent to the Regional Utilities Engineer (RUE) for review and comment.

A. Preliminary Plans All existing underground and aboveground utility facilities should be plotted on the general plans and separate drainage and utility plans if utility facility relocation, adjustment, betterments, and/or storm drainage system work is proposed. In addition, underground utility facilities should be plotted on the cross sections and major utility crossings should be plotted on the profile.

B. Design Alternatives The designer should consider the influence of major utility facilities (high-voltage transmission lines, large gas transmission lines, fiber-optic duct banks, large water mains, etc.) as one of the controlling factors in design. It is desirable, whenever practicable, to avoid utility facility relocation in the selection of a design alternative and the establishment of right of way taking limits (e.g., consideration should be given to designing around utility facilities). Where utility facility relocation and/or adjustment is unavoidable, compliance shall be in accordance with this chapter. The designer should determine the approximate scope and cost of utility facility relocations and betterments required for each design alternate and provide this information in the Draft Design Approval Document. Include costs to the State (i.e., the Department), and the Utility (i.e., municipal, state, private, and/or public utility).

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UTILITIES 13.4.2 Final Design Stage (Design Phases V&VI)

13-13

13.4.2.1 Design Phase V The activities presented in Sections 13.4.2.1 A through G should be performed and/or considered.

A. Initial Utility Facilities Inventory Report Early in this phase, the RUE should submit one copy of this report to the Design Quality Assurance Bureau, Design Support Services Section (DQAB, DSSS). The report should be submitted even if it must be revised and resubmitted later during Design Phase V. (Preparation of this report is discussed in Section 13.4.1.3.)

B. Approved Design Alternate All utilities should be provided with information (plans, profiles, anticipated construction staging, and preliminary construction schedule, etc.) associated with the approved design alternative.

C. Advance Detail Plans (ADPs) As discussed in Chapter 21, Section 21.2.2.20 of this manual, existing utility facilities and proposed utility facility(ies) relocation should be shown on the utility plans. When the ADPs have progressed to the point where tops of cuts, toes of slopes, proposed drainage facilities, and right of way lines are shown, plots of the plans marked unofficial should be sent to all the Utilities involved. The Utility should be requested to check the plotted details of existing utility facilities for accuracy and indicate any proposed utility facility relocations.

D. Accommodation of Utility Facilities on Structures The accommodation of utility facilities on Structures is discussed in Appendix 13A, Section 131.20. Utility facilities on bridges should be coordinated with the Structures Design and Construction Division. Preliminary Bridge Plans (on ledger size paper) should be provided to Utilities who may be interested in occupying the structure with their facility. If a Utility is interested in occupying the structure, the Utility shall submit a letter of request to the Regional Director in which justification is provided to substantiate their request. Refer to Section 7 of the Bridge Manual for additional guidance regarding the accommodation of utilities on structures.

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13-14

UTILITIES

E. Utility Facilities and Landscape Plantings Because utility facilities and landscape plantings often must occupy the same relatively narrow strip of right of way and utility facilities often have limitations (e.g., location), landscape plantings should be located and coordinated with the utility facility relocation and overall project design to best utilize the available area. Utilities should be contacted because, many times, the Utility can assist in the selection of species that are compatible with the overhead electric lines, such that extensive trimming is not required over time.

F. Utility Facility Relocations, Betterments, and/or Adjustments During Design Phase V, consideration for utility facility relocations, betterments, and/or adjustments should be continued. When utility facility relocations, betterments and/or adjustments are a component of the project, the following items should be substantially complete or well under way by the end of Design Phase V: Time schedules for relocating utility facilities (i.e., preparation of the Special Note Coordination with the Utility Schedule). Utility reimbursement (reimbursable versus non-reimbursable, agreements, method of reimbursement (by DOT or Utility)). Refer to Section 13.5. for additional guidance regarding these items.

G. Final Utilities Facilities Inventory Report This report should be prepared by the designer with support from the RUE near the end of Phase V. Guidance regarding the preparation of this report is provided in Appendix 13D.

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UTILITIES 13.4.2.2 Design Phase VI

13-15

Section A discusses activities which should be performed for all projects and Section B discusses activities which should be performed for those projects with Utility involvement (i.e., relocations, adjustments, betterments).

A. All Projects Plans. Check to make sure all graphic symbols representing proposed and existing Utility facilities are shown on the plans (i.e., general plans and utility/drainage plans). The contract documents should indicate the disposition of each Utility facility (i.e., to remain in place, to be relocated by others, to be relocated by the Contractor as part of the project). In addition, the quality level information and definitions should be provided as discussed in Section 13.4.1.1.E. Final Utility Facilities Inventory Report. The RUE shall submit the Final Utility Facilities Inventory Report to DQAB, DSSS when the final Plans, Specifications and Estimate (PS&E) are submitted to DQAB, PS&E Section. The report provides information regarding the status/disposition of Utility facilities associated with the project, and should be accompanied by all utility agreements and resolutions not already submitted. Special Notes. The special note entitled Coordination with the Utility Schedule shall be provided for all projects regardless of whether there is utility involvement. Guidance regarding preparing this note for projects with Utility involvement is provided in Sections 13.5 and 13.5.1. Example special notes are illustrated in Appendix 13E.

B. Projects with Utility Involvement Agreements. Utility Work Agreement(s), other agreements (Municipal Agreement, etc.), and resolution(s) shall be submitted to the Design Quality Assurance Bureau, Design Support Services Section.

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13.4.2.2

13-16

UTILITIES

13.5 UTILITY FACILITY RELOCATIONS, ADJUSTMENTS, AND BETTERMENTS As discussed in Section 13.3, it is desirable, whenever practicable, to avoid utility facility relocation in the selection of a design alternative and the establishment of right of way taking limits. In addition, consideration should be given to designing around utility facilities. Where utility facility relocation is unavoidable, compliance shall be in accordance with this chapter. This section emphasizes the urgency of expediting the relocation of utility facilities made necessary by highway work and provides the format wherein this should be accomplished. The designer and Regional Utility Engineer (RUE) should coordinate the initiation of utility facility preliminary engineering and relocation early in the design stage so that the Department will avoid delays in progressing the project to award. In addition, early and continued coordination during the design and construction stages will facilitate contractor and utility operations. When utility facility relocations, betterments and/or adjustment are a component of the project, the following items should be substantially complete or well under way by the end of Design Phase V: Preparation of the HC 140 Utility Work Agreement (including eligibility for reimbursement) and special note Coordination with the Utility Schedule (including establishing time schedules for utility facility relocation/adjustment). The RUE shall negotiate relocations (including time schedules for relocations and/or adjustments), betterments (including incorporating utility relocation/adjustment work in the Departments construction contract), and/or adjustments with the involved Utility and submit the Utility Work Agreement to the Utility for signature. It is often beneficial to the overall project schedule to have as much of the utility facility work included in the Departments contract as possible. An appropriate and acceptable method of encouraging utility companies to include their relocation and/or adjustment work (i.e., work to be performed at the Utilitys expense) in Department contracts is to use Fixed Price Lump Sum Items. The quality of the estimate in these instances is paramount to properly protect both the Utility and the Department. Initiating any other agreements (e.g., Municipal Agreement) The RUE should notify all Utilities to prepare plans, order materials, and take actions on any physical relocation or adjustment upon authorization (i.e., signing of the HC 140 by the Region for non reimbursable relocations and/or adjustments or signing of the HC 140 by DQAB for reimbursable relocations and/or adjustments performed by the Utility). The Utility involved should be requested to submit to the State a set of marked plans showing the proposed relocation of utility facilities within the project limits. The relocation plan should show lines, poles, etc., designated to remain, and those to be removed and their proposed relocation. The designer should transfer this information to the utility plans.

13.5

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UTILITIES 13.5.1 Time Schedules For Relocating Utility Facilities

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The purpose of this section is to establish Department policy and a procedure whereby reasonable time schedules for Utilities to relocate their facilities can be established, thus avoiding potential project delays during construction. In developing time schedules, it is paramount to coordinate and discuss the possibility of concurrent work with all effected Utilities. Meeting jointly with all the Utilities can often be helpful in developing more efficient time schedules. It is not always necessary to have Utilities perform their relocations in series (i.e., electric, telephone, cable). Often, Utilities will not begin their utility facility relocation work until after the Departments contractor has performed sufficient stake out and/or clearing and grubbing. In some cases, however, the Utility could begin relocation work prior to the Departments contractor being on-site. These opportunities should be explored and discussed with the Utilities. It is Department policy to establish (first through negotiations with the Utility, or if necessary unilaterally) time schedules for the relocation or adjustment of Utility facilities necessitated by the Departments project and to inform (i.e., serve notice) any Utility of such time schedules. Time schedules either imposed by the Department or negotiated with the Utility shall be reasonable. Authority to require a Utility to comply with time schedules is found in Section 11-102 of the General Obligations Law. Appendix 13E includes this law in its entirety and a three-page synopsis which should be referred to for a complete understanding of the laws provisions and the Departments implementation of it. It is important that the designer, RUE, and Utility acting jointly as described in Sections 13.3 and 13.4, completely identify the utility facilities to be removed, adjusted, relocated, or replaced as early as possible prior to the submission of the final Plans, Specifications, and Estimate (PS&E). As part of the Utilitys review and coordination process, the project timing and staging should be verified and constructibility issues considered and addressed. Current project schedules and contract documents should be provided to the Utility so that they may have a clear understanding of the proposed scope and work sequence. These activities should be performed so that the details of these time schedules can be presented to, and discussed with, the Utilitys representative(s) and then included in the contract documents.

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13.5.1

13-18

UTILITIES

The following four items outline a procedure which should be followed by the Designer and the RUE to establish utility facility relocation time schedules: 1. After identifying the utility facilities to be removed, relocated, or replaced, and discussing time schedules with the Utility to accomplish these actions, include as part of the Utility Work Agreement (Form HC 140), the Special Note entitled Coordination with the Utility Schedule. Refer to Appendix 13E for additional guidance and an example of the Special Note. This same Special Note covering all utility facility actions to be performed by the Utility is also to be submitted with the PS&E, thereby making it a part of the contract documents. 2. When the contract letting date is firmly established, often when the PS&E is transmitted to the DQAB, (this date should be confirmed with the Regional Planning and Program Manager), the Preletting Notice to Utility to Remove or Relocate Its Facilities should be sent to the Utility whose facilities are affected and a copy sent to the Design Quality Assurance Bureau, Design Support Services Section. The Special Note entitled Coordination with the Utility Schedule shall be attached to the Preletting Notice to Utility to Remove or Relocate Its Facilities. Appendix 13E contains directions for completing the Preletting Notice and an example notice. Note the twofold purpose of this notice in the last paragraph of Appendix 13E, 13E.3.2. 3. Immediately upon award of the contract, the Post-Award Notice Pursuant to Section 11-102 of the General Obligations Law and Part 131 of Title 17 of the New York State Code, Rules and Regulations should be sent to the Utility whose facilities are affected and a copy sent to the Design Quality Assurance Bureau, Design Support Services Section. The Special Note entitled Coordination with the Utility Schedule shall be attached to the post- award notice. Appendix 13E contains directions for completing the post-award notice and an example notice. The purpose of this notice is to put into effect the liability provisions of Section 11102 of the General Obligations Law which make a Utility responsible for damages that result from the untimely removal, relocation, or replacement of its facilities. 4. In the event the Utility either fails to accomplish its work in a timely fashion, or procrastinates so that it appears that it will not complete its work within the time schedule established in the Post-Award Notice, a letter should be sent to the Utility which is similar to that provided in Appendix 13E. The Special Note entitled Coordination with the Utility Schedule shall be attached to this follow-up letter.

13.5.1

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UTILITIES

13-19

The Regional Design Engineer is responsible to see that the requirements of this section are put into effect working jointly with designers and the RUE so that the established time schedule is: 1. Reasonable and consistent with the construction staging plan and overall project schedule. 2. Included as a Special Note in Form HC 140 Utility Work Agreement for all utility facility relocation being performed by the Utility, specifying where and when the utility facilities will be relocated. Form HC 140 shall be executed by the Utilitys representative and forwarded to DQAB, DSSS prior to submission of the PS&E to the DQAB, PS&E Section. 3. Included as a Special Note entitled Coordination with the Utility Schedule submitted with the PS&E. 4. Transmitted to the Utility in all instances when utility facilities are to be adjusted by the Utility (i.e., the owner), in accordance with the requirements of Section 11-102 of the General Obligations Law.

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13-20 13.5.2 Utility Reimbursement

UTILITIES

The authority to reimburse or not reimburse a Utility is based on provisions contained in Section 10 Subdivision 24, and Section 10 Subdivision 24-b of the Highway Law. Under current law, in general, municipally owned utility facilities are eligible for reimbursement whether on highway right of way or private property and nonmunicipally owned utility facilities (e.g., Transportation Corporations or private utilities) would only be eligible when on private right of way or for projects with Interstate categories of funding. Under Section 10 Subdivision 24, the Department has the ability to reimburse municipally owned utility facility relocations provided the relocations are required by Department construction, and under present policy in virtually all cases we do. Under Section 10 Subdivision 24-b, the Department is authorized to use construction funds for the removal, relocation, replacement, or reconstruction of privately, publicly, cooperatively owned utility facilities or facilities of a transportation corporation located on privately owned property. The Department defines private property as property not owned by any governmental (Federal, State, local) entity, agency, authority, etc. However, reimbursement to Utilities owned by Transportation Corporations or Utilities acting as Transportation Corporations (Niagara Mohawk, Con Edison, Verizon, etc.) located on state highway right of way is limited to projects with Interstate categories of funding and other limited circumstances discussed in Section 13.5.2.2 D. Utility reimbursement can be accomplished by incorporating utility facility work in the Departments construction contract or by direct payment to the Utility for work performed. If the work is to be incorporated into the Departments construction contract, a Utility Work Agreement (Form HC 140) is required (this is the only agreement required). If direct payments are to be made to the Utility, then either a Municipal Agreement, a Reimbursement Agreement, or an Agreement to Provide Compensation for the Removal, Relocation, Replacement, or Reconstruction of Utility Facilities and Appurtenances Located on Privately Owned Property is required and shall be obtained by the Region in addition to the Utility Work Agreement. In addition, a Highway Work Permit is required by the Regional Traffic and Safety Group and 17 NYCRR 131.16 to specify conditions under which the Utility will be allowed to perform work on state highway right of way. It should be noted that a Highway Work Permit is not to be substituted for a Utility Work Agreement (Form HC 140) and vice versa. Guidance regarding completing the agreements is provided in Section 13.5.2.2.

13.5.2

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UTILITIES 13.5.2.1 Estimates

13-21

Regardless of whether the utility facility work is to be performed by the Department as part of our construction contract or by the Utility (i.e., the owner of the facility eligible for reimbursement ), the utility shall prepare the following data, which shall be submitted to the Region as promptly as possible: 1. A plan and cross sections and/or profile of the present and proposed utility facilities within the affected area. The use of plans supplied by the Region is required. The Utility may prepare its own plan only if specifically authorized by and pursuant to any conditions stipulated by the Region. A detailed cost estimate covering all work to be performed. This detailed estimate must be broken down to separate temporary and permanent work. Salvage credit must also be separated in the same manner. All additions and betterments, whether desired by the owner or required by the State, must be clearly identified. The State will accept any of the following forms of estimates: a. A detailed estimate showing quantities and unit prices of materials, hours and rates of labor, hours, rates and descriptions of equipment used, together with all overhead, allowances, etc. b. The actual original cost of the portion involved, adjusted by the application of the appropriate cost index variations. c. An estimate based upon composite unit prices derived from average annual costs of the individual components involved in the replacement. 3. The forms designated in Appendix 13G should be used as appropriate for all preliminary estimates. In preparing the estimate, the owner should consider those costs and credits defined more fully in Appendix 13G. The owner may add an average percentage to cover the incidental overhead cost. The bills, however, must show all details of overhead on an actual cost basis.

2.

13.5.2.2 Agreements and Releases This section provides guidance regarding the types of agreements and releases used in connection with utility facility relocations or adjustments made necessary as a result of the Departments project. Illustrations of all agreements and releases are provided in Appendix 13G. Working copies should be obtained from the Design Division Electronic Toolbox.

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13.5.2.2

13-22

UTILITIES

A. Utility Work Agreement (Form HC 140) The purpose of the HC 140 is to fully document, prior to the projects letting, all information relating to utility facility relocation made necessary due to the Departments project, and any requested betterment work. An HC 140 shall be completed for each Utility involved (i.e., relocated, adjusted, or seeking betterment work) within the project limits. Except for betterment work, more than one utility facility may be noted on the form. A separate form shall be provided for each type of betterment work. The HC 140 is an important part of Utility Relocation Preliminary Engineering because it: States who will pay for the utility facility relocation. States who will perform the work. Indicates whether or not betterments will be provided. Makes possible federal participation in the cost of relocation.

The RUE should secure completion of the HC 140 as early as possible after receipt of Design Approval or upon completion of the Preliminary Design Stage, and transmit copies of the agreement as follows: Nonreimbursable relocations and/or adjustments. An HC 140 for nonreimbursable relocations and/or adjustments shall be approved and signed by the RUE, and one copy of the signed agreement provided to the DQAB, DSSS. Reimbursable relocations and/or adjustments. An HC 140 for reimbursable relocations and/or adjustments shall be approved and signed by the Main Office Utility Engineer. Therefore, three copies of the agreement shall be transmitted to DQAB/DSSS with two copies of the estimates and one copy of the plans (with profiles, if applicable) prepared by the Utility showing present, temporary, and proposed utility facilities within the affected area. Betterments. Subdivisions 27 and 33 of Section 10 of the State Highway Law allow utility work to be included as part of the construction contract. An HC 140 for betterment work shall be approved and signed by the Main Office Utility Engineer. Therefore, three copies of the agreement shall be transmitted to DQAB/DSSS with two copies of the estimate. Pursuant to 17 NYCRR 131.16, when the Utility will be performing work within the States right of way, a Highway Work Permit is required. The RUE should remind the utility of this requirement. The funding authorization for federally funded utility facility relocations and/or adjustments not included in the Departments construction contract (i.e., performed by the utility) will be sought by DQAB as HC 140s are submitted. The authorization consists of a Federal-Aid Project Agreement for Federal-Aid Projects. No separate funding authorization is processed by DQAB for 100% State-funded projects. 13.5.2.2 6/6/03

UTILITIES B. Municipal Agreement

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A Municipal Agreement covers reimbursement for the relocation or adjustment (by the municipality or by contract awarded by the municipality) of all municipally owned facilities due to the Departments project and is the instrument used to transfer funds to the municipality. The agreement shall be for the total estimated cost of the necessary work including permanent and temporary installations. If retired materials are left in place, that fact should be so noted. A Municipal Agreement is not required if the relocation/adjustment work will be performed as part of the Departments construction contract. Utility facility work covered by a Municipal Agreement shall not commence and no reimbursable preliminary engineering or construction costs shall be incurred prior to the date on which the agreement has been approved by the Department and the State Comptroller (if necessary). If it appears that the amount provided for in the agreement will be insufficient to properly complete the work, a Supplemental Agreement shall be prepared and processed in the same manner as the original agreement. After completion of the work, and upon agreement of final billing, the municipality is required to sign a General Release as stipulated in the agreement. A sample Municipal Agreement, Supplemental Agreement, and General Release is provided in Appendix 13G. In addition, Appendix 13G contains form CONR 335 (9/89) Appendix A Standard Clauses For All New York State Contracts. CONR 335 shall be attached to the Municipal Agreement.

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13-24 C.

UTILITIES Agreement to Provide Compensation for the Removal, Relocation, Replacement or Reconstruction of Utility Facilities and Appurtenances Located on Privately Owned Property Utility facilities located on private property that require relocation or adjustment as a result of the Departments project are eligible for reimbursement. Current Department policy is to reimburse utility facility relocation costs for all relocated facilities located on private property from construction funds, in accordance with Section 10 (24-b) of the Highway Law. The Agreement to Provide Compensation for the Removal, Relocation, Replacement or Reconstruction of Utility Facilities and Appurtenances Located on Privately Owned Property, commonly referred to as the Private Property Agreement, is the instrument used to transfer funds to the Utility. It will be processed similarly to the existing Municipal Agreement, that is after the HC140 (Utility Work Agreement) and before the relocation work has commenced. No reimbursable preliminary engineering or construction costs shall be incurred prior to the date on which the Department and the Comptroller (if necessary) approves the agreement. If it appears that the amount provided for in the agreement will be insufficient to properly complete the work, a Supplemental Agreement shall be prepared and processed in the same manner as the original agreement. After completion of the work and upon agreement of the final billing, the Utility is required to sign a General Release as stipulated in the Agreement. For many years, the practice of the Department was to reimburse relocation costs only if the Utility owned a real property interest (i.e. fee or easement pursuant to Section 30 of the Highway Law) using a Right of Way Agreement of Adjustment (Form ROW 21-6). The agreement of adjustment was prepared and executed after the bill for relocation was submitted by the Utility to the Department. The amount of the agreement was determined by the Department after a final audit of the bill. There may be limited situations where a Right of Way Agreement of Adjustment might still be applicable. The Right of Way Agreement of Adjustment shall only be used with the prior approval from the Design Quality Assurance Bureau. A sample of both agreements and the release is provided in Appendix 13G. In addition, Appendix 13G contains form CONR 335 (9/89) Appendix A Standard Clauses For All New York State Contracts. CONR 335 shall be attached to the Private Property Agreement.

13.5.2.2

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UTILITIES D. Reimbursement Agreement

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Agreements with Transportation Corporations (or those acting as Transportation Corporations) for compensation of utility facility adjustments located on state highway right of way may be provided if: The project for which such utility facilities are to be removed, relocated, replaced, or reconstructed will be federally funded and the cost of such removal, relocation, replacement, or reconstruction are a part of the approved project cost; and Such compensation shall be provided only: For the Interstate funding category of projects; and, For the other categories of projects only when specific appropriation by the State Legislature has been made for such purpose; and

For those categories for which compensation is provided, the Department shall reimburse the Corporation at a rate not less than the rate of reimbursement the State shall receive from the federal government; and Such Corporation enters into an agreement with the Commissioner of Transportation in connection with undertaking the work of removal, relocation, replacement, or reconstruction which shall specify the amount or the basis of compensation that is to be provided toward the fair and reasonable cost of such removal, relocation, replacement, or reconstruction. The Reimbursement Agreement is the instrument used to transfer funds to the Utility. Utility facility work covered by the Reimbursement Agreement shall not commence until the Agreement has been approved by the Department and the State Comptroller (if necessary). If it appears that the amount provided for in the agreement will be insufficient to properly complete the work, a Supplemental Agreement shall be prepared and processed in the same manner as the original. After completion of the work, upon agreement of final billing, the Corporation is required to sign a General Release as stipulated in the agreement. A sample of both agreements and the release is provided in Appendix 13G. In addition, Appendix 13G contains form CONR 335 (9/89) Appendix A Standard Clauses For All New York State Contracts. CONR 335 shall be attached to the Reimbursement Agreement.

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13-26 13.5.3 Municipal Resolutions

UTILITIES

This section discusses municipal utility resolutions associated with municipal utility facility relocations and betterments.

A. Municipal Utility Relocation Resolutions Municipal Utility Relocation Resolutions are required to authorize the signature of the Utility Work Agreement, grant the State of New York authority to perform the relocation or adjustment for the owner, and state the municipalitys agreement to maintain the facilities adjusted via State-let contract. Example resolutions are provided in Appendix 13G.

B. Municipal Betterment Resolutions Betterments are defined in Chapter 21, Section 21.5.3 of this manual. If a betterment is associated with a municipal utility facility relocation or is included as part of the Departments construction contract, it is necessary to obtain Resolutions authorizing such. Examples of Municipal Betterment Resolutions are illustrated in Chapter 14 of this manual.

13.5.3

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UTILITIES 13.5.4 Utility Service Connections

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13.5.4.1 NYSDOT Policy: Reestablishing Utility Service Connections Utility service connections are defined in 17 NYCRR 131.5 (i.e., utility service connection means a service connection, from a utility distribution or feeder line or main to the premises served.). The Department will pay for utility service reconnections only under the following conditions: The work must be paid for as a contract item only. The owner will not be allowed to have the work performed by others. The work is limited to In Kind replacement only. The relocation is necessary as a result of a transportation project. The property owner (and not the utility) is responsible for all costs.

13.5.4.2 Existing Electric Services Consideration should be given regarding the need to reestablish existing electric services based on the proposed scope of project work. Reestablishing electric service may be paid for by the Department, providing: It is the same type of connection that previously existed (i.e., underground before and after). The utility is allowed by Public Service Corporation tariff to pass such cost on to the customer. Note that in many cases the Utility is not allowed (or is limited) to back charge the customer. Confirmation regarding the Utilitys ability to pass the cost of reconnecting on to the affected property owner should be determined prior to committing the State to pay for a reconnect. Should there be any doubt, ask to see the agreement between the property owner and the Utility.

Item 07662.01 Reestablishing Electrical Underground Service To Customers should be used when project work necessitates the reestablishment of secondary service (normal low voltage - less than 600 volts) to customers. (Note payment for the utility facility work is made to the Contractor.) Item 15662.60 Furnishing Electrical Service should be used to reestablish high voltage (primary) service to customers (this item was originally established and is still applicable to furnish electrical service to State-owned facilities). Because it is high voltage, only the utility is allowed to do the work, and the specification is set up for the Contractor to reimburse the utility. The item should be serialized and a specific item number should be considered for each reconnection because the cost of relocating primary services will likely vary from building to building.

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UTILITIES

13.5.4.3 Release Form For Adjustment of Private Facilities Included in the States Contract The release form illustrated in Appendix 13G should be used when it is necessary for the Department, as a result of work of construction, reconstruction or maintenance of state highways, to provide for the removal, relocation, replacement, or reconstruction of privately, publicly or cooperatively owned electrical, gas, telephone, water or sewer utility connections, these facilities are located either on private property or highway right of way or both, and the adjustment of these facilities is to be included within the States contract. In addition, Appendix 13G contains example transmittal memos which may be used to transmit the release form to the property owner. The release should be processed as follows: The Regional Utilities Engineer and/or designer jointly with owner is to fill in all possible information on the form. If there is a question as to whether or not the owner shall be responsible for any of the expense of the replacement of the affected facility, this determination is to be made by the Region, with assistance from the Office of Legal Affairs in the event difficulties arise.

13.5.4.3

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UTILITIES

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13.6 STANDARD SPECIFICATIONS, SPECIAL SPECIFICATIONS, AND SPECIAL NOTES

13.6.1 Standard Specifications Section 663 provides standard specifications associated with water supply facilities. As discussed in Section 13.6.3, the Special Note entitled Owner Requirements for Water Mains and Appurtenances shall be provided when using the Section 663 pay items. Refer to Appendix 13F for information regarding water supply systems.

13.6.2 Special Specifications Item 07662.01 Reestablishing Electrical Underground Service To Customers should be used when project work necessitates relocation/adjustment to underground electric facilities to customers. Note that payment for the utility facility work is made to the Contractor. In addition, Item 15662.60 Furnishing Electrical Service is available and should be used to consistent with the guidance in Section 13.5.

13.6.3 Special Notes Special notes should be provided, as necessary, to convey special directions, provisions, or requirements peculiar to the project. Refer to Chapter 21, Section 21.4, of this manual for additional guidance regarding the use and format of special notes. The following special notes related to utility facility work shall be provided as discussed below: 1. The special note entitled Coordination with the Utility Schedule shall be provided as discussed in Section 13.4.2.2 and 13.5.1. 2. The special note entitled Owner Requirements for Water Mains and Appurtenances shall be prepared by the designer, with input from the Owner, for use in conjunction with the pay items provided in Section 663 of the Standard Specifications. The special note illustrated in Appendix 13F should be used. Working copies should be obtained from the Design Division Electronic Toolbox. When completing the note, it is not necessary or desired to cite references to any AWWA or ANSI Standards that are already provided in the Standard Specifications. The primary dimensions will be in metric, or Nominal Pipe Size (NPS) designations. English equivalents may be added in parentheses, if desired.

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UTILITIES

13.7 CONSTRUCTION STAGE - SUPERVISION, INSPECTION, AND FIELD RECORDS As previously stated, relocation or adjustment of utility facilities may be performed by Utility forces, by contract let by the Utility, or by contract included as part of the Departments project. Field work performed by the Utility shall be under their direct supervision and all records shall be kept in accordance with the established practice of the Utility consistent with Department requirements. Refer to the Contract Administration Manual, 102-09, for additional guidance regarding Utility reimbursement during the construction stage.

13.8 REFERENCES 1. Design Procedure Manual, Design Quality Assurance Bureau, New York State Department Of Transportation, State Campus, Albany, New York, 12232.

13.8

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APPENDIX 13A 17NYCRR Part 131 17 NYCRR Part 131 ACCOMMODATION OF UTILITIES WITHIN STATE HIGHWAY RIGHT-OF-WAY Statutory Authority: Highway Law 10, 30, 52, 103, 230, 249, 250; Transportation Law 14, 14b; General Obligations Law 11-102

Section 131.1 131.2 131.3 131.4 131.5 131.6 131.7 131.8 131.9 131.10 131.11 131.12 131.13 131.14 131.15 131.16 131.17 131.18 131.19 131.20 131.21 131.22 Scope of rules and regulations Authority to occupy state highway rights-of-way A review of statutory authority of certain utilities to use state highway rights-of-way Public Service Law - Article 7 Definitions Accommodation-full control of access Accommodation-partial control of access Accommodation-no control of access All highways-depth of bury - vertical and lateral clearance Lighting Existing utility facilities Exceptions to Sections 131.6-131.11 Abandoned Facilities Federal-aid highways Scenic enhancement Permits and agreements General construction procedures Electric power and communication lines Underground installations Utility facilities on structures Miscellaneous provisions Insurance, undertakings and deposits

Page 1 of 23

APPENDIX 13A 17NYCRR Part 131 131.1 Scope of rules and regulations. The rules and regulations of this part apply to utility facilities located within state highway rights-ofway and those utility facilities that affect the use and operation of state highway facilities. In addition, this Part is applicable to other highways in which Federal laws or regulations require such compliance.

131.2 Authority to occupy state highway rights-of-way. Utility facilities occupy State highway rights-of-way as provided by law, or pursuant to permission of the Department. Utility occupation, whether by legislated right or by permission is subordinate and subject to the use of the rights-of-way by the Department for highway or other uses authorized by law. It is in the public interest for utility facilities to be accommodated within the highway rightsof-way when such use and occupancy does not interfere with the free and safe flow of traffic, otherwise impair the highway or conflict with the use of the rights-of-way by the Department, including, but not limited to walkways, bikeways, and scenic areas. Utility occupation is subject to all applicable laws, regulations of other agencies with jurisdiction thereover, regulations of this Department in this Part 131 and other Parts of its regulations, and conditions imposed by the Department. This Part is applicable to all utility installations, modifications, relocations, maintenance, operations and repairs within State highway rights-of-way.

131.3 A review of statutory authority of certain utilities to use state highway rights-of-way. Utilities organized pursuant to the Transportation Corporations Law (TCL), as described in section 3, subdivisions 1, 2, or 6 of the TCL, utilities subject to Article 28 of the Executive Law and such utility corporations that are authorized pursuant to sections 4 or 5 of the TCL that furnish the same services, have certain rights based in statute to occupy certain types of state highway rightsof-way, subject to conditions prescribed by the Department, and subject to the right of the Department to use its rights-of-way for all purposes authorized to it by law. In addition to the above, utilities such as gas and electric corporations, Article 2, TCL; telegraph and telephone corporations, Article 3, TCL; and cablevision corporations, Article 28 of the Executive Law, have the legislated grant to occupy certain types of state highway rights-of-way without the payment of a use and occupancy fee. In addition to the above first sentence, utilities such as pipe line corporations, Article 7, TCL (a limited legislated grant to occupy certain types of state highway rights-of-way); water-works corporations, Article 4, TCL, district steam corporations, Article 9, TCL, sewage-works corporations, Article 10, TCL; and utility corporations that are authorized pursuant to sections 4 or 5 of the TCL that furnish the same services; that are not municipal corporations nor owned by a municipal corporation may occupy certain types of state highway rights-of-way with the payment of any use and occupancy fee imposed by the Department. Utilities owned by municipal corporations, including public authorities, while enjoying no legislated grant to occupy the rights-ofway, have traditionally been authorized the right to occupy certain types of State highway rights-ofway, subject to conditions prescribed by the Department, and to the right of the Department to use its rights-of-way for all lawful purposes. Thus, such utilities in New York State, either operating under a franchise granted by law or pursuant to law, or a political sub-division of the State, use and Page 2 of 23

APPENDIX 13A 17NYCRR Part 131 occupy the State highway rights-of-way in furtherance of their legal obligations under the Public Service Law, Article 28 of the Executive Law, or other statute to provide service to the public. Utility facilities not serving the public, but devoted to private purposes, have no legislated right to occupy the state highway rights-of-way, however the Department is authorized to permit private utilities to occupy the state highway rights-of-way and may issue a use and occupancy permit as provided in this Part.

131.4 Public Service Law - Article 7 Installations. Utilities occupying or making modifications to State owned highways in connection with construction of transmission lines pursuant to certificate of the Public Service Commission issued under Article 7 of the Public Service Law are advised the such certificate does not create a property right in the State highway necessary to enter upon such highway and modify the property. Consequently utilities must, prior to their presence on Department property, submit for review, plans of proposed construction on such lands owned by the Department.

131.5 Definitions. (a) "AASHTO" means the American Association of State Highway and Transportation Officials, located at 444 North Capitol St. N.W., Suite 225, Washington, DC 20001. AASHTO continually undertakes studies relating to highway design, use and safety and develops nationally recognized standards relied upon by FHWA and by all state highway agencies including the Department. While this Part 131 does not mandate compliance with any particular AASHTO publication or standard, (except where required by FHWA regulation) utilities are encouraged to avail themselves of information published by AASHTO as an aid in developing plans for work within the right-of-way. "Base course" means a layer(s) of specified or selected material that lies below the hard top surface of the roadway. "Carrier" means the pipe directly enclosing a transmitted commodity. "Casing" means the pipe through which the carrier pipe is placed. "Clear Zone" means the area adjacent and parallel to a section of traveled way that shall be free of nontraversable hazards and fixed objects as determined by the Department. "Deflection area" or "deflection zone" is the distance guiderail will deflect as per design. "Department" means the New York State Department of Transportation. "Federal-aid highway projects" means State administered highway projects involving Federal-aid highway funds, or otherwise subject to Federal regulation. "FHWA" means the Federal Highway Administration. Page 3 of 23

(b)

(c) (d) (e)

(f) (g) (h)

(i)

APPENDIX 13A 17NYCRR Part 131

(j)

"Highway with full control of access" (sometimes referred to as a freeway) means a highway on which there is control of access giving preference to through traffic by providing access connection only with selected public roads, and prohibiting other crossings at grade or direct private connections. "Highway" means any public way for vehicular travel, including the entire area within the rights-of-way. "Municipal utility" or "state utility" means a utility facility that is owned by a municipality within New York State, or by the State, or by a public benefit corporation established by the New York State Legislature.

(k)

(l)

(m) "MUTCD" means the New York State Manual of Uniform Traffic Control Devices (15 NYCRR Chapter V). (n) "Highway with partial control of access" means a highway on which there is control of access giving preference to through traffic to a degree that may permit access connections with selected public roads, or with some crossings at grade, or private driveways. "Nationally recognized standards" means standards accepted by a consensus of those substantially concerned with their scope and provisions. References to nationally recognized standards are not references to any single publication, but to standards nationally adhered to by those in the industry. "Pavement Structure" means the combination of subbase, base course and surface course(s) placed on a subgrade to support the traffic load and distribute it to the roadbed. "Private utility" means utility facilities not regulated by a United States or New York State government agency and, that are devoted to private use. "Public utility" means utility facilities that are regulated by a United State or New York State government agency. "Right-of-way" means real property or interest therein, used for the construction, operation, and maintenance of a highway. "Roadbed Limits" means points of intersection of the side slope and the bottom of the pavement structure where the slope is downward from the shoulder area, or the intersection of the side slope or embankment with the furthest edge of the shoulder where the slope is upward from the shoulder area, or the furthest edge of the shoulder where there is no slope. "Roadway" means the highway area between outer edges of shoulders.

(o)

(p)

(q)

(r)

(s)

(t)

(u)

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APPENDIX 13A 17NYCRR Part 131 (v) (w) "Sight distance" means the length of roadway ahead visible to the driver. "Subbase" means the layer or layers of specified or selected material of designed thickness placed on a subgrade to support a base course. "Subgrade" - existing material to remain, or embankment material which is below the pavement structure. "Utility" means the entity owning and/or operating a utility facility. "Utility facilities" means the lines, facilities and systems for producing, transmitting, or distributing communications, signal, power, electricity, light, heat, gas, oil, crude products, liquid products, water, steam, wastes, storm water not connected with highway drainage, and other similar commodities, including fire and police signal systems and street lighting systems, which directly or indirectly serve the public or any part thereof. It is not material to this definition whether the utility facilities are subject to the Public Service Commission, the Cablevision Commission, or other similar New York State governmental agency, or whether or not they serve the public or are for private use, are interstate or intrastate, or whether they are owned and operated by a government agency or by a person or other entity, corporation or other entity.

(x)

(y) (z)

(aa) "Utility service connection" means a service connection, from a utility distribution or feeder line or main to the premises served.

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APPENDIX 13A 17NYCRR Part 131 Section 131.6 Accommodation of utilities on highways with full control of access. (a) The accommodation of utilities on highways with full control of access, where applicable, shall be subject to Title 23 of the Code of Federal Regulations, Part 645, in particular, 23 CFR Sections 645.209, and 645.211. This publication may be inspected at the Department's Main Office located in Building No. 5, Room 414, W. Averill Harriman State Office Building Campus, Albany, NY 12232 and obtained through the U. S. Government Printing Office, Washington, DC. Longitudinal utility use of highways with full control of access is also subject to Part 133 of these regulations. Any permit issued by the Department may contain additional provisions to insure that the utility facility or its installation does not interfere with the free and safe flow of traffic, otherwise impair the highway or conflict with its maintenance, or conflict with applicable laws or regulations. Utilities should when feasible install line crossings widely spaced to serve consumers in general areas along either or both sides of the highway to minimize the number of crossings. In appropriate situations and due to severe economic hardship and infeasibility of the application of this section, the Department in its discretion may apply any or all of the provisions in Section 131.8 to installations on highways with full control of access. The Department reserves the right to enter into an agreement for a joint use occupation of highway right-of-way which agreement may provide for compensation to the Department.

(b)

(c)

(d)

131.7 Accommodation of utilities on highways with partial control of access. Section 131.6 shall govern the accommodation of utilities on highways with partial control of access. However, where safety and operational considerations permit, and where serious engineering and/or financial considerations so warrant, the Department in its discretion may authorize the application of any or all of the provisions in Section 131.8. Any permit issued by the Department may contain additional provisions to insure that the utility facility or its installation does not interfere with the free and safe flow of traffic, otherwise impair the highway or conflict with its maintenance or conflict with applicable laws or regulations.

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APPENDIX 13A 17NYCRR Part 131 131.8 Accommodation of utilities on highways with no control of access. Consistent with any franchised right or privilege granted by any statute, public, private, municipal and State utility facilities will be permitted to cross or occupy the rights-of-way of highways with no control of access in accordance with nationally recognized standards and the provisions of this part. In case of conflict, the provisions of this part shall govern. In situations where unusual conditions or considerations are present that jeopardize highway safety or highway operation or maintenance, the Department may impose additional construction or placement requirements reasonably necessary for such condition. In any case where a permit, fee, rental, or a use and occupancy agreement is required, such must be paid, or be in effect, prior to entry upon the rights-of-way. (a) On highways where posted speeds are greater than 35 mph; (1) All new or relocated above-ground utility elements shall be located as near as possible to the rights-of-way line, and not within the appropriate clear zone, deflection zone or area or the runout area of guiderail systems. The Department may consider exceptions where it is not reasonably possible to achieve the appropriate clear zone, upon showing that highway safety is not impaired, and the maintenance and operation of the highway are not adversely affected. The public or private utility, shall reimburse the Department for additional expenses attributable to any such exception, including, but not limited to any costs and expenses attributable to the installation of guiderail or upgrading a guiderail system. (2) All new or relocated underground facilities shall be placed adjacent to the rights-ofway line whenever reasonably possible. Each type of facility shall be properly separated. Where it is not feasible to locate underground elements near the rightsof-way line, elements may be located in the area between the ditch or slope line and rights-of-way line, or between the outer edge of shoulder or curb and rights-of-way line. However, such must always be outside the drainage system, unless the facility is crossing the right-of-way, and/or, unless unusual physical conditions are present, and the Department grants an exception.

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APPENDIX 13A 17NYCRR Part 131 (b) On highways with posted speeds of 35 mph or less: (1) All new or relocated installations of above ground utility elements shall be located in accordance with the following, in order of preference, but not within the clear zone: (i) At the rights-of-way line; (ii) Between the outer edge of the sidewalk and the rights-of-way line; (iii) A minimum of one foot six inches behind the face of curb or edge of shoulder (where appropriate). Placement within usable sidewalk width is to be avoided. In no case shall this placement reduce the open width of a sidewalk to less than 36 inches. (iv) If such one foot six inch minimum offset cannot be physically attained, a lesser appropriate distance behind the face of curb may be considered and/or authorized by the Department and, where applicable, the Federal Highway Administration. (2) All new or relocated longitudinal installations of underground elements shall be located in accordance with the following in order of preference: (i) Between the outer edge of sidewalk and the rights-of-way line; (ii) Underneath the sidewalk; (iii) Between the curb and sidewalk; (iv) Underneath the roadway pavement of a parking lane; (v) Underneath the roadway pavement, only if other locations are neither feasible nor practicable, and only if the Department after examination finds that the safety and integrity of the highway traffic operations and highway maintenance will not be jeopardized by the installation and subsequent maintenance of the utility.

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APPENDIX 13A 17NYCRR Part 131 131.9 Depth of bury and vertical and lateral clearance. (a) Depth of bury. The desirable minimum cover for underground facilities within the roadway is 60 inches below top of pavement. Outside the roadway and within the rights-of-way, the desirable minimum cover is 36 inches below finished grade. Installations at lesser depths require approval, based upon a determination that such installation is consistent with safe highway use and operation. Any utility facilities placed at less than the above or approved minimum cover, shall not be eligible for compensation or reimbursement for damage that the State, its employees or agents, may cause thereto. In addition to the standards provided below, the Department may impose additional requirements in accordance with nationally recognized standards. (b) Vertical and lateral clearances: (1) Minimum clearances for structures for aerial power and communication lines are as follows: (i) Minimum vertical clearance above all roadways must be 18 feet for (a) wires carrying less than 750 volts, (b) guys, message wires, and communication cables, (c) supply cables encased in a continuous metal sheath, and (d) insulated supply cables fastened to an effectively grounded messenger cable. (ii) Minimum vertical clearances for wires carrying more than 750 volts; (a) 750 to 15,000 volts - 20 feet (b) 15,000 to 50,000 volts - 22 feet (c) Over 50,000 volts - 22 feet plus 4/10 inch for each 1,000 volt increase.

131.10 Lighting. Lighting facilities and appurtenances when installed within the rights-of-way shall be in accordance with the following: (a) On highways with no control of access, non-breakaway lighting supports shall be located as prescribed in Section 131.8. Such supports will be considered fixed objects when determining an appropriate clear zone. Breakaway light supports may be located within the appropriate clear zone, deflection zone or area, and the runout area of guiderail systems, with Department consent and approval. Underground conduit and other related appurtenances for highway lighting shall be located both vertically and horizontally in a manner appropriate for the highway. In general, longitudinal installations directly between lighting supports are permissible, and exceptions to depth of bury prescribed by Section 131.9 may be approved. Page 9 of 23

(b)

(c)

APPENDIX 13A 17NYCRR Part 131 131.11 Existing utility facilities. The Department has the right to construct, reconstruct, repair, operate and maintain State highways and other transportation facilities as provided by law, without interference from utility facilities. Utilities shall permanently or temporarily remove, relocate, repair, modify, shield or otherwise protect their facilities, upon notice from the Department, so as to avoid interference with the rights and obligations of the Department. The Department, whether or not in conjunction with a highway construction or maintenance project, may require the relocation of utility facilities which may interfere with the free and safe flow of traffic or which are located within the clear zone or deflection zone. Utilities shall be required to provide such information and make such certifications as the Department shall require, in connection with existing facilities and the impact of the highway project on such facilities. In instances in which the Department is concerned about potential impacts of Department or contractor activity on utility facilities a certification from a licensed professional engineer on behalf of the utility, attesting to the fact that the proposed Department or contractor activity is compatible with the integrity and safety of the utility facility may be required. 131.12 Exceptions. It may not be feasible in all cases to comply with all the requirements of Sections 131.6 through 131.11. Alternative proposals with justification may be submitted to the Department for review. The Department may permit such deviation upon determination that it will not adversely affect the traveling public, maintenance or safe operation of the highway, or is in conflict with applicable law or regulation.

131.13 Abandoned Facilities. The utility shall remain responsible for all abandoned utility facilities. The Department on reasonable notice may require the removal of abandoned utility facilities and restoration of the rightof-way, when necessary to avoid interference with the operation, maintenance or reconstruction of the highway. If the utility shall fail to remove the abandoned facility within a reasonable time after such notice, the Department may cause the removal of the facility. Any expenses incurred by the Department arising from abandoned utility facilities shall be reimbursed by the utility or its successor.

131.14 Federal aid highway projects. Utilities are advised that FHWA regulations, consents and/or approvals may be applicable on Federal-aid highways and projects.

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APPENDIX 13A 17NYCRR Part 131 131.15 Scenic Enhancement. (a) The Department may preclude or require the relocation or undergrounding of new or existing utility facilities based upon environmental, scenic appearance or historical concerns; (i) in order to ensure compliance with any federal or state statute, regulation, Executive order or similar mandate, or (ii) when the Department, in its sole discretion, determines that preclusion, undergrounding, or relocation is required as a condition to the Department obtaining or utilizing any Federal or State funds, or (iii) when the Department, it its sole discretion, determines that preclusion, undergrounding or relocation is required to comply with, or participate in, any program or action under Federal or State Law. (b) Various federal and state laws, regulations, Executive Orders or other mandates contain provisions recognizing and extending protections to scenic and historical places. Included among such provisions which may relate to highway rights-of-way are the landscape and scenic enhancement provisions in Section 319 of Title 23 of the U.S. Code; "transportation enhancement activities" as defined in Section 101 of Title 23 of the U.S. Code; Parts 645 and 752 of Title 23 of the Code of Federal Regulations; Sections 20 through 22 and Article X 11-C of the Highway Law; Article 27 of the State Executive Law, Parts 570 through 586 of Title 9 of the Official Compilation of Codes, Rules and Regulations of the State of New York and Executive Order 150 relating to the Adirondack Park; Section 106 of the National Historic Preservation Act of 1966; Section 14.09 of the State Parks, Recreation and Historic Preservation Law; Sections 65, 66 91 and 94 of the Public Service Law; and related regulations in Parts 98, 99 and 608 of Title 16 of the Official Compilation of Codes, Rules and Regulations of the State of New York; Title 27 of Article 15 of the State Environmental Conservation Law, (Wild, Scenic and Recreation Rivers System); Article 49 of the State Environmental Conservation Law, (Protection of Natural and Man-Made Beauty); Article 24 of the State Environmental Conservation Law (Freshwater Wetlands); Article 42 of the State Executive Law (Waterfront Revitalization and Coastal Resources): and Federal Executive Order No. 11990 (Protection of Wetlands). The above is not a complete recitation of all applicable provisions.

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APPENDIX 13A 17NYCRR Part 131 131.16 Permits and Agreements. The following permits and agreements are issued by the Department for all utilities, including utilities owned by municipalities. (a) Highway Work Permit. All individual elements of a utility facility which are to be constructed, removed, relocated, replaced, reconstructed, maintained or adjusted, whether in conjunction with or independent of a transportation project, either within or via access from the highway rights-of-way, require submission of a "Highway Work Permit Application for Utility Work" and the issuance of a "Highway Work Permit" prior to commencement of any work. In New York City, a City highway work permit is also required. Utility Work Agreement. If the utility work is to be included as a part of a State contract, or is to be undertaken by the utility or contractor to the utility in conjunction with a State project, a "Utility Work Agreement" is also required. This Agreement is required whether or not the work is reimbursable. The Utility Work Agreement must be executed prior to the letting of the State's construction contract and any required deposits must be made to the State Comptroller in accordance with the Highway Law. This Agreement provides for accommodating the specified utility facility within the highway rights-of-way, sets forth who is financially responsible for the utility adjustment, and makes possible federal participation where applicable. The completed form is to contain Special Notes - "Coordination with Utility Schedule", and Time Schedules for Relocating Utility Facilities affected by State Transportation projects. It is important that reasonable schedules and deadlines be established for the performance of utility relocation work, pursuant to the requirements of Section 11-102 of the General Obligations Law. (c) Agreement of Reimbursement. Work reimbursable by law requires an Agreement of Reimbursement. Agreements of Reimbursement include Municipal Agreements, Interstate Agreements, Right-of-Way Agreements of Adjustment, and other agreements provided by law. Use and Occupancy Agreement. The Use and Occupancy Agreement provides the conditions for the occupation of the right-of-way and is required for all utilities, except municipally owned utilities. General Operating Agreement. A document providing for long term cooperation and coordination, and for advance payments to utilities for reimbursable work.

(b)

(d)

(e)

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APPENDIX 13A 17NYCRR Part 131 (f) Annual Work Permit. "Annual Work Permits" are available on a Region-wide basis for the maintenance of a utility's facilities. Examples of work which can be performed under this permit include pruning of trees, emergency repairs, routine maintenance and service connections. Examples of work not authorized by this permit, and requiring a Highway Work Permit include replacement of poles, or other utility facilities which are obsolete or near life expectancy. Pipeline Installation. The Highway Work Permit application for pipeline installations shall additionally specify the class of transmittant, the maximum working test or design pressures, the design standards for the carrier, as well as other project specific information. Any change in class of transmittants or the pressures of transmittants requires prior notice to and approval by the Department. Specific requirements. Highway Work Permits and Use and Occupancy Permits are subject to applicable provisions in Parts 126 through 131, and the Department and the Utility will discuss and attempt to mutually agree upon permit conditions, permit requirements and method of construction. Owners of Adjoining Property - Nothing contained herein, nor any permit issued pursuant to these regulations shall be deemed to authorize any interference with the property rights of abutting landowners, including, but not limited to rights with respect to trees and other vegetation, and with entry upon private property. Permittees shall be required to obtain such permission or authorization as may be required by law, prior to undertaking any activity which would require permission or authorizations from the owners of properties outside the rights-of-way. Site care and restoration. Permittees must conduct operations within the right-of-way in a manner so as to minimize damage to the natural condition of the landscape. Clearing operations shall be minimized in scope and conducted with care. All plant material shall be pruned consistent with current arborticultural practices. Deposit of an undertaking or bond or certified check to guarantee site restoration, in an amount determined by the Department, may be required. A restoration plan, commensurate with the scale of work shall accompany the permit application. If the Department is required to perform site restoration work, its cost will be deducted from the deposit.

(g)

(h)

(i)

(j)

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APPENDIX 13A 17NYCRR Part 131 (k) Conduct of work and final approval. The Department reserves the right to timely inspect work during construction to insure conformance with the terms of the permit and this Part. Upon completion of the work and notification by the permittee, the Department shall have the right to make a final inspection. If the work has been satisfactorily performed, the permit will be closed and any excess funds on deposit will be returned. For major installations and adjustments and for all underground installations and adjustments, asbuilt plans must be submitted. The Department may require certification by a licensed New York State Professional Engineer that the installation conforms with the terms of the permit. Permittee will be advised of deficiencies for immediate correction. Unfinished or unsatisfactory work which permittee refuses to correct will be completed by the Department, or by permittee's bonding company. Costs of such work and inspection are the responsibility of permittee. If the work of the permittee was not performed in accordance with the as-built plans or deficiencies in such work were made or damage caused to persons or entities other than the permittee by the performance of such work, and such is not readily apparent in connection with any such inspection, the permittee shall continue to be liable for the costs of such unfinished, unsatisfactory work or damage caused by such work of the permittee. The erection of a utility facility within the highway right-of-way not in accordance with a permit issued pursuant to the Part, or the failure to remove, relocate, modify, shield or adjust a utility facility within the highway right-of-way upon the direction of the Department shall constitute a violation of section 52 of the Highway Law, and shall subject the utility to such fines as provided therein.

(l)

131.17 Construction Procedures. Construction procedures shall be subject to all applicable Federal and State statutes, codes, and regulations, in particular 23 CFR Part 645, and must be consistent with nationally recognized standards. (a) General. General locations must be approved by the Department, and all work is subject to inspection at any time. All disturbed areas shall be restored as per the approved restoration plan (i.e., landscape restored; shoulders and ditches restored to proper line, grade and cross-slope; driveways restored with material in kind). All surplus earth and all debris shall be removed from the highway right-of-way. Damage to or disturbance of the highway pavement structure, drainage facilities, slopes, vegetation (planted and natural vegetation), or other appurtenances installed by the Department, caused at some future time by the placement of utilities, shall be promptly corrected by the utility.

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APPENDIX 13A 17NYCRR Part 131 (b) Maintenance of traffic. (1) Traffic flow is to be maintained at all times during the progress of work. Adequate signs, barricades, flagpersons, lights and other control devices shall be provided and shall be in accordance with the MUTCD. The Department may require the permittee to provide an approved detour for traffic, maintain and remove same, and restore the site. (2) Suitable barriers or barricades, to protect traffic and pedestrians, shall be erected and maintained around trenches, and supplemented with adequate warning lights as prescribed in the MUTCD. (3) Pavement cuts shall not be left unfilled overnight, except in extraordinary cases. When practicable, prior approval will be obtained; otherwise the Department will be notified immediately. In all cases, adequate precautions to protect traffic and pedestrians must be taken. (4) All work shall be performed in such a manner as to minimize hazards to the traveling public. Construction materials, equipment, etc. shall not be left on the shoulders or pavement after working hours, nor at any time be placed in a manner or location that will obstruct highway or railroad warning signs, highway safety, or the clear sight distance at intersections, including driveway entrances, without proper traffic control devices and measures. (5) Where work has rendered a shoulder unusable, either "no shoulder" or "low shoulder" signs in the manner specified by the MUTCD shall be erected as appropriate. Soft shoulder signs shall be erected and maintained on all backfilled trenches within the shoulder area, until shoulder restoration is completed. (6) During winter conditions, the shoulder shall be maintained free of obstructions which could interfere with snow removal and ice control. (7) Permittee shall keep the roadway free of foreign objects such as mud, rocks, timber and other items. Spillage of material from any vehicle resulting from the permittee's operation shall be removed immediately. (8) All traffic control devices shall be immediately removed or covered when not required by site conditions.

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APPENDIX 13A 17NYCRR Part 131 131.18 Electric Power and Communication Lines. (a) Electrical power and communication lines shall meet nationally recognized standards pertaining to loading and strength criteria, and shall be consistent with section 131.9 of this Part. Poles or towers. Poles and towers shall be located as far away as practicable from flammable material or structures. The poles or towers supporting the crossing span and the adjoining span on each side, preferably, shall be in a straight line. There shall be no obstruction to driveways connecting highways, roads, paths or sidewalks. Poles shall be set in line and plumbed. Guys. The details of the anchorage shall be shown on the plan. Wooden poles supporting the crossing span shall be sideguyed in both directions, if practicable, and be headguyed away from the crossing span. The next adjoining poles shall also be guyed. Braces may be used instead of guys. Special precautions shall be taken on curves and where lines cross. There shall be no guying from trees without permission from the owner. Guys are considered fixed objects subject to clear zone restrictions.

(b)

(c)

131.19 Underground Work. Underground work shall be in accordance with the nationally recognized standards, and as prescribed below. Regional Offices may impose more stringent conditions in a permit based upon prevalent weather and traffic conditions. (a) Installation. (1) Pavement crossings for underground utilities shall be accomplished by jacking, driving, drilling, boring, or tunneling. "Open cut" installation will be approved by the Department only upon a clear demonstration of necessity or other conditions which warrant such a procedure. Subsurface rock formations, excessive presence of boulders, excessive and damaging skin friction during jacking operations or insufficient rights-of-way limits to allow jacking, driving or tunneling may constitute a necessity. Where an ongoing construction contract requires pavement removal and/or construction of new pavement, the Department may consider approving an "open cut." The edge of the excavation (nearest the pavement) used for driving or jacking shall not be less than 10 feet, measured laterally from the curb, or edge of shoulder at shoulder break, whichever provides more clearance. When the highway configuration or other circumstances preclude the minimum offset, the Department may consider approving an alternate configuration and offset.

(2)

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APPENDIX 13A 17NYCRR Part 131 (b) Crossover Carrier Pipes. (1) Crossover carrier pipes shall be designed to withstand all applied and/or superimposed loadings resulting from the roadway section, traffic, potential pipe settlements, and installation procedures. Certain soil and/or site conditions may require encasement. Where a cathodic system is designed to be installed for the crossover carrier pipe, the design of any casing shall be so as not to diminish the desired level of protection. (2) Crossover carrier pipe design shall be site specific, based on field investigation. The design shall address all potential applied loads, installation methods, and loads induced during installation. The preferred installation method when operating below the water table or in soft ground shall employ an earth pressure balance or comparable system in order to prevent flowing soil or ground loss and pavement distress. (3) Design of a crossover carrier pipe section shall include consideration of, but not be limited to the following: (i) Increased pipe wall thickness for the distance within the pavement plus possible additional distance to allow for future highway widening. (ii) Adequate wrapping, coating or other treatment to protect against corrosion. (iii) Protective jacket adequate to ensure the integrity of the anti-corrosion material under installation and service conditions. (c) Longitudinal Carrier Pipes, including utility service connections, shall be installed outside the area of live load influence, unless there is no practical alternative. Temporary pavement repairs with cold patch or other acceptable bituminous patching shall be placed as soon as backfill is made. It shall be maintained flush with the pavement surface until the backfill has been properly compacted, and permanent restoration of the pavement surface completed. Existing underground facilities shall be maintained and protected by and at the expense of the permit applicant in compliance with Industrial Code Rule 53 (12 NYCRR Part 53). Sheeting. Where excavation is within the pavement area or when the depth of excavation is greater than the distance from the edge of pavement to the edge of trench, sheeting may be required.

(d)

(e)

(f)

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APPENDIX 13A 17NYCRR Part 131 (g) Backfill. Backfill material shall be of a quality and type acceptable to the Department and shall be compacted sufficiently to preclude future settlement of the excavated area. The backfill material shall be of a quality so as not to block or intercept the drainage of the subgrade. Excavations for service connections shall be backfilled within two days. (1) Within Roadway. Within the roadbed limit of a cut section or within the embankment section, the excavation shall be backfilled using approved layer thicknesses of material acceptable to the Department, to the top of the subgrade. Material shall be compacted to an acceptable density with approved equipment. Outside Roadway. The backfill for excavated areas shall be compacted to an approved density with acceptable material and upper surface maintained level with the original surface. The surface shall be treated, if required, in order to leave the surface in essentially the same condition as it was prior to the excavation. All surplus material and trash shall be removed and disposed of in a lawful and proper manner. The work area shall not be left in an unsightly condition. Trenchless Installations. All detrimental voids created during the installation of a crossover pipe, regardless of method, shall be filled. Appropriate backfill type and method of placement shall be addressed in the design of the crossing.

(2)

(3)

(h)

Pavement replacement. (1) Temporary pavement restoration shall consist of a minimum compacted thickness of three inches of asphalt concrete, and approved base material of a depth to provide for permanent pavement. In situations where heavy traffic loads are anticipated or cases where the temporary pavement is required for a protracted period, more substantial pavement and backfill design may be required. The asphalt concrete shall be maintained flush with the existing pavement until permanent restoration of the pavement. (2) Permanent pavement replacement will be specified in the permit. (3) On reinforced concrete pavements, the appropriate class of concrete shall be used. Undermined and broken slabs shall be completely replaced. Approved joint dowels and sealer, transverse ties and reinforcing steel shall be used as required. (4) Asphalt concrete pavement shall be replaced with adequately compacted base material, binder and top course material which is at least equal in quality, mix type and thickness to the pavement which was removed. Existing pavement should be saw cut to provide a clean butt joint between the old and new pavement. An emulsified asphalt tack coat shall be applied to all existing pavement edges prior to placing the new asphalt pavement courses.

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APPENDIX 13A 17NYCRR Part 131 (5) Shoulders shall be replaced with material of like quality, thickness and type as the existing shoulder. (6) Manhole frames, grates and similar appurtenances placed within the roadway shall be approved by the Department and shall be set in a workman-like manner flush with the surface of the roadway. (i) The Department will not undertake or accept financial responsibility for any remediation or similar activity with respect to the removal of hazardous wastes (6 NYCRR Part 373 and 374) and non-hazardous solid industrial wastes (6 NYCRR Part 360) which under law would not be required at the time but for the accommodation of utility facilities within the right-of-way. Such responsibility and costs shall be solely those of the utility.

131.20 Utility Facilities on Structures. (a) General. Utility facilities may be placed on bridges upon written approval of the Department. The following provisions are applicable to new or replacement installations of usual size, pressure and voltage. The Department will establish requirements for situations beyond the norm and for those not specifically covered by this subsection. All utility facilities to be installed by State let contract or owner let contract, shall be fully detailed and shown in plan, section and elevation when required. Utilities shall not be placed on an existing structure if their weight would reduce the allowable vehicle loading below the legal limit except in certain instances when approved by the Department. Location of Utility Facilities on Bridges. (1) Utility facilities shall not be placed at nor extend below the bottom of the superstructure. (2) Utility facilities shall not be located where they may be subject to vehicular impacts nor shall they be attached to railing systems which may be subject to vehicular impacts. (3) Utility facilities shall not be located where they will impair or interfere with roadway drainage. (4) Utility facilities shall not be supported from the bottom of the concrete structural slab.

(b)

(c)

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APPENDIX 13A 17NYCRR Part 131 (5) Utility facilities should be located so they do not interfere with maintenance and inspection of the structure. Aesthetics is also a consideration. Preferred locations, in decreasing desirability, are: (i) In bays between main longitudinal bridge members. (ii) In concrete sidewalks - small diameter installations only. (iii) In the voided section of closed box bridge members. (iv) On a utility ledge on the fascia. (v) Attached to the fascia, preferably on downstream side. (d) Expansion Devices - All utility installations shall either: (1) Have expansion capability located adjacent to the bridge expansion bearings so as to conform to the bridge movements. Additional expansion devices may be required at other locations if the operating temperature range of the utility or the coefficient of thermal expansion of the utility installation differs from the characteristics of the bridge; or (2) be supported on a system of rollers that allow it to expand and contract independently of the bridge. (e) Shut-Off Devices - All utility facilities carrying fluid or gaseous materials shall have a shutoff device at the supply side of the structure. If reverse flows are possible, a shut-off device is required on each end. Shut-off devices should be located as close to the structure as feasible, not over 1000 feet from the end. Exceptions may be granted for low-pressure lines upon a showing that such exception does not compromise public safety. Marking - Each utility carrier or casing shall be clearly and appropriately marked with the carrier contents. The marking may be painted on or a printed self-adhering tape may be used. Protective Structures - Fencing or other protective structures may be mandated. Water Lines. Water lines shall have welded or restrained joints or shall be cased for the length necessary to prevent water from falling on an underlying highway, railway, or other areas determined by the Department. Sewer Lines. Sewer lines shall have welded or restrained joints or shall be cased for the length necessary to prevent sewage from dropping on an underlying highway, railway, or other areas determined by the Department.

(f)

(g) (h)

(i)

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APPENDIX 13A 17NYCRR Part 131 (j) Natural Gas Lines. All plans involving natural gas lines must contain a certification by a licensed professional engineer that the work conforms to all applicable provisions of the Natural Gas Pipeline Safety Act (49 U.S.C. 1672 et. seq.) and the regulations in 49 CFR Part 192, and State Public Service Commission requirements in 16 NYCRR Part 255. Where not superseded by the above federal and state provisions; (1) All installations on structures shall be designed as if subject to the most populous "class location" requirements in 16 NYCRR Part 255. Unless otherwise approved, all welds on carrier lines shall be nondestructively tested. All lines on structures shall be electrically insulated from the structure or shall be electrically isolated from the buried portion of the line. Unless otherwise approved, lines installed in an enclosed portion of a structure, or encased in concrete, shall be sleeved in a continuous manner, with adequate venting. This provision does not apply to sections of lines where they pass through abutments or retaining walls.

(2)

(3)

(4)

(k)

Communication Lines. Communication lines shall be placed in ducts having sufficient bending strength to span between points of support.

131.21 Miscellaneous Provisions. (a) Notifications required of Permittees under Highway Work Permits: (1) Permittee shall notify the applicable Regional Office of the Department (unless otherwise specified on permit) prior to commencing work (except emergency work by Utility owners which should be reported the next working day). Work shall start within 30 days from the date of permit. Permittee must notify all gas distributors in the area 72 hours prior to any blasting. In accordance with 12 NYCRR Part 53 permittee must notify Utility owners with facilities in work area prior to starting work. Permission must be obtained before doing work affecting a Utility's facilities.

(2) (3)

(b)

All costs beyond the limits of the protective liability insurance, surety agreement, and other deposits or undertakings are the responsibility of the permittee, and the Department shall be held free of all direct and indirect costs incurred by reason of the issuance of the permit. The Department reserves the right to bill the permittee for actual expenses incurred for supervision and inspection of the permittee's project.

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APPENDIX 13A 17NYCRR Part 131 (c) Compliance. The Department reserves the right to modify and to revoke or annul a permit at any time, upon a determination within its sole discretion, and without a hearing, that continued operation under the permit will cause or continue a threat to the public or to the operation of the highway. The penalty provisions of Section 52 of Highway Law shall apply to all violations of this Part. Whenever the Department undertakes a highway project in which existing guiderail sections are to be replaced, or new guiderail sections are to be installed, the Department shall require that existing utility poles located within the deflection zone or area of such replacement guiderail sections or proposed new guiderail sections be relocated outside of such deflection zones, at the sole expense of the Utility. The deflection zone or area will be defined by the Department in accordance with current highway and guiderail design standards. The Department will consider alternative proposals from utilities, including but not limited to, the installation of different types of guiderail, upon a showing of serious economic or engineering hardship, and a showing that the alternative will not impair in any respect the highway safety, and an agreement by the Utility to reimburse the Department for any additional highway project costs. High Voltage Proximity Act. Upon request by the Department or its contractor, the Utility shall mark, relocate, deenergize or insulate electrical transmission lines as necessary to provide protection for all Department employees, and employees of the Department's contractors and subcontractors working within the Department's highway rights-of-way in accordance with 202-h of the Labor Law. Protection provided at the request of the Department, with respect to utility facilities located within the highway right-of-way shall be the sole financial responsibility of the utility. In addition, upon request, the Utility at its sole expense shall provide necessary information concerning its high voltage facilities to the Department and its contractors and subcontractors. Protection provided for the benefit or at the request of a contractor or subcontractor of the Department, or of a permittee, shall not be the financial responsibility of the utility. Utilities are responsible for compliance with Americans with Disabilities Act (42 U.S.C. Chapt. 126) with respect to work affecting sidewalks, and shall indemnify and hold harmless the State, Department, and their officers and employees for damages resulting from the failure of the utility or its contractors to so comply. Blasting. The Department may require a meeting relative to the method, manner and procedure of blasting operations with the permittee and representatives of all interested agencies prior to commencement of blasting operations.

(d)

(e)

(f)

(g)

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APPENDIX 13A 17NYCRR Part 131 (h) If at any time a suspected hazard associated with a utility facility on state highway right-ofway is brought to the attention of the utility, the utility shall inspect the facility, take appropriate action, and certify to the Department that appropriate action was taken in accordance with all applicable laws, regulations and safety codes. All work performed by a utility on state highway right-of-way shall be conducted in accordance with all applicable safety regulations.

(i)

131.22 Insurance, Undertakings and Deposits. Permittees are subject to applicable provisions of Part 127. Utilities are not eligible for participation in the Department's blanket policy. Protective public liability insurance must be provided as required by Section 127.1, unless, with respect to municipalities and public service corporations, an undertaking is furnished in a form and amount acceptable to the Department. Failure to maintain such insurance or undertaking, or insurance required by the Workman's Compensation Law immediately causes invalidation of a permit. Other than specifically provided for by law, the Department shall owe no duty or obligation to any utility with respect to utility facilities within the Department's rights-of-way.

MDM0385A

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APPENDIX 13B ACCOMMODATION PLAN ACCOMMODATION PLAN FOR LONGITUDINAL USE OF FREEWAY RIGHT-OF-WAY BY UTILITIES October, 1995 A. This Accommodation Plan is submitted pursuant to 23 CFR 645.209 and is subject to 23 CFR 645.211 and 645.215. It is applicable only to the occupation of freeways by lines, facilities or systems used for communications to the extent provided by 23 CFR 645.207(m) (hereinafter referred to as communications facilities or facilities). The longitudinal use of freeways by utilities shall not be allowed except in accordance with 17 NYCRR Part 131 and in particular 131.6, which requires a case-by-case evaluation of individual requests, and with the above federal requirements as implemented below. In no case shall any installation be allowed within the median of the freeway. In all cases, occupation of the right-of-way is subject to a use and occupancy agreement issued by the Department of Transportation under 17 NYCRR 131.16(d), containing the conditions of occupancy. B. In recognition of the fact that certain public authorities, public benefit corporations and municipalities have exclusive jurisdiction and control of certain designated freeways covered by the above-mentioned FHWA Regulations, this Accommodation Plan shall apply to those designated freeways only to the extent that such public authority or public benefit corporation has not received FHWA approval of its own Accommodation Plan. When consummated, an informational copy of any formal agreement between the Commissioner and any responsible local officials, public authorities and/or public benefit corporations concerning the applicability of this (or other) utility accommodation plan to federally-aided freeways not under the Department's jurisdiction and control shall be provided to the Federal Highway Administration. Such agreement shall insure that the utility accommodation policies of the public authorities, public benefit corporations or municipalities shall provide at least the same measure of protection as provided by Part 131 NYCRR Title 17. 1. General Policy The Department will make available the rights-of-way of freeways for the installation of communications facilities where they can be safely installed, operated, and maintained. For purposes of this plan install, operate and maintain shall include but not be limited to: construction, service, repair, replacement, inspection, etc. Parties interested in using portions of the right-of-way of a freeway for longitudinal installations of communications facilities are encouraged to make their general interest known. Expressions of interest should be directed to the Director, Real Estate Division, Building 5, State Office Campus, New York State Department of Transportation, Albany, New York 12232.

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APPENDIX 13B ACCOMMODATION PLAN 2. Application Process Where there is a reasonable expectation of interest in the installation of communications facilities within a portion of the right-of-way of a freeway, as evidenced by expressions of interest received by the Department and excess fiber optics capacity installed in the freeway right-of-way is not already available from another source, the Department will offer the right to install, operate, and maintain communications facilities within the right-of-way of specific portions of freeways through an open competitive process which involves advertisement, evaluation of proposals negotiation of an agreement with a selected proposer, and award of a contract. a. Request for Proposals The Department will advertise in the New York State Contract Reporter and in periodicals normally used for such purposes, a request for proposals for the installation, operation, and maintenance of communications facilities within the right-of-way of specified portions of freeways. Although requirements may vary between locations in some respects, each proposal will be required to include: (1) a plan and schedule for initial installation, including a traffic control plan in conformance with the Manual of Uniform Traffic Control Devices (MUTCD); (2) a plan for access to the communications facilities for operation and maintenance including traffic control plans in conformance with the MUTCD; (3) information regarding the general capacity of the facilities proposed to be provided and an analysis that shows how projected demand will be served by the proposed installed capacity; (Note: The Department is fully aware of the desire for confidentiality and will make every effort to proceed in that regard.) (4) a statement of the degree to which facilities, will be available, if at all, for the use of others and the terms and conditions of such use; and (5) the proposed payment to be made for occupancy of the freeway rights-of-way.

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APPENDIX 13B ACCOMMODATION PLAN b. Review and evaluation of proposals will be by committee in accordance with criteria specified in the Request for Proposals. The committee will be composed of members designated by the Department. The committee may consult with the Public Service Commission and the Department of Economic Development in evaluating proposals. The criteria for evaluation will include: (1) The relative degree of disruption of the right-of-way during installation as shown in plans and schedules and the extent to which such disruption will affect traffic flow and safety, landscaping, and protected resources, as well as the freeway's appearance, its structural and controlled access integrity and its ability to be maintained, widened or otherwise modified. To minimize the disruption of the right-of-way during installation, all proposals must be in accordance with the following guidelines: (a) All elements of a facility are to be installed in a designated "utility strip" to be established by the Department. The utility strip shall be approximately lO feet wide and shall generally be established along the edge of the right-of-way. The utility strip shall fall within the edge of the right-of-way and the "roadway". Roadway is defined in the Department's design manual as "that portion of the highway included between the outside edges of the graded width of shoulder." The Department may authorize installation within the roadway in exceptional situations (e.g., to provide access to a bridge which is needed to carry the facilities over natural barriers). The location of the facilities shall be such as to minimize impact on highway use, safety, maintenance, aesthetics, and future highway improvements. (b) Except as provided elsewhere in this document, facilities shall generally be installed in underground ducts or conduits and no part of the facility shall be visible from the roadway. (c) The initial installation shall include all appurtenances necessary or incidental to the operation of the facility, and shall include manholes or other duct/conduit access points at appropriate spacings to permit the pulling of additional cables into the duct system without further excavation. Any electrical service necessary to operate repeater/booster stations or similar appurtenances shall be placed in underground ducts or conduits running from crossroads or frontage roads adjacent to the required point of access or from easements the utility owns. No longitudinal electrical line installation on the freeway right-of-way will be allowed. The utility shall furnish and pay for all materials, equipment, and labor required for the proposed installation.

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APPENDIX 13B ACCOMMODATION PLAN (d) Installations of any part of a facility crossing the freeway, an interchange ramp roadway or any roadway shall be by a trenchless technology and shall be installed in a manner so as virtually to preclude any necessity for disturbing the roadways and their clear zones for installation, operation or maintenance. To the extent feasible and practicable, such crossings should be on a line generally normal to the roadway alignment. (e) At bridge crossings or where unusual terrain, environmental, or other conditions warrant, the Department may authorize installation of a portion of the facility above ground, or under conditions which differ from those specified in this Plan, if it is found that there is no practicable alternative inside or outside the right-of-way and that the installation will not impair freeway safety or the aesthetic quality of the land traversed. However, no above ground facility that constitutes a fixed object will be allowed within the clear zone, nor will installation be allowed within the median. (f) Where a facility installation must cross a major valley or river, such installation may be carried on an existing freeway structure only where the Department finds that such use of the structure will not interfere with the use or maintenance of the freeway and that denial of such use would result in significant harm to the environment. Similarly, such installation shall not be allowed to occupy vehicular tunnels without such a finding by the Department. (g) In scenic areas, the Department may authorize installations only when they do not require extensive alterations of trees or terrain features visible to the highway user or impair the aesthetic quality of the land traversed. When installation of a facility is authorized, trees within nine feet of the center line of the designated facility area within the freeway right-of-way may be removed. This area may be kept clear of trees during the period of its use and occupancy by the facility. (h) All methods of installation, as well as methods of erosion control and other details of installation of the facility, shall be subject to the review and approval of the Department. (i) Upon completion of installation, all disturbed areas shall be returned to their original topography and all steps necessary to prevent future erosion shall be taken. Backfill shall be tamped and vegetation, other than trees, replaced. The Department may specify the type and location of replacement vegetation. The Department may require the completion by the selected proposer of an approved mitigation plan for replacement of tree loss created by the construction of the facility. The survival of all replacement trees and vegetation for a period of two (2) years following planting shall be guaranteed.

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APPENDIX 13B ACCOMMODATION PLAN (j) Longitudinal occupancy of freeway rights-of-way shall be for transmission type facilities only. Service connections to adjacent properties will not be allowed from the freeway rights-of-way, including service connections at repeater/booster stations located on the freeway right-of-way. (k) The proposal shall take into account planned or likely improvements or alterations in the nature or configuration of the highway and planned or likely improvements in the nature or configuration of facilities. (l) The proposal shall also identify the direct and indirect environmental and economic effects of the loss of productive agricultural land or the productivity of any agricultural land which would result if the facility is not located within the freeway right-of-way. It shall also identify the potential impact upon freeway landscaping. (m) Safety of the driving public and protection of the State rights-of-way for future use are of primary importance in allowing longitudinal occupancy by any facility. In no case will occupancy or access be permitted that will adversely affect safety. (2) Measures to be taken to provide access to facilities from outside the right-of-way. (a) To the greatest extent possible in light of the locations designated for the facility, access for installing, operating or maintaining a facility along or across a freeway should be limited to access via nearby frontage roads (where available), adjacent public roads and streets, or trails along or near but outside of the freeway right-of-way line, connecting only to an intersecting road, from any one or all of which entry may be made to the outer portion of the right-of-way. (b) A locked gate along the freeway control-of-access fence may be utilized to meet periodic access needs. Where a gate is allowed, the use and occupancy permit shall include adequate provision against unauthorized use. (c) The Department shall impose conditions for policing and other controls as are necessary to assure the safety of highway travelers and to avoid interference with freeway use. During installation, operation and maintenance, barriers and/or signs and/or other warning devices conforming to the MUTCD shall be installed as required and approved by the Department to alert and protect highway travelers to utility activities within the right-of-way. Where signs conforming to the MUTCD are placed in the vicinity of the through roadway or clear recovery area, they shall be collapsible upon impact from a vehicle. Additional maintenance and protection provisions shall be as stated in the "general conditions" clauses of the Highway Work Permit. The Department reserves the right to require more stringent measures when it deems it necessary, as provided by Sections 126, 128, and 129, of NYCRR Title 17.

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APPENDIX 13B ACCOMMODATION PLAN (d) Lane closures on the mainline or ramps of the freeway will not generally be permitted during the installation, operation, or maintenance of facilities. (e) Access to facilities for installation, operation and maintenance within a freeway right-of-way will only be allowed in accordance with the provisions of a traffic control plan which is specified in the negotiated contract. (3) The total capacity being installed. Installation of facilities shall be of a character and capacity to preclude the programmed need for any additional disruption. Absent compelling circumstances, the Department will not permit installation of additional ducts or conduits for a minimum of 10 years from initial construction. The Department will, however, allow installation of additional cable and/or replacement of existing cable within a previously installed duct or conduit to the extent it can be accomplished without direct or indirect interference with freeway traffic. (4) The degree to which facilities, will be available, if at all, for use by others and the proposed terms and conditions of such use. There is a presumption that it is in the public interest for the competing utilities to provide service within the available corridors. In order to protect and encourage such competition and ensure minimum future intrusion into the right-of-way and to avoid disturbance to traffic by installation of multiple facilities, the proposer is required to provide a description of the facilities, which will be available to others and how others will be provided access to the facilities proposed to be installed, if any. An outline of the terms and conditions under which the proposer would make such facilities available to other services shall be provided. (5) Proposed payment or payments to be made for use and occupancy of the freeway right-of-way. The Department may charge an assessment for the privilege of permitting installation of facilities and using the freeway right-of-way.

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APPENDIX 13B ACCOMMODATION PLAN 3. Contract Award Award of a contract to a selected proposer in accordance with the general terms outlined in the proposal will usually be made within 90 days of the deadline for receipt of a complete proposal by the Department. Contract awards are subject to the negotiation of an acceptable contract and approval by Department Counsel, after consultation with the Division of the Budget, the Attorney General, and the Comptroller. a. Contract Provisions - Contracts may vary but will generally include the following provisions: (1) The Department reserves the right to restrict the use of freeway right-of-way. Such restrictions may include but not be limited to: number and types of facilities allowed; physical space occupied by the facilities or by equipment used for installation, operation and maintenance; time restrictions on installation, operation or maintenance; provisions of a traffic control plan for the maintenance and protection of traffic; system expansion, etc. The selected proposer may be required to make installations concurrent with others, so as to limit such work to one installation operation. Except where payment is required by Section 10, Subsection 24-b of the New York State Highway Law, any relocation of any fiber optics facility allowed to be on the freeway right-of-way, made necessary as a result of highway construction or maintenance operations, or changes in Department policy or design standards, shall be made promptly and at the expense of the selected proposer. The use of the freeway right-of-way shall be by a "Use and Occupancy Agreement" or other similar agreement obtained from the Department. Such Permit will require that a "Highway Work Permit" be obtained prior to actual installation. In addition an "Annual Maintenance Permit" must first be secured prior to the undertaking of any maintenance activity on the right-of-way. A Department approved traffic control plan for installation, operation and for future access is a prerequisite to issuance. Application and general conditions for such "Highway Work Permit" and "Annual Maintenance Permit" are explained in Title 17 Part 131 NYCRR. No permit to allow installation of a facility on freeway right-of-way will be issued nor will work commence until a contract is awarded to a selected proposer. Violation of the "Use and Occupancy Agreement", "Highway Work Permit", "Annual Maintenance Permit", or of any other law or rule at any time by the permit holder or its agent(s) in the installation, operation or maintenance of facilities within freeway rights-of-way shall be the basis for denial of use, imposition of fines, or physical removal of the offending party and/or the permit holder's facilities as designated in such permit, or as provided by law.

(2)

(3)

(4)

(5)

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APPENDIX 13B ACCOMMODATION PLAN (6) The permit holder shall be responsible for obtaining all necessary permits, approvals, etc. required by any Federal agency or other State agency and shall furnish to the Department copies of such permits and approvals. Being permitted to use freeway rights-of-way does not automatically mean permission to use bridges. Any proposed use of bridges must be evaluated and approved by the Department as per Section 131.20 of 17 NYCRR. Any desire to install facilities on bridges or other structures must be stated in the initial application for any permit, together with whatever installation details the Department indicates are necessary to evaluate the proposal. The selected proposer shall be required under the Highway Work Permit to provide the Department with a log of each entrance onto the freeway rights-of-way with personnel and/or equipment to include date, time, duration, location of entrance onto and exit from the rights-of-way, and the reasons for such entrance and exit, the equipment and personnel involved, etc. The selected proposer shall install along with any buried facilities a system of continuous plastic ribbon or marking tape. Such marker shall be installed at a level no less than 12 inches below the surface of the ground. The marker shall include a metal thread or other system capable of reliably emitting a signal readable by located equipment operated on the surface. The selected proposer also shall install adequate permanent buried cable markers showing the approximate horizontal and vertical location of its underground facility. Such post markers shall not interfere with highway operations or maintenance and shall be offset from the actual location of the facility where necessary to avoid such interference. The selected proposer shall also maintain records that describe the facility, its location, depth, size, and other relevant data, which shall be available upon request to the Department and to other interested agencies. Within 120 days following the completion of the work authorized under a location permit, the selected proposer shall file with the Department one complete set of "as built" plans showing the locations of all parts of the facility. The selected proposer also shall file with the Department at that time one complete set of said plans on microfiche or other form of information storage system as determined by the Department.

(7)

(8)

(9)

(10) Except where this Plan or the use and occupancy permit calls for different procedures, the selected proposers shall comply with the construction standards, location standards, and special marking techniques established by the most recent publication of 23 CFR 645. (11) The Department shall have authority to place inspectors on site to monitor and observe the selected proposer's activities, and/or to request the presence of state or local police to assure the safety of freeway travelers, at such times and for such periods as the Department deems appropriate. All costs thereof shall be borne by the selected proposer.

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APPENDIX 13B ACCOMMODATION PLAN (12) Upon issuance of a permit and from time to time during any installation, operation, or maintenance periods, the selected proposer shall pay to the Department those amounts representing all of the costs of processing the application and administering the permit, including without limitation any costs relating to the need to relocate the facility in connection with any other work performed by the Department. (13) Acceptance of a permit by the selected proposer shall constitute an agreement by the selected proposer, notwithstanding any other provision of law, to assume all liability for any loss, cost, damage, or harm arising out of or relating to the installation, operation or maintenance, of its facility and to the presence of its facility in the freeway right-of-way. Further, acceptance of a use and occupancy agreement shall constitute an agreement by the selected proposer to indemnify and hold harmless the State of New York, its officers, agents, and employees from all loss, cost, damage, and harm, including attorney's fees, arising out of or relating to the foregoing. MDM0971

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APPENDIX 13D UTILITY FACILITIES INVENTORY REPORT 13D.1 INTRODUCTION

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The Utility Facilities Inventory Report should assist the Region in preparing an inventory and status of Utility facility work required. This appendix illustrates the Utility Facilities Inventory Report and provides guidance regarding the preparation of the Initial Utility Facilities Inventory Report and the Final Utility Facilities Inventory Report. Working copies should be obtained from the Design Division Electronic Toolbox.

13D.1.1 Initial Utility Facilities Inventory Report Instructions regarding the preparation of this report are as follows: 1. Project Identification Number (P.I.N.). The 6-digit PIN should be provided. The 9-digit PIN, Federal aid project number(s), contract D number, letting date, etc., should be provided when available. 2. Project Description. The complete official name of the project should be provided. 3. Initial/Final. The box corresponding to the type of report (i.e., initial or final) should be checked. 4. Date Inventory to DQAB. The date the Utility Facilities Inventory Report is sent to DQAB, Design Support Services Section (DQAB/ DSSS) should be provided. 5. Ref. No. This is a numerical listing to be used in future communications. 1A, 2A, etc., should be used for reimbursable relocations and/or adjustments, and 1B, 2B, etc., should be used for nonreimbursable relocations and/or adjustments and betterments. 6. Name and Description of Utility/Scope and Location of Work Required. Pertinent information (e.g., NYSE&G, Aerial Distribution Lines, 11 nonreimbursable and 14 reimbursable poles and aerial wire to be relocated between sta 50 and sta 100) should be provided. 7. Present Right of Way Location. State, Municipal, Utility, Private, or other ROW. If other, explain.

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APPENDIX 13D UTILITY FACILITIES INVENTORY REPORT

8. Relocation Data. Provide relocation data as discussed below. a. Y/N. Indicate if utility facility is to be relocated (state Yes or No). b. R/NR. State if Reimbursable (R) or Nonreimbursable (NR). c. Provide best estimate of relocation cost. (Omit cents.) This cost is needed for programming purposes. Updated costs are requested whenever possible. d. WHEN?/BY? State whether relocation will be started before construction or during construction and who will do the work (i.e., the Utilitys contractor or States subcontractor). Indicate % of completion of any relocations already started. 9. Draft Design Approval Document to Utility. Provide the date (usually during Design Phase II, if applicable) the Draft Design Approval Document was sent to the Utility.

10. Design Approval Memo to Utility. Provide the date the approved design approval memo was sent to the Utility (early in Design Phase V). 11. Utility Work Agreement to DQAB/DSSS. Provide the date that the Utility Work Agreement (HC 140) was sent to DQAB/DSSS. 12. Authorization and Remarks. Provide the date and type of authorization received, and any remarks regarding relocation progress. Also indicate last 3 digits of 9-digit PIN for each relocation if applicable. Note: The information regarding items 10 through 12 may not be available when the Initial Utility Facility Inventory Report is prepared. If so, this information should be provided at the time the Final Utility Facilities Inventory Report is prepared.

13D.1.2 Final Utility Facilities Inventory Report This report is prepared by updating the Initial Utilities Facilities Inventory Report to show the status of all utility facility relocations required by the project, including which utility facility relocations have been made. For projects without utility facility relocation or adjustment, none should be entered in the column entitled Name and Description of Utility .... A Final Utility Facilities Inventory Report is to be submitted to the DQAB, DSSS at the time of final PS&E submittal for all projects (i.e., those projects with and without utility relocations or adjustments) and should be accompanied by all Utility Agreements and Resolutions not already submitted.

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HC 203 (6/03)

UTILITY FACILITIES INVENTORY REPORT 9 INITIAL/ 9 FINAL (check one) PROJECT DESCRIPTION: Date Inventory to DQAB: Date Revised Inventory to DQAB:

Sheet

of

P.I.N.(s): Federal Aid Project Number(s): Contract DNumber: Letting date:

REF. 1 NO. NAME AND DESCRIPTION OF UTILITY SCOPE AND LOCATION OF WORK REQUIRED

PRESENT ROW LOCATION

RELOCATION DATA Y/N R or 2 NR COST EST. WHEN?/BY?

DDAD TO UTILITY

DA TO UTILITY

UTILITY WORK AGREE. DQAB

AUTHORIZATION AND REMARKS

1. 2. 3. 4.

1A, 2A, etc., should be used for reimbursable relocations, and 1B, 2B, etc., should be used for nonreimbursable relocations or betterments. R - Reimburseable, NR - Nonreimbursable DDAD - Draft Design Approval Document DA - Design Approval Memo

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS 13E.1 13E.2 13E.3 General Obligations Law, Section 11-102 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-1 Special Note - Coordination With the Utility Schedule . . . . . . . . . . . . . . . . . . . . . 13E-6 Preletting Notice to Utility to Remove or Relocate Its Facilities . . . . . . . . . . . . . . . 13E-8 13E.3.1 13E.3.2 Example Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-8 Directions for Completing Notice to Utility to Remove or Relocate Its Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-12

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Post-Award Notice Pursuant to Section 11-102 of the General Obligations Law and Part 131 of Title 17 of the New York State Code, Rules and Regulations . . 13E-14 13E.4.1 13E.4.2 Example Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-14 Directions for Completing Notice Pursuant to Section 11-102 of the General Obligations Law and Part 131 of Title 17 of the New York State Code, Rules and Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-18

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Follow-up Letter to Utility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-20 13E.5.1 13E.5.2 Example Follow-up Letter to Utility . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-20 Directions for Completing Follow-up Letter to Utility . . . . . . . . . . . . . 13E-22

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Special Note - Coordination With the Utility Schedule No Anticipated Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13E-24

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APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS 13E.1 GENERAL OBLIGATIONS LAW, SECTION 11-102

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Legislation signed by the Governor and taking effect 9/1/79 (Chapter 717, Laws of 1979) included not only the amending of Highway Law Section 10, Subdivision 24-b and identification of utility and facility adjustments qualifying for reimbursement, but the addition of a new section 11-102 to the General Obligations Law which reads as follows: 11-102. Liability of utilities for compensation for damages caused by interfering with, or delaying the progress of work under state public construction contracts. 1. No utility shall interfere with, or delay the progress of work under any contract with the state department, agency, division or board, for the construction, reconstruction or improvement of any highway, street, road, railroad grade crossing, bridge, tunnel, underpass, overpass or other state contract work by failing to remove or relocate its poles, wires, cables, conduits, pipes or any other facilities or structures within the time schedule therefor by an agreement or under the terms of an agreement between the department, agency, division or board and the utility, or if no time is fixed by such an agreement or under the terms of such an agreement, within the time fixed by the department, agency, division or board, by notice served upon such utility by such state department, agency, division or board. 2. If such notice is utilized, it shall describe the public improvement and the geographical location thereof, the date of commencement and the date of completion, if any, provided for by the contract, the contractors name and address, the manner in which and the extent to which the facilities and structures of the utility obstruct or prevent the contractor from progressing or performing the work comprehended by the contract, and shall fix the date or time within such utility is required to remove or relocate its facilities or structures, specifying the same, in order to provide the contractor with the site when required by the contractor for progressing or performing the work pursuant to such state contract. Such notice shall be in writing and shall be served upon such utility either personally or by certified mail at its principal office or place of business in the county where the work under such contract is to be performed, or if there be no such principal office or place of business in such county, at the nearest principal office or place of business of such utility, outside of such county.

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APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS In the event the utility to whom the aforesaid notice was directed is for any reason unable, within the prescribed period, to remove or relocate said facilities or structures specified in the notice, said utility shall immediately advise said department, agency, division or board and the contractor, in writing, of such inability, and in the same communication so advise said department, agency, division or board, and the contractor of the approximate date that such removal or relocation of facilities or structures could be effected; and shall further state the basis for the inability of said utility to remove or relocate said facilities or structures within the time specified by the notice served thereon by said department, agency, division or board. The department, agency, division or board, after examining and considering the utilitys basis for establishing a different schedule for such removal or relocation, shall, if such basis is reasonable, establish and notify the utility of a revised schedule for completing such removal or relocation. 3. In cases where the utility has been reimbursed for removal, relocation, replacement or reconstruction pursuant to Section 10, Subdivision 24-b of the Highway Law, a utility failing to complete the removal or relocation of such structures or facilities within a period of thirty days beyond the time fixed therefor by the latest time schedule established in accordance with this section, shall be liable and responsible to any such contractor for any damages, direct or consequential, sustained by any such contractor as the result thereof, in an action to be brought by such contractor against such utility in a court of competent jurisdiction within two years from the time fixed for the removal or relocation of such structures or facilities. If an action is commenced against a utility, as heretofore provided, said utility may interpose in its answer in such action any defense available under the provisions of civil practice law and rules. The unreasonableness of the time schedule imposed by the state department, agency, division or board shall be an absolute defense by the utility to any such action by the contractor. If, in any such action, the utility is found to owe nothing to the contractor, or if an offer of settlement is made by the utility which is not accepted by the contractor and the resulting verdict against the utility is less than the offer of settlement, then in either such event the total cost of the utility of litigation, including reasonable attorneys fees, shall be paid to the utility by the contractor.

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APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS A Synopsis of Section 11-102 of the General Obligations Law is as follows: Section 11-102 of the General Obligations Law says that: IF

13E-3

the Department provides NOTICE to a Utility that a Department project requires the removal or relocation of the Utilitys facilities, and the NOTICE provides a reasonable date by which time the removal or relocation must be accomplished,

IF

THEN the Utility will be held liable to the State for damages caused by unreasonable delays in removing or relocating its facilities. Say, for example, that a Utility is notified of a reasonable date by which it must relocate its facilities, and it neglects to do so in accordance with that date. Assume, also, that the Utilitys failure to meet the deadline in a timely fashion delays the contractor and the contractor incurs additional costs related to that delay. If the Department must, as a result, pay the contractor more than the contract price, the Department can seek reimbursement from the Utility. Another example would be where the Utility fails to remove or relocate its facilities altogether. If, as a result, the Federal government will not accept the project and withholds final payment, the Department can seek reimbursement from the Utility for damages. To trigger Section 11-102, the NOTICE to the Utility must be in writing and either personally served upon the Utility or sent by certified mail. Should the Region, for whatever reason, prefer to hand deliver the NOTICE initially, it is advisable to follow it up by sending a copy by certified mail. Whether the NOTICE is hand delivered or mailed, it should be directed to the Utilitys principal office or place of business in the county where the Departments project is located. If the project spans more than one county, more than one NOTICE must be sent out. If the Utility does not have any office in the county of the project, the NOTICE should be sent to the Utilitys principal office or place of business nearest the project. The NOTICE must: 1. Describe the public improvement. 2. Describe the geographical location of the public improvement. 3. Provide the date of commencement and date of completion, if any provided by the contract. 4 Provide the contractors name and address.

5. Identify the structures or facilities that must be removed or relocated.

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APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

6. Specify the manner in which and the extent to which the facilities and structures of the Utility: a. Obstruct or prevent the contractor from progressing, or performing the work comprehended by the contract, or b. Conflict with the clear roadside policy of the State (provided in Chapter 10 of the Highway Design Manual), or c. Do not conform with any other State or Federal policy, rule, or regulation, or d. Will interfere with the safe operation of the highway or the safety of the traveling public either during or after the Departments project. 7. Fix the date or time within which the Utility is required to remove or relocate its facilities or structures. The time set forth in the NOTICE as the period within which the removal or relocation must take place should be established mutually by the Department and the Utility. If the Department and Utility are unable to reach an agreement, the Department shall unilaterally establish a reasonable deadline date. Once the Utility gets the NOTICE, it may determine that it is unable to remove or relocate the facilities specified in the NOTICE within the prescribed period. For example, the occurrence of an emergency may require the Utility to devote all available manpower to the correction of the emergency. When this happens, the Utility must immediately advise the Department and the Departments contractor, in writing, of its inability to act in accordance with the NOTICE, and at the same time must provide an explanation for its inability and advise the Department and contractor of the date by which it feels that the removal or relocation can be accomplished. This correspondence from the Utility to the Department and contractor does not, in and of itself, postpone the deadline date. The only entity that may revise the schedule is this Department. If, after reviewing the Utilitys correspondence the Department determines that the Utilitys basis for requesting a different schedule is reasonable, then the Department shall establish and notify the Utility of the revised schedule for completing such removal and relocation. The revised deadline date does not necessarily have to be the same date that the Utility recommended, but it should be a reasonable date under the circumstances. If the Department determines that the Utilitys basis for requesting a different schedule is unreasonable, then the Department should notify the Utility of that determination.

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APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

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It is very important that the deadline date established by the Department be reasonable. If the date set is not reasonable, a court will not hold the Utility liable for damages incurred as a result of the delay in its removal or relocation of the facilities or structures. Hence, the Department might be put in the unpleasant predicament of being held liable to the contractor for damages incurred by the contractor, but not be entitled to reimbursement from the Utility. In addition, Section 11-102 enables the Departments contractor to bring a direct suit against a Utility, in certain instances, to recover damages caused by the Utilitys untimely removal or relocation of its facilities. However, the only time that the contractor can directly sue a Utility pursuant to Section 11-102 is when the Utility has been reimbursed by this Department, pursuant to Section 10, Subdivision 24-b, for relocating or removing its facilities. In those situations, the contractor may still sue the State.

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APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

13E.2 SPECIAL NOTE - Coordination with the Utility Schedule EXAMPLE SPECIAL NOTE COORDINATION WITH THE UTILITY SCHEDULE The Contractor must coordinate his schedule of operations with the various Utility owners involved with the project and shall verify utility information found in the contract documents. Utility facility adjustments and/or relocations required by the various Utility owners in connection with this project include: Mohawk-Hudson Electric and Gas Corporation 115KV Aerial Transmission line relocation is shown on the plans. The existing towers and lines are in conflict with the proposed work. Tower relocations are presently underway and are scheduled to be completed within 6 months after contract award. Aerial Electric Distribution Line relocation is shown on the plans and consists of poles in conflict with the proposed work. Pole relocations are scheduled to be completed within 3 months after contract award. 6 NPS Dia. HP Gas Main relocation is shown on the plans. The existing gas main is to be abandoned and purged before the Contractor proceeds with demolition of the structure; in accordance with company policy, the gas main will not be removed from service between 1 October and 1 May. Gas main relocation is scheduled to be completed within four months after contract award. Verizon Utility Pole relocations are shown on the plans. They consist of poles in conflict with the proposed work. Pole relocations are scheduled to be completed within 10 weeks after written notification by the contractor that clearing and grubbing has been completed, control lines have been laid out, and access to all new pole sites is provided. Buried Phone Cable is shown on the plans and will be in conflict with the proposed work. Replacement of buried cable is scheduled to begin 4 months after award, or upon completion of clearing and grubbing by the Contractor (whichever occurs later) and is scheduled to be completed within 2 months thereafter. Time Warner Cable Aerial cable line relocation will be combined with Verizons work and schedule to be concurrent.

13E.2

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APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS EXAMPLE SPECIAL NOTE COORDINATION WITH THE UTILITY SCHEDULE (continued)

13E-7

Texas Eastern Gas Corporation This 24" HP Gas Transmission Line relocation is shown on the plans and will be installed after the Contractor excavates the roadway to subgrade at the gas line crossing. This installation will require 2 months and can begin no sooner than 8 months after the award of the contract because of time constraints on the Utility. Tie-in of the replacement line with the existing line will require two weeks duration and cannot take place between 1 October and 1 May. Therefore, this relocation is scheduled to be completed no earlier than 21 May 20 . The Contractor is to coordinate directly with the Utility owner before crossing this gas line with any equipment prior to its relocation. Fairfield County Water Authority The 16" and 20" Water Lines relocations are shown on the plans. Relocation of the 16" line is presently underway with Authority forces and is scheduled to be completed within 3 months after award. Relocation of the 20" line is scheduled to be let to contract by the owner coincidentally with the award of the State contract scheduled to be completed within 4 months. In addition to the above itemized revisions, other relocations may become necessary during the construction phase as a result of more precise location data or other changes that might develop. Theses relocations are to be performed by the Utility owners with coordination by the Contractor.

6/6/03

13E.2

13E-8

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

13E.3 PRELETTING NOTICE TO UTILITY TO REMOVE OR RELOCATE ITS FACILITIES

13E.3.1 Example Notice The following pages provide an illustration of the preletting notice to a utility to remove or relocate its facilities. Directions for completing the pre-letting notice are provided in Section 13D.3.2.

NEW YORK STATE DEPARTMENT OF TRANSPORTATION REGIONAL OFFICE # PRELETTING NOTICE TO UTILITY TO REMOVE OR RELOCATE ITS FACILITIES

Date: PROJECT: Project Identification No.: Federal Aid Project No.: County:

Name and Address of Utility

The New York State Department of Transportation hereby advises you that your facilities or structures, as specified in Appendix A (attached), will have to be removed or relocated within days from the date of the award of the contract for the subject project to provide the Departments contractor with a clear site for progressing or performing work comprehended by the contract and /or to conform to State or Federal policy, rule or regulation concerning the safe operation of the highway and the safety of the traveling public. The contract is expected to be let on (provide date), and will be awarded within forty-five (45) days of that date.

13E.3.1

6/6/03

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS PRELETTING NOTICE

13E-9

Once the contract has been awarded, the New York State Department of Transportation will notify you of the exact date by which your facilities or structures must be removed or relocated, as well as the name and address of the contractor to whom the award was made.

Description of Public Improvement:

Geographical Location of Public Improvement:

Manner in which and extent to which the facilities and structures identified in Appendix A (attached) conflict with construction or the clear roadside policy of the State, or in any other way interfere with the safe operation of the highway or the safety of the traveling public (describe):

In the event that you are unable, within the prescribed period, to remove and relocate the facilities or structures identified in Appendix A (attached), you must immediately advise the New York State Department of Transportation, in writing, of such inability and, in the same communication, you must provide the approximate date that such removal or relocation of facilities or structures could be effected, and the basis for your inability to remove or relocate the identified facilities or structures within the time specified above. The Department will examine and consider your basis for establishing a different schedule for the removal or relocation and, if the basis is reasonable, will establish and notify you in writing of a revised schedule for completing the removal or relocation. However, until such time as you receive notification from the Department advising you that the schedule is revised, the above-provided schedule is in effect.

6/6/03

13E.3.1

13E-10

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS PRELETTING NOTICE

If your failure to remove or relocate your facilities or structures within the latest time schedule established by the Department delays the completion of the project by interfering with the contractors timely progress under the subject contract or preventing final approval by the Federal Highway Administration, you shall be liable under Section 11-102 of the General Obligations Law, for any damages, direct or consequential, resulting therefrom in addition to any liability that may be imposed under common law and the laws of the State of New York. Furthermore, if you are eligible for reimbursement pursuant to subdivision 24-b of Section 10 of the Highway Law for the removal or relocation of your facilities in connection with this project, the contractor may commence a direct action against you, in accordance with the time limitations established in Section 11-102 for damages incurred as a result of the delay. Please refer any inquiries, and direct any written correspondence on this matter to (provide name of contact) at: (Provide address and telephone number of Regional Contact)

Very truly yours

Director, Region# New York State Department of Transportation

13E.3.1

6/6/03

13E-11 APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS PRELETTING NOTICE APPENDIX A Identification of facilities and structures that must be removed or relocated:

6/6/03

13E.3.1

13E-12

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

13E.3.2 Directions For Completing Notice to Utility to Remove or Relocate Its Facilities The following directions are provided, in a question and answer format, to assist in completing the Notice to Utility to Remove or Relocate Its Facilities. 1. When should the Notice be used? The Notice should be used whenever the Department has determined in accordance with this chapter that it is necessary for a Utility to remove, relocate or replace its facilities in connection with a Department project. 2. When is the Notice to be sent? The Notice should be sent to the Utility as soon as you can determine the date on which the contract is expected to be let. It cannot be any earlier since you must provide this date in the Notice. Once you know the letting date, the sooner you send out the Notice, the better. 3. To whom is the Notice to be sent? The Notice is to be sent to any Utility, public or private, whose facilities or structures (either on or off the right of way) must be removed, relocated, or replaced, for whatever reason, in connection with a Department project. The removal, relocation, or replacement of the utility facilities may, for example, be necessary to: a. Provide the Departments contractor with site to perform work under a Department contract. b. Eliminate a conflict, that would otherwise exist upon completion of a Department project, with the clear roadside policy of the State (provided in Chapter 10 of this manual). c. Prevent any other interference with the safe operation of the highway or the safety of the traveling public either during or after the Departments project. 4. How is the Notice to be sent? The Notice should be sent by certified mail and the return receipt should be kept in the project files. In the event that there is litigation regarding this matter, the receipt will serve as proof that the Utility did actually receive the Notice.

13E.3.2

6/6/03

13E-13 APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS 5. Where should the Notice be sent? The Notice should be sent to the Utility at its principal office or place of business in the county where the work under the subject contract is to be performed. If there is no such principal office or place of business in that county, the Notice should be sent to the nearest principal office or place of business of the Utility outside the county. Note: If the work is to be performed in more than one county, more than one Notice may have to be sent. 6. How is the date or time within which the Utility must remove or relocate its facility to be fixed? If the Department has a General Operating Agreement with the Utility, the time schedule is to be established in accordance with the procedure provided therein. To date, the Department has such an agreement with only three companies: NYS Electric & Gas Corp., Niagara Mohawk, and Verizon. If there is no General Operating Agreement, the Department may fix the schedule unilaterally, but it would be preferable for the Region to establish a deadline after first consulting with the Utility. Note: The purpose of the Notice is twofold. First, it serves to put the Utility on notice of the time within which it will be expected to adjust its facilities. Second, it documents the Departments efforts to seek a timely removal, relocation, or replacement of the utility facilities. Consequently, it should be sent out whether or not the Department and the Utility are in full agreement about whether the relocation is necessary.

6/6/03

13E.3.2

13E-14

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS POST-AWARD NOTICE PURSUANT TO SECTION 11-102 OF THE GENERAL OBLIGATIONS LAW AND PART 131 OF TITLE 17 OF THE NEW YORK STATE CODE, RULES AND REGULATIONS

13E.4

13E.4.1 Example Notice The following pages provide an illustration of the post-award notice to utility to remove or relocate its facilities. Directions for completing the post-award notice are provided in Section 13E.4.2.

NEW YORK STATE DEPARTMENT OF TRANSPORTATION REGIONAL OFFICE # POST AWARD NOTICE PURSUANT TO SECTION 11-102 OF THE GENERAL OBLIGATIONS LAW AND PART 131 OF TITLE 17 OF THE NEW YORK STATE CODE, RULES AND REGULATIONS

Date: PROJECT: Project Identification No.: Federal Aid Project No.: County:

Name and Address of Utility

Pursuant to Section 11-102 of the General Obligations Law and Part 131 of Title 17 of the New York State Code, Rules and Regulations, the New York State Department of Transportation hereby formally advises you that your facilities or structures, as specified in Appendix A (attached), must be removed or relocated by (provide date), to provide the Departments contractor with a clear site for progressing or performing work comprehended by the contract and /or to conform to State or Federal policy, rule or regulation concerning the safe operation of the highway and the safety of the traveling public.

13E.4.1

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13E-15 APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS NOTICE

Description of Public Improvement:

Geographical Location of Public Improvement:

Date of commencement and date of completion of the subject contract: The Contractor has been directed to commence work by (provide date). The date of completion of the work, as provided in the subject contract, is (provide date).

Contractors name and address (provide):

Manner in which and extent to which the facilities and structures identified in Appendix A (attached) conflict with construction or the clear roadside policy of the State, or in any other way interfere with the safe operation of the highway or the safety of the traveling public (describe):

In the event that you are unable, within the prescribed period, to remove and relocate the facilities or structures identified in Appendix A (attached), you must immediately advise both the New York State Department of Transportation, in writing, of such inability and, in the same communication, you must provide the approximate date that such removal or relocation of facilities or structures could be effected, and the basis for your inability to remove or relocate the identified facilities or structures within the time specified above. The Department will examine and consider your basis for establishing a different schedule for the removal or relocation and, if the basis is reasonable, will establish and notify you in writing of a revised schedule for completing the removal or relocation. However, until such time as you receive notification from the Department advising you that the schedule is revised, the above-provided schedule is in effect.

6/6/03

13E.4.1

13E-16

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS NOTICE

If your failure to remove or relocate your facilities or structures within the latest time schedule established by the Department delays the completion of the project by interfering with the contractors timely progress under the subject contract or preventing final approval by the Federal Highway Administration, you shall be liable under Section 11-102 of the General Obligations Law, for any damages, direct or consequential, resulting therefrom in addition to any liability that may be imposed under common law and the laws of the State of New York. Furthermore, if you are eligible for reimbursement pursuant to subdivision 24-b of Section 10 of the Highway Law for the removal or relocation of your facilities in connection with this project, the contractor may commence a direct action against you, in accordance with the time limitations established in Section 11-102 for damages incurred as a result of the delay. Please refer any inquiries, and direct any written correspondence on this matter to (provide name of contact) at: (Provide address and telephone number of Regional Contact)

Very truly yours

Director, Region# New York State Department of Transportation

13E.4.1

6/6/03

13E-17 APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS NOTICE APPENDIX A Identification of facilities and structures that must be removed or relocated:

6/6/03

13E.4.1

13E-18

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS Directions For Completing Notice Pursuant to Section 11-102 of the General Obligations Law and Part 131 of Title 17 of the New York State Code, Rules and Regulations

13E.4.2

The following directions are provided, in a question and answer format, to assist in completing the subject notice. 1. When should the Notice be used? The Notice should be used whenever the Department has determined in accordance with this chapter that it is necessary for a Utility to remove, relocate or replace its facilities in connection with a Department project. 2. When is the Notice to be sent? The Notice should be sent to the Utility immediately upon award of the contract. It cannot be any earlier since you must include, among other things, the contractors name and address. However, the sooner that you can send it after the award, the better. 3. To whom is the Notice to be sent? The Notice is to be sent to any Utility, public or private, whose facilities or structures (either on or off the right of way) must be removed, relocated or replaced, for whatever reason, in connection with a Department project. The removal, relocation, or replacement of the utility facilities may, for example, be necessary to: a. Provide the Departments contractor with site to perform work under a Department contract. b. Eliminate a conflict, that would otherwise exist upon completion of a Department project, with the clear roadside policy of the State (provided in Chapter 10 of this manual). c. Prevent any other interference with the safe operation of the highway or the safety of the traveling public either during or after the Departments project. 4. How is the Notice to be sent? The Notice should be sent by certified mail and the return receipt should be kept in the project files. In the event that there is litigation regarding this matter, the receipt will serve as proof that the Utility did actually receive the Notice.

13E.4.2

6/6/03

13E-19 APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS 5. Where should the Notice be sent? The Notice should be sent to the Utility at its principal office or place of business in the county where the work under the subject contract is to be performed. If there is no such principal office or place of business in that county, the Notice should be sent to the nearest principal office or place of business of the Utility outside the county. Note: If the work is to be performed in more than one county, more than one Notice may have to be sent. 6. How is the date or time within which the Utility must remove or relocate its facility to be fixed? If the Department has a General Operating Agreement with the Utility, the time schedule is to be established in accordance with the procedure provided therein. To date, the Department has such an agreement with only three companies: NYS Electric & Gas Corp., Niagara Mohawk Power Corp., and the New York Telephone Company. If there is no General Operating Agreement, the Department may fix the schedule unilaterally, but it would be preferable for the Region to establish a deadline after first consulting with the Utility. In any case, the date provided in the Notice should be consistent with any date that may have been stipulated in the HC 140. Note: The purpose of the Notice is to trigger the liability provisions of 11-102 of the General Obligations Law which make a Utility responsible for damages that result from the untimely removal, relocation, or replacement of its facilities. It should, by no means, be your first transmittal to the affected Utility. By the time the Notice goes out, you should have already had any necessary meetings with the Utility, ironed out any difficulties or differences of opinion, and advised the Utility of the date by which its facilities must be relocated. The Notice is simply a final and formal step in the process. Note, also, that this Notice is to be sent out whether or not the Department and the Utility are in full agreement about whether the relocation is necessary.

6/6/03

13E.4.2

13E-20

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

13E.5 FOLLOW-UP LETTER TO UTILITY

13E.5.1 Example Follow-up Letter to Utility The following pages provide an illustration of a letter to a Utility which is to be used when the Department has reason to anticipate that the Utility will not meet the deadline date provided in the Post-Award Notice. The sample letter can be modified for use where the deadline date has actually passed. Directions for completing the letter are provided in Section 13D.5.2.

NEW YORK STATE DEPARTMENT OF TRANSPORTATION REGIONAL OFFICE #

Date: Project: Project Identification No.: Contract Number: FA Project Number: County:

(Name and address of Utility) In accordance with Section 11-102 of the General Obligations Law, the New York State Department of Transportation advised you, by Notice dated , 20 , that facilities or structures specified in Appendix A therein would have to be removed or relocated by , 20, to provide the Departments contractor with a clear site for progressing or performing work under the subject contract and/or to conform to State or Federal Policy, rule or regulation concerning the safe operation of the highway and the safety of the traveling public.

13E.5.1

6/6/03

13E-21 APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS As of the date of this letter, the removal or relocation of the facilities or structure identified in the enclosed Appendix A has not commenced (use original Appendix A and simply cross out those facilities that have already been relocated). Furthermore, we have reason to believe (state as applicable - based on the latest possible starting date provided by you, or based on statements made by date provided by you, or based on statements made by in conversation of , 20 with , or based on statements made by in letter dated , 20 , directed to) that the removal or relocation of the facilities or structures identified herein (state will not, or can no longer) be accomplished in a timely fashion. As you have not provided us (state either - with any basis, or with a reasonable basis) for establishing a later schedule for the necessary removal or relocation, you will be held liable for damages, direct and consequential, resulting from your inaction. By copy of this letter we are requesting our Office of Legal Affairs to take appropriate action, including seek a court order if necessary, directing you to (state either - remove, or relocate) your facilities or structures forthwith. Any written correspondence on this matter should be directed to: Assistant Commissioner Office of Legal Affairs State Campus, Bldg. 5, Rm. 509 Albany, New York 12208 Telephone: 518-457-2411 with a copy to my attention. Sincerely,

Regional Director cc: Assistant Counsel

6/6/03

13E.5.1

13E-22

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

13E.5.2 Directions For Completing Follow-up Letter to Utility The following directions are provided, in a question and answer format, to assist in completing the subject notice. 1. When should the Letter be used? This Letter should be used whenever the Department has determined that it appears the Utility has failed or does not intend to take the necessary action so that utility facilities will be removed or relocated within the time schedule established for that action as included in the Post-Award Notice previously sent to the Utility. 2. When is the Letter to be sent? The Letter should be sent to the Utility immediately after the starting date for removing or relocating its utility facilities passes without work having begun, or at such time as the Department has good reason to suspect that the Utility does not intend to act in a timely fashion. 4. How is the Letter to be sent? The Letter should be sent by certified mail and the return receipt should be kept in the project files. In the event that there is litigation regarding this matter, the receipt will serve as proof that the Utility did actually receive the Letter. 5. Where should the Letter be sent? The Letter should be sent to the Utility at its principal office or place of business in the county where the work under the subject contract is to be performed. If there is no such principal office or place of business in that county, the Letter should be sent to the nearest principal office or place of business of the Utility outside the county. Note: If the work is to be performed in more than one county, more than one Letter may have to be sent.

13E.5.2

6/6/03

13E-23 APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS 6. How is the issuance of the Letter triggered? The Regional Utilities Engineer (RUE), through appropriate and timely input from the Engineer-In-Charge, should be responsible for monitoring the action (or lack of action) being taken by the Utility to comply with the Departments Time Schedule Notice. The RUE should be familiar with the minimum period of time it will take the Utility to accomplish the necessary work (e.g., information to be provided by the Utility), and with that information in hand, the Department will be able to establish the latest date by which the Utility could feasibly begin to proceed with the work and still finish it according to schedule. Note that the responsibility of day-to-day schedule coordination continues to rest with the Utility and Contractor. At the time the Region sends the Letter to the Utility, the Region should immediately forward to the Office of Legal Affairs: a. b. c. Copies of all correspondence with the Utility. The Preletting Notice. A right of way map showing the location of the utility facilities, the existing highway boundary, and right of way limits. If the project involves acquisition of Utility property rights, these limits must be shown. The subject follow-up Letter.

d.

The Office of Legal Affairs would then be in a position to request the Attorney General to take appropriate action through the courts.

6/6/03

13E.5.2

13E-24

APPENDIX 13E TIME SCHEDULES FOR RELOCATING UTILITY FACILITIES AFFECTED BY DEPARTMENT CONSTRUCTION CONTRACTS

13E.6 SPECIAL NOTE - Coordination With the Utility Schedule No Anticipated Involvement

EXAMPLE SPECIAL NOTE COORDINATION WITH THE UTILITY SCHEDULE - NO ANTICIPATED INVOLVEMENT P.I.N. Utility facility adjustments and/or relocations are not anticipated for this project. If the Department determines that utility facility adjustments and/or relocations will be necessary, the provisions of Section 102-09 Other Contracts, Coordination and Access will apply. Any such adjustments and/or relocations will be performed by the Utility owners and/or the state contractor upon direction by the State Engineer-In-Charge. Suitable time frames for these additions shall be coordinated between the State, the Contractor, and the affected Utility. The contractor is governed by and must adhere to the provisions of 16 NYCRR Part 753 (Protection of Underground Facilities).

13E.6

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HIGHWAY DESIGN MANUAL

Chapter 14.00 Resolutions and Agreements (Limited Revisions)

Revision 41

June 6, 2003

CHANGES TO CHAPTER 14
Pages 14-98 through 14-101 Changes Eliminated Example 14-28 Preliminary Utility Work Agreement. Guidance is provided in Chapter 13 issued with Revision 41 dated 6/6/03.

6/6/03

Revised January 1978 14.02 INDEX TO EXAMPLES Example No. 14-1 14-2 14-3 14-4 14-5 14-6a, 6b 14-7a, 7b, 7c 14-8 14-9 14-10 14-11a, 11b 14-12 14-13 14-14a, 14b 14-15 14-16 14-17a, 17b 14-18 Title Certificate of Cooperation Encroachment Agreement Resolution to Maintain Frontage, Marginal, and Service Roads Deviation Resolution Resolution Concerning Maintaining Temporary Detour Over Local Streets or Roads Maintaining Sidewalk or Other Appurtenances by Municipality Resolution for Transfer of State Maintenance to Municipality Resolution to Amend County Road Map Resolution by County Approving Controlled Access for County Roads Resolution for County to Acquire R.O.W. Agreement and Resolution to Provide for an Approved Utilities Accommodations Policy and to Maintain Certain Highways by a County Resolution to Construct, Improve, Amend State Highway System Resolution for City Approval of Arterial Location Plans Agreement and Resolution for Maintenance and Repair of State Arterial Highways Resolution for State-Controlled Access Resolution for Sale of Lands Acquired by County for R.O.W. for State Highways Resolution for Approval of Plans and Specifications of Arterial thru Cities Resolution and Agreement by Municipality to Maintain Highways Where Federal Funds are Involved

14-3

Revised June 2003 Example No. 14-19a, 19b 14-20 14-21a, 21b 14-22a, 22b 14-23 14-24 14-25a - 25d 14-26a - 26f 14-27a, 27b
/

Title Resolution and Agreement for a Municipality to Maintain Lighting on Highways and Bridges Resolution for Municipality or Political Subdivisions Requesting the State to do Various Things Within the State R.O.W. Resolutions to Share Costs - Betterment Resolution and Petition for Discontinuance of Town Maintenance Resolution for Closing a County Road Resolution for Relocating Intersecting Highway Resolutions for Traffic Control Report Resolutions and Agreement for Municipal Concurrence with All Federal Aided Off-System Projects (Preliminary Engineering, R.O.W., Participation) Resolution and Agreement for Maintenance of Federal Aided Off-System Projects Vacant Procedures for Obtaining an Agreement for Multiple Use - Joint Development

14-28 14-29

14-4

Revised June 2003 (14-26) TITLE: Resolutions and Agreement for Municipal Concurrence with all Federal Aided Off-System Projects (Preliminary Engineering, R.O.W., Participation) Section 10, Subdivision 34 and 34A of the Highway Law Municipal concurring with general aspects of the program

AUTHORITY: DESCRIPTION:

WHEN OBTAINABLE: Prior to Phase I DISTRIBUTION: 1 City; 4 Main Office; 1 Regional Office

(14-27) TITLE: AUTHORITY: DESCRIPTION:

Resolution and Agreement for Maintenance of Federal Aided Off-System Projects Section 10, Subdivision 34 and 34A of the Highway Law All projects where Municipality is to maintain federally aided offsystem projects in accordance with state and federal requirements (a) (b) Agreement Resolution

WHEN OBTAINABLE: Phase #V DISTRIBUTION: 1 City; 4 Main Office 1 Regional Office (Same for a & b)

(14-28) Vacant

14-13

Revised January 1978 (14-29) TITLE: AUTHORITY: DESCRIPTION: Procedures for Obtaining an Agreement for Multiple Use - Joint Development Section 14-d of Transportation Law Multiple Use - Joint Development of Highways ROW with other Agencies

WHEN OBTAINABLE: As early as possible (with M.O. and FHWA approval) DISTRIBUTION: 1 Party Concerned 4 Main Office 1 Regional Office

14-14

Revised April 1982 Example 27b.5 SCHEDULE A Project No. Name of TOPICS IMPROVEMENT Program Description of TOPICS IMPROVEMENT PROJECT

14-97

Revised June 2003

Pages 14-98 through 14-100 are intentionally left blank.

14-98

Revised June 2003

This page is intentionally left blank.

14-101

Revised April 1982 Example 14-29 MULTIPLE USE - JOINT DEVELOPMENT This Agreement must be custom-fitted to individual conditions. The rights and responsibilities of all parties concerned should be fully defined. This is a very involved resolution. It would be first written and submitted to the Office of Legal Affairs, thru the Deputy Chief Engineer, Design, for approval before being submitted to the party(s) involved. Reference is made to: Section 2.08 of Highway Design Manual Section 17.11 of Highway Design Manual

14-102

HIGHWAY DESIGN MANUAL

Chapter 15 - Maintenance Jurisdiction

Revision 16

May 1983

HIGHWAY DESIGN MANUAL

Chapter 16 Maintenance and Protection Of Traffic In Highway Work Zones

Revision 48

January 20, 2006

This page is intentionally left blank.

CHAPTER 16 MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES Table of Contents Contents 16.1 INTRODUCTION Organization of the Chapter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . State and Federal Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . National Highway Institute Training Courses . . . . . . . . . . . . . . . . . . . . . . . . 16-1 16-2 16-3 16-5 Page

16.1.1 16.1.2 16.1.3 16.1.4 16.2

TRAFFIC CONTROL DEVICES Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-6 Revisions and Interpretations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-7 Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-8 Construction Signs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-9 Portable, Variable-Message Signs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-14 Arrow Panels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-17 Channelizing Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-20 Pavement Markings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-26 Hand Signaling Devices and Warning Flags . . . . . . . . . . . . . . . . . . . . . . . . 16-36 Temporary Traffic Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-39 Portable Traffic Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-41 Barrier Warning Lights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-41

16.2.1 16.2.2 16.2.3 16.2.4 16.2.5 16.2.6 16.2.7 16.2.8 16.2.9 16.2.10 16.2.11 16.2.12 16.3

SAFETY DEVICES AND BARRIERS Temporary Traffic Barriers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Vehicle-Arresting Barrier (Net Type) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shadow Vehicles and Barrier Vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . Temporary Impact Attenuators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Temporary Sand Barrel Arrays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Temporary Rumble Strips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-42 16-48 16-51 16-54 16-55 16-56

16.3.1 16.3.2 16.3.3 16.3.4 16.3.5 16.3.6 16.4

MAINTENANCE AND PROTECTION OF TRAFFIC (MPT) PLANS General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-60 Fundamental Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-64 Elements of Highway Work Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-66 Safety Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-72 Sequence of Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-86 Work Zone Speed Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-89 Work Zone Traffic Control Layouts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-104

16.4.1 16.4.2 16.4.3 16.4.4 16.4.5 16.4.6 16.4.7

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CHAPTER 16 MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES Table of Contents Contents 16.5 SELECTING A TRAFFIC MANAGEMENT STRATEGY Page

16.6

TIME-RELATED CONTRACT PROVISIONS

16.7

DEDICATED POLICE TRAFFIC SERVICES

16.8

REFERENCES

APPENDICES Appendix 16A Local Road Detour Information Form . . . . . . . . . . . . . . . . . . . . . . . . . . 16A-1

NOTE: Material in italics is in development and will be issued at a later date.

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CHAPTER 16 MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES List of Exhibits Number 16-1 16-2 16-3 16-4 16-5 16-6 16-7 16-8 16-9 16-10 16-11 16-12 16-13 16-14 16-15 16-16 16-17 16-18 Title Page

Sample Special Note: Requirements for Portable, Variable-Message Signs . . 16-16 Advantages and Disadvantages of Channelizing Devices . . . . . . . . . . . . . . . . 16-20 Spacing of Channilizing Devices for Work Zones on One-Way Roadways . . . 16-22 Permitted Uses of Pavement Marking Materials for Temporary Pavement Markings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-27 One-Lane, Two-Way Traffic Control Flagger Station Enhancement With Flag Tree and Cones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-37 Recommended Minimum Flare Rates for Temporary Concrete Barrier . . . . . . 16-42 Guidelines for Ranking the Assignment of Shadow Vehicles and Barrier Vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-52 Temporary Rumble Strips (Suggested Layouts) . . . . . . . . . . . . . . . . . . . . . . . . 16-58 Component Parts of a Highway Work Zone . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-68 Taper Length Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-69 Maximum Speed Reductions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-94 Signing Requirements for Reducing 65 mph Speed Limits in Work Zones . . . 16-98 Advantages and Disadvantages of Speed Control Methods . . . . . . . . . . . . . 16-100 Suggested Steps for Selecting Traffic Control Strategy . . . . . . . . . . . . . . . . . 16-105 Example of Crossover Entrance in Two-Lane, Two-Way Operation . . . . . . . 16-117 Example of Two-Lane, Two-Way Operation . . . . . . . . . . . . . . . . . . . . . . . . . . 16-118 Example of Exit in Two-Lane, Two-Way Operation . . . . . . . . . . . . . . . . . . . . 16-119 Advantages and Disadvantages of Road Closures and Detours . . . . . . . . . . 16-129

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES 16.1 INTRODUCTION

16-1

16.1.1 Organization of the Chapter Section 16.1 Introduction describes the purpose of the chapter, states the general policy and objectives for maintenance and protection of traffic in construction work zones, and provides information on work zone traffic control training conducted by the NHI for Department Designers. Section 16.2 Traffic Control Devices provides an overview of traffic control devices and includes guidance on their use for both daytime and nighttime operations. Section 16.3 Safety Devices and Barriers discusses supplementary devices including temporary traffic barriers, vehicle arresting barriers, shadow vehicles, barrier vehicles, crash cushions and attenuating systems, sand barrel arrays, and temporary rumble strips. Section 16.4 Maintenance and Protection of Traffic (MPT) Plans deals with the general requirements for traffic control plans, presents the fundamental principles of traffic control, describes the elements of work zones, discusses the considerations for work zone safety, details the requirements for work zone speed limits, and describes various work zone layouts for maintaining traffic through or around construction work zones. The section also describes the methods and strategies that may be used to aid workers, vehicle drivers, and pedestrians to navigate highway construction work zones. Section 16.5 Selecting a Traffic Management Strategy is presented within the framework of the project development process and outlines a process for evaluating traditional maintenance and protection of traffic schemes to determine if they will be satisfactory for managing traffic during construction. There is a discussion of nighttime construction factors that should be considered when investigating work zone alternatives. This section also discusses transportation management plans and what they involve. Section 16.6 Time-Related Contract Provisions presents guidance and procedures for the use of time-related contract provisions, such as incentive/disincentive clauses, A+B bidding, and lane rental. Section 16.7 Dedicated Police Traffic Services presents guidelines and procedures for including dedicated police traffic services in a project. Section 16.8 References is the list of all the references used to develop the chapter. Titles of publications are shown in italics. The publications used in the preparation of this chapter are listed in Section 16.8.

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16.1.1

16-2

MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES

16.1.2 Purpose A temporary highway work zone or traffic control zone is an area of a highway where road user conditions are changed by the use of temporary traffic control devices, flaggers, police, or other authorized personnel, because of a work zone or incident. Standards and guidelines for the maintenance and protection of traffic in highway work zones have been developed by the Department over the years. They are found in Chapter V of Title 17 of the Official Compilation of Codes, Rules, and Regulations of the State of New York (a.k.a. the New York State Manual of Uniform Traffic Control Devices (NYSMUTCD)), the Standard Specifications Section 619, Standard Sheets, Engineering Instructions (EIs), and various other Department publications, which serve, for the most part, as the basis for this chapter. The designer should be familiar with these other references. Chapter 16 is an instructional aid and reference guide. It brings together existing policies, procedures, and design guidance and expands on this material, where necessary, to provide comprehensive coverage of the subject. This chapter provides guidance to those who are responsible for determining how to deal with traffic on construction/reconstruction and maintenance projects and those who are responsible for developing MPT plans. Primarily, they include design, traffic, and maintenance engineers, although planners, project developers, and project managers may find information pertinent to their roles in project development. Engineers-in-Charge may also find this chapter useful during project construction if it becomes necessary to modify MPT plans due to changing field conditions or project schedules. The requirements and guidelines provided in this chapter apply to construction and maintenance work zones and work performed under highway work permits.

16.1.2

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES 16.1.3 State and Federal Policies

16-3

16.1.3.1 NYSDOT Policy It is the policy of the New York State Department of Transportation that Department projects shall include provisions, and plans when necessary, for the maintenance and protection of traffic, workers, motorists, pedestrians, bicyclists, and persons with disabilities, in highway work zones. Such provisions and plans should strive to achieve an appropriate balance of the following objectives: 1. Provide a high level of safety for workers and the public. 2. Minimize congestion and community impacts by maintaining acceptable levels of service as close as possible to preconstruction levels. 3. Provide a feasible design of highway traffic control during highway and bridge operations. 4. Provide the contractor with access to the roadway that is adequate to complete the work efficiently while meeting the quality requirements of the contract. 5. Keep the cost as low as possible, consistent with safety and an appropriate degree of convenience for the public. This policy shall apply whenever work is performed within the highway boundaries for a period of time longer than can be handled under the protection of manual flagging. This policy applies to all types of bridge and highway construction, reconstruction, and maintenance projects on the State Highway System, projects on local systems that are administered by NYSDOT, and urban as well as rural facilities. In applying this policy, all feasible alternatives for maintaining traffic should be examined and, where possible, the most cost-effective alternative, consistent with safety standards, should be selected. Projects should also have environmental and community concerns incorporated into the project development process in accordance with Department policy and guidance given in EI 01-020 Context Sensitive Solutions (CSS). CSS maintains safety and mobility as priorities, yet recognizes that these are achieved in varying degrees with alternative solutions. The decision as to how best to balance competing values remains the responsibility of the designer. When it is not possible to achieve substantial balance among the objectives listed above through maintenance and protection of traffic schemes for daytime construction, the feasibility of nighttime construction shall be evaluated along with other traffic systems management strategies. In addition, for Regions 10 and 11, the feasibility of nighttime construction must be evaluated for every major limited access highway, expressway, and parkway capital construction project ..... with a cost of more than two million dollars in region ten, and with a cost of more than five million dollars in region eleven ..... Refer to Sections 16.2 and 16.4 for further guidance on nighttime construction.

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES

The development of a strategy to maintain and protect traffic should be an integral part of the project development process from initial planning and project scoping through preliminary and final design. This will ensure that the project's cost, schedule, scope, and quality goals adequately reflect the needs of the management plan or control plan. The cost to protect and maintain traffic and mitigate the impacts of highway work zones should be considered an integral part of the project development and design process. Maintaining traffic is an essential project cost, yet it is not intended to provide a lasting benefit after the project is completed. Accordingly, improvements needed to maintain traffic should not ordinarily be designed to provide long-term benefits after construction is completed, although sometimes this may be the result. If significant road or bridge work and expense is necessary to maintain traffic, consideration should be given to retaining the work as a permanent improvement, if it would be useful to do so, rather than discarding the investment. The Department has a goal to increase mobility whenever possible and the techniques of Transportation Systems Management (TSM) should be used when it is appropriate. Consideration should be given to incorporating cost-effective TSM measures, e.g., intelligent transportation system (ITS) elements, as part of the plans for maintenance and protection of traffic. In addition, allowing temporary improvements to remain in place should be considered if they provide long-term mobility improvement. M.A.P. Procedure 7.12-14, titled Quality Assurance of Work Zone Maintenance and Protection of Traffic. It describes the roles and responsibilities of the involved Main Office groups and responsibilities to be assigned to various Regional groups. It is based on the premise that the quality assurance (QA) oversight work will be delegated to the Regional Traffic Group; however, it does not preclude the Regional Director from assigning the oversight responsibility for the QA effort elsewhere. The QA procedure helps optimize the quality of maintenance and protection of traffic in highway work zones by delegating overall Department responsibility and authoirty for QA of maintenance and protection of traffic to the Traffic Engineering & Highway Safety Division, and, in most Regions, the Regional Traffic Engineering & Safety Group. The QA procedures should assign quality assurance/quality control (QA/QC) responsibilities for design and implementation of maintenance and protection of traffic to the appropriate Regional group, and should detail areas of coordination between Regional groups. QA/QC procedures should be developed for operational needs, such as lane closures or restrictions, establishing workarea speed limits, obtaining police enforcement, use of variable massage signs, media coordination, and consideration of corridor-wide or system-wide impacts of concurrent projects.

16.1.3.2 FHWA Policy Each State shall implement a policy for the systematic consideration and management of work zone impacts on all Federal-aid highway projects. This policy shall address work zone impacts

16.1.3.2

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16-5

throughout the various stages of the project development and implementation process. This policy may take the form of processes, procedures, and/or guidance, and may vary, based on the characteristics and expected work zone impacts of individual projects or classes of projects. The States should institute this policy using a multidisciplinary team and in partnership with the FHWA. The States are encouraged to implement this policy for non-Federal-aid projects as well.

16.1.4 National Highway Institute Training Courses Each year, the Department offers training courses on work zone traffic control put on by the National Highway Institute (NHI). The courses are available to Designers statewide and provide the latest guidance in work zone strategy planning, design, and operation. All designers responsible for or involved in some way in work zone traffic control design are urged to attend these training courses. Contact the Regional Training Coordinator for information on when the courses will be offered.

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16.1.4

16-6

MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES

16.2 TRAFFIC CONTROL DEVICES

16.2.1 Standards The 17 NYCRR Chapter V (a.k.a. the NYSMUTCD) sets forth the basic principles governing the design, use, installation, and operation of traffic control devices in NYS. These principles are reflected throughout the NYSMUTCD in discussions of devices, and should be followed in the selection and application of each device. The NYSMUTCD is approved by the Federal Highway Administration (FHWA) as the standard for all highways in New York State open to public travel, regardless of type or the governmental agency having jurisdiction. There are many information sources on traffic control theory and practice, traffic control device design, hardware, installation practices, etc., listed in the NYSMUTCD which may be used to augment standards and specifications. However, these documents may illustrate devices and control techniques not included in, nor consistent with, the NYSMUTCD. Only those consistent with the NYSMUTCD may be used. The National MUTCD is an excellent source. It is available on the internet at http://mutcd.fhwa.dot.gov/. Any traffic control device authorized in the NYSMUTCD may be used, where applicable and permitted by the Standard Specifications, for highway work zone traffic control. Devices to be used only in work zones are found in Parts 218, 238, 254, and Subchapter G of the NYSMUTCD. General guidance as well as device application and example illustrations of traffic control at work areas are found in Subchapter H of the NYSMUTCD. The guidelines and standards included in this section are provided to assist designers in the consistent use of traffic control devices on Department construction contracts and maintenance operations.

16.2.1

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IN HIGHWAY WORK ZONES

16.2.2 Revisions and Interpretations Improvements in devices, technology, and techniques are continually being developed, requiring frequent revisions of the provisions in the NYSMUTCD. In addition, unique situations occasionally arise that require special devices or unusual applications. General revisions are made to the NYSMUTCD periodically to reflect operational needs or changes in State law and keep State traffic control device standards in harmony with Federal standards. The devices in the NYSMUTCD will adequately serve the vast majority of situations encountered. Devices not in the NYSMUTCD but included in the National MUTCD may be used. However, situations will arise where a singular device or an unusual application of a device is necessary. The Department may consider using such devices or applications, and where a legitimate need is demonstrated, be authorized to use them. The Traffic Engineering and Highway Safety Division, through the Regional Traffic Engineer, should be consulted for review and approval of such authorizations.

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16.2.2

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES

16.2.3 Requirements Traffic control devices include signs, signals, pavement markings, delineation devices, channelizing devices, hand-held signaling devices, warning flags, and lighting devices, which regulate, warn, and guide traffic. All traffic control devices must meet the following basic requirements to be effective: Fulfill a need. Command attention. Convey a clear, simple meaning. Command respect of road users. Give adequate time for proper response.

Under normal circumstances, other than on highway or bridge projects, actions required by regulatory devices must be specified by state statute, or by local ordinance or resolution. On the other hand, on highway or bridge projects with restricted highway designations, the Engineer-inCharge has the legal authority to use regulatory devices without such requirements. For more information on the restricted highway designation, refer to 16.4.1 of this chapter and 104-05 of the Standard Specifications. Five factors that should be considered in the application of each device to ensure that it is effective include: Design. Placement. Operation. Maintenance. Uniformity.

Refer to the NYSMUTCD 200 for discussion of these factors. Two of the most basic principles of traffic engineering are that a traffic control device should (1) be used only when it meets a specific need, and (2) always be used in a consistent manner. Unnecessary and nonstandard applications are undesirable because they tend to reduce motorists respect for the device and can cause confusion. Nonstandard applications require a considered response, rather than an automatic response and, over time, they will detract from the overall effectiveness of traffic control devices.

16.2.3

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16-9

IN HIGHWAY WORK ZONES

16.2.4 Construction Signs Construction signs are a separate pay item in the Standard Specifications. 16.2.4.1 General When choosing signs for work zones, the following should be considered: Choose signs that are appropriate and that accurately describe the roadway conditions. Avoid messages having only local meaning since it may not be clear to strangers. Choose the message on signs according to what action the driver needs to take. Use larger signs when greater visibility is desired, as with high speed or volume or on multilane roadways. Consider using smaller signs in narrow medians if larger signs will overhang the adjacent travel lane. Start with a general warning sign about the existence of work activity (e.g., ROAD WORK) in advance of the work area. Then use a signs to warn of the specific condition ahead (e.g., LEFT LANE CLOSED). The last sign should warn of the next geometric or traffic control features to be encountered in the work zone, such as a flagger or a traffic signal, and should be closest to the work area. Advance warning signs should not give general, repetitious warnings, e.g., ROAD WORK 1500 FT, ROAD WORK 1000 FT, ROAD WORK 500 FT. Repetition of general signs is a waste of money and causes drivers to pay less attention to them. The signs should describe the specific actions required by drivers. The message AHEAD, or an appropriate distance, is used on most warning signs. Generally, AHEAD is used on roadways that have an operating speed less than 45 mph, and on side-street approaches to work zones. Advance posting of signs with an AHEAD distance is generally 60 m. Numeric distances are used on all other roadways. The magnitude of the numeric distances (1500 FT, 1 MILE, etc.) is based on the operating speed, roadway type, and other prevailing conditions (geometry, type of work zone, etc.). Numeric distances and AHEAD should never be intermixed. The reference point for advance warning distance should be selected from the following: < The beginning of the transition area for a lane closure or lane shift or shoulder closure. < The work area for work beyond the shoulder. < The shadow vehicle location for short-duration or moving operations on the shoulder or in the lane where channelizing devices are not used. < The upstream end of the buffer space for temporary road closures. < The beginning of the realignment of the roadway for an on-site diversion. The overall effect of the signs should be to make drivers aware of what they are approaching, what action may be required, and the distance to where it is located.

The NYSMUTCD describes several design qualities of fixed-message traffic signs that should be considered in the layout of a maintenance and protection of traffic (MPT) plan. Refer to Part 201 in the NYSMUTCD.

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16.2.4.1

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES

Signs used to alert drivers to daytime or nighttime operations and provide information on road and ramp closures, must be designed to ensure legibility. Messages must be simple and concise so drivers can read them at prevailing operating speeds. Long or involved messages cannot be read and may distract drivers from other tasks. If it is necessary to provide messages more than a few words in length, they must be split between two or more signs placed at least 100 m, preferably 150 m apart. To ensure that drivers comprehend the total message, no intervening signs should be placed between the two, and the distance between the signs should not be extended such that the connection between the two is lost. Unneeded or inapplicable signs are distracting or misleading and must be completely covered or removed. Signs should be positioned according to the following guidance: Locate signs where they are easily seen. Place signs so drivers have time to respond. As a general rule, place signs on the right-hand side of the roadway.

Occasionally, it may be necessary to locate special first-warning signs farther upstream from the work zone than normal if hazardous conditions such as steep grades make the information useful or necessary at a particular location so a driver can take appropriate action. The presence of warning signs at the top of a mountain would warn truck drivers that they may encounter traffic congestion, and perhaps be required to stop at or before they reach the bottom. Such traffic control could include a truck turnaround or a mandatory stop to check brakes, if space is available. Guidance for the location and minimum spacing of signs is given in the NYSMUTCD Subchapter H Part 301. Signs should not be mounted on barricades. Regulatory signs with black legends on white background are used in work zones to inform highway users of applicable traffic laws and regulations. The restrictions they impose must be legally established so they can be properly enforced. Refer to 16.4.6 of this chapter regarding work zone speed limit signing. State and local police should be consulted as a courtesy during the development of MPT plans to address enforcement needs. When regulatory changes are made, the responsible law enforcement agency should be notified. Refer to the NYSMUTCD Part 218 for guidance in the use, location, and spacing of work zone regulatory signs. Work zone warning signs (black legend on orange background) identify or emphasize particular conditions on or adjacent to the roadway. The number of different warning messages needed for a work area is dependent upon the nature of the highway, the speed and volume of traffic, and the type and complexity of the control measures through the work area. Warning signs installed specifically for highway work zones should have black legend on an orange background, except the W5-14 railroad advance warning sign, which shall have black legend on a yellow background. Refer to the NYSMUTCD Part 238 for guidance in the use, location, and spacing of work zone warning signs. Large information signs (black legend on orange background) can be used to list work locations and dates, and to suggest alternate routes. To be legible at operating speeds, the messages on these

16.2.4.1

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IN HIGHWAY WORK ZONES

signs should be restricted to no more than three lines of text, with no more than a few words per line. Work zone guide signs (black legend on orange background) are used to provide drivers with information that will guide them through a work zone, or bypass it altogether by detour, in a simple, direct manner. Road users should be informed of their future course before entering the work zone. Guide signs in work zones should include, when necessary: Standard route markings where temporary route changes occur. Directional signs and street name signs. Special guide signs relating to the condition of work being done.

The colors of these signs must conform to those specified in the MUTCD. If additional temporary guide signs are used in work zones, they shall have a black legend and border on orange background. Refer to the NYSMUTCD Parts 254, 255, and 302 for guidance in the use, location, and spacing of work zone guide signs. Signing sequences for closely spaced highway work zones must not overlap or confuse drivers with conflicting messages. Traffic controls for these situations should be coordinated to present a logical sequence of messages to drivers as they pass from one zone to another. Where it is necessary to have work zones that are closely spaced, it may be advantageous to combine the separate work zones into a single work zone, which may then be shortened as the work is completed.

16.2.4.2

Warning Signs for Nighttime Construction and Daytime Operations that Remain in Place Overnight

Extra care is needed to ensure that warning signs are located properly and provide adequate visibility and legibility at night. Designers should apply the following guidance. Location Drivers are not accustomed to encountering construction activities at night, so adequate advance warning distances should be provided. A minimum of a 1.6 km advance warning distance is to be provided on roadways with operating speeds of 50 mph or higher. These distances may be shortened to 450 m on roadways with speeds of 40 mph or less. Location of advance warning signs should consider exiting and entering traffic. It is generally not desirable to start a warning sign series upstream from a major exit or intersection, except when it is desirable to divert traffic off the route at that point. Advance warning signs should be double-posted (posted on both sides of the roadway) for short-duration or long-duration, stationary operations involving one or more lane closures or lane shifts, left or right lanes, on freeways or expressways. Multilane, high-speed highways with narrow medians need not be double-posted.

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16.2.4.2

16-12

MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES In general, the first sign encountered by motorists in a warning series is the ROAD WORK XX FT (W8-1). General warning signs such as ROAD WORK XX FT (W8-1) should be limited to the first sign in a countdown series. After the first sign, more specific signs (e.g., LANE CLOSED, LANE SHIFT, ONE LANE ROAD) should be used, if appropriate. Standard distances to be used on countdown warning signs employed in long-duration work zones on high-speed roadways, include 1 MILE, MILE, 1500 FT, 1000 FT, and 500 FT. Generally, three signs are adequate for a countdown series with the specific distances selected to fit site conditions. Where single advance warning signs are provided on ramps or minor intersecting roads, the AHEAD wording rather than a specific distance is preferred because it is easier to adapt to site conditions and reduces sign inventory needs for the contractor. ROAD WORK AHEAD may be used separately or as the first sign in a warning sign series on minor side roads where distance information is not necessary. Advance warning signs must be adequately spaced to provide recognition and legibility. On roadways with high speeds and volumes, signs must be spaced at least 150 m apart. This applies equally to construction signs and permanent signs. Actual distance from a warning sign to the condition should be close to the stated distance on the sign and in accordance with 300 of the NYSMTUCD. However, positioning of the sign to enhance visibility and avoid conflicts with other traffic control devices and roadway features is more important than precise agreement with the stated distance. BUMP (W8-1) signs shall be used to provide advance warning of isolated bumps in the pavement 25 mm or more in height. An object marker or a drum with flashing lights should be placed at the bump. Advance warning distances are given in the NYSMUTCD Table 230-2.

Placement Warning signs must be located to provide adequate visibility distance to drivers. They must not be blocked by foliage, roadway features, or other signs and traffic control devices, nor interfere with other signs. Warning signs should not be located where glare from light sources behind the sign may reduce visibility. Low-beam headlight patterns must be considered in sign placements to ensure that the signs will be visible at night. Refer to the appropriate Standard Sheets in the M645 series. Visibility In situations where signs cannot be located to be visible under headlight illumination, artificial illumination should be used to enhance visibility and legibility, or the sign must be moved. Larger sign sizes enhance sign legibility, especially at night. Messages on warning signs should identify specific conditions to the greatest extent possible. Appropriate messages include lane and shoulder closure, alignment and intersection signs, flagger and worker symbol signs, road or bridge closed, detour, and other appropriate texts as described in the NYSMUTCD. Type B flashing, high-intensity warning lights should be considered to emphasize the presence and enhance the visibility of isolated warning signs where high-speed, free-

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flowing traffic raises concerns that drivers will fail to notice the advance warning signs.

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES

16.2.5 Portable, Variable-Message Signs Portable, variable-message signs are a separate, special specification pay item. This guidance is for contractor-owned, contractor-provided, portable, variable-message signs (PVMSs). Portable, variable message signs are to be used as supplemental, temporary work zone warning devices and for lane and roadway closures. They have the flexibility to display messages which apply to the particular locations at which they are placed. PVMSs are especially useful for providing information regarding highway work zones. The NYSMUTCD allows the use of PVMSs in highway work zones to supplement, but not replace regulatory or warning signs. They may also be used in lieu of or to supplement guide signs. A PVMS should only be used where it will be more effective than standard signs used alone. VMSs are highly visible aids to traffic maintenance and can be very effective when used appropriately. However, the effectiveness of these signs can be diminished if they are used too frequently or inappropriately. The following guidelines are provided to help the designer determine whether or not to select VMSs for use in work areas on daytime construction projects. The following items should be determined when considering specifying PVMSs in a contract: 1. Variability. Would the various messages relayed by this sign make it cost-effective and/or improve safety more than an equivalent number of fixed-message, standard constructions signs? Is real time information necessary? How often would the message be expected to change? 2. Conspicuity. Can sufficient conspicuity be achieve using standard construction signs? What are the consequences of not noticing the sign? Would a standard construction sign be obscured at the needed location due to numerous other construction signs, poor geometrics, etc.? 3. Cost-effective. If several standard construction signs are viable alternatives to a single PVMS unit, what is the cost difference? 4. Overriding Considerations. Are there any overriding considerations to warrant a PVMS unit, even if other warrants are not met? Such considerations could include, but are not limited to, a need for improved conspicuity or emphasis, presence of workers in the roadway without barrier protection, speed-limit reductions, a new traffic pattern, warning of police enforcement, and other motorist awareness messages. For assistance with PVMS use within Regions, designers should consult with the Regional Transportation Services Group, Regional ITS Coordinator, and/or Regional Transportation Management Center. A representative from the Transportation Management Center and/or the Regional ITS Coordinator should be invited to the scoping and preconstruction meetings to provide input on PVMS use on the contract. All work on a contract must occur within the contract limits,

16.2.5

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though limits need not be contiguous nor continuous. For distant locations, small areas approximating the PVMS location should be bounded by contract limits. PVMSs may be specified using pay units of each or week. The designer must include a Special Note titled Requirements for Portable, Variable-Message Signs (PVMSs) to give the contractor information needed to bid the PVMSs, taking into consideration if they can use the PVMS in multiple locations and how many PVMSs they will have in operation during various stages of construction. A sample special note is illustrated in Exhibit 16-1. The following information should be included in the Special Note: The approximate locations of PVMSs. The required sight distance along the approaches. An estimate of the approximate dates and lengths of time the PVMS unit will be in use at each location, in weeks (only when specifying by the week).

Sign Selection. The PVMS specification requires the designer to choose between light-emittingdiode (LED) types and hybrid-flip-disk types. Each of these types has advantages and disadvantages. Hybrid units were previously favored due to the combination of the benefits of both types of displays, but recent improvements in LED technology and lower operating costs have led to increasing use of LED units. LED (Light-Emitting Diode). Advantages are its low maintenance, long life due to no moving parts, and lower cost. Disadvantages are if LED modules are not properly repaired and replaced, displays can become dim. LED units can be difficult to see in direct sunlight and at wider approach angles. LED units will probably result in lower costs and can provide adequate visibility where the angle of the sun and the highway alignment are favorable. Hybrid (Flip-Disk and LED). Advantages are high visibility in direct sunlight and at wider approach angles and they operate if the light source fails. Disadvantages are that hybrids are more expensive than LED and have higher maintenance requirements. Hybrid units should be considered where the sun angle and highway alignment may significantly reduce the effectiveness of LED units. Cellular Communications Option. Cellular-equipped units can be operated via cellular phone by authorized personnel and should be specified unless the PVMS unit would not need to be remotely controlled through the entire contract or if there is no cellular reception in the area. Radar Option: Radar-equipped units with speed display provide the ability to determine the speed of an approaching vehicle and interrupt the programmed sequence with a special default message displaying the vehicles speed. They are required in all major active work zones.

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Exhibit 16-1 Sample Special Note: Requirements for Portable, Variable-Message Signs PHASE I PVMS 1 LOCATION: EASTBOUND ROUTE 123, ONE-HALF MILE WEST OF THE START OF THE LEFT LANE CLOSURE. DURATION: THIS LOCATION SHOULD BE OCCUPIED FOR THE FIRST XX WEEKS OF PHASE I. PVMS 2 LOCATION: WESTBOUND ROUTE 123, ONE-HALF MILE EAST OF THE START OF THE LEFT LANE CLOSURE. DURATION: THIS LOCATION SHOULD BE OCCUPIED FOR THE FIRST XX WEEKS OF PHASE I. __________________________________________________________________________ PHASE II PVMS 1 LOCATION: EASTBOUND ROUTE 123, ONE-HALF MILE WEST OF THE START OF THE ROUTE 89 RAMP. DURATION: THIS LOCATION SHOULD BE OCCUPIED FOR THE FIRST XX WEEKS OF PHASE II. PVMS 2 LOCATION: NORTHBOUND ROUTE 89, ONE-HALF MILE EAST OF THE ROUTE 123 RAMP. DURATION: THIS LOCATION SHOULD BE OCCUPIED FOR THE FIRST XX WEEKS OF PHASE II. PVMS 3 LOCATION: WESTBOUND ROUTE 123, ONE-HALF MILE EAST OF THE START OF THE ROUTE 89 RAMP. DURATION: THIS LOCATION SHOULD BE OCCUPIED FOR THE FIRST XX WEEKS OF PHASE II. PVMS 4 LOCATION: SOUTHBOUND ROUTE 123, ONE-HALF MILE EAST OF THE START OF THE ROUTE 123 RAMP. DURATION: THIS LOCATION SHOULD BE OCCUPIED FOR THE FIRST XX WEEKS OF PHASE II.

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16.2.6 Arrow Panels Arrow panels (flashing arrow boards) are a separate pay item in the Standard Specifications. 16.2.6.1 General Arrow panels are trailer-mounted (or truck-mounted when shadow vehicles are used), dieselpowered or solar-charged, self-contained units which are very effective in making drivers aware of lane closures and the resultant need to change lanes. An arrow panel consists of yellow lamps arranged in a pattern on the face of a nonreflective, rectangular black panel. The lamps are positioned to form displays for Left Arrow, Right Arrow, Left and Right Arrow, and Caution. Guidelines for the application, design, operation, and location of arrow panels is found in 294.5 in the NYSMUTCD. Additional information may be found in the Standard Specifications 619.

A. Allowable and Prohibited Uses Arrow panels shall be used for lane closures on all multilane highways where the preconstruction posted speed limit is 45 mph or higher. Arrow panels shall be used for lane closures on high-speed and/or high-volume arterials in the same manner as for freeway lane closures. Arrow panels should be used for lane closures on other multilane highways if the project designer or the Engineer-In-Charge (EIC) determines that high traffic volumes or other considerations would warrant their use. Only one arrow panel is to be used for each lane closure, placed as close to the start of the lane closure taper as possible. Use of multiple arrow panels to emphasize a single stationary lane closure is prohibited. Arrow panels may be used for shoulder closures and lane shifts only when operating in the caution mode with corners flashing; no flashing bar is permitted. Arrow panels shall be used for lane splits on multilane highways where the preconstruction posted speed limit or the operating speed is 45 mph or higher. For the purpose of this guidance, a lane split is defined as a splitting of travel lanes around a work area without a reduction in the number of available traffic lanes. To accomplish a center lane closure, the left or right lane should be closed first, using either a right arrow or a left arrow in the flashing mode, and the remaining lanes may then be split around the work area using a flashing, double-headed arrow. Arrow panels should always be used in combination with the appropriate signs, barricades, or other traffic control devices. Arrow panels shall not be used for lane shifts. Other devices are readily available for this purpose (e.g., warning signs, chevrons, flags, warning lights). For the purpose of this guidance, a lane shift is defined as a lateral shift in travel path without a reduction in the number of available traffic lanes. Arrow panels in the flashing arrow mode are not to be used as a warning device for

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES shoulder work or for roadside work near the shoulder. Vehicle warning lights, signs, and channelizing devices are more effective for these situations and are the preferred treatment. An arrow panel in the nondirectional caution mode is permitted as an option. Arrow panels in the flashing arrow mode shall not be used on two-lane, two-way roadways, either in a driving lane or on the shoulder under any circumstances. Such use may result in a head-on collision. An arrow panel in the nondirectional caution mode, shown in the NYSMUTCD Figure 302-19, is permitted as an option.

B. Allowable and Prohibited Operations An arrow panel shall display a flashing arrow for lane closures. It is essential that the motorists view of arrow panels not be obstructed by signs or other equipment of roadside features. Arrow panels should not obstruct the motorists view of other signs. Arrow panels must be dimmed at night to avoid glare that may blind drivers. Solar-powered arrow panels are recommended for night operations, where necessary, and within the speed limitations stated above, to eliminate the noise of diesel-powered units. Arrow panels used for a traffic split shall display only a flashing, double-headed arrow. If used as a general warning device on a shoulder or elsewhere, the arrow panel shall display the nondirectional caution mode described in the NYSMUTCD. Display of a flashing bar is explicitly prohibited, and shall not be used on Department projects.

C. Location Arrow panels should be positioned as close as practicable to the beginning of the lane closure taper (on the shoulder, if space permits), taking into consideration sight distance restrictions, shoulder widths, and other factors. A lane closure taper should not begin just before or just past the crest of a vertical curve or partially into or just beyond a horizontal curve. It is important that the driver be able to see the entire taper as he/she approaches. Warning signs should be located so as to avoid obscuring the arrow panel. For moving operations, an arrow panel should be mounted on the first upstream vehicle fully occupying a shoulder or travel lane to be encountered by traffic from the rear. Refer to the NYSDOT Work Zone Traffic Control Manual. If more than one travel lane is taken, an arrow panel should also be mounted on the first upstream vehicle fully occupying each additional travel lane that is closed. Additional arrow panels can be mounted on intermediate vehicles located between two travel lanes that are closed, or on vehicles further upstream which are located either partially or fully on the shoulder adjacent to a travel lane that is closed. For moving operations, an advance warning vehicle equipped with appropriate static signs, warning lights, and other devices may be positioned fully on the shoulder upstream of the arrow panel, if traffic and roadway conditions so indicate.

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For operations located where the shoulder is too narrow for the advance warning vehicle, the appropriate static advance warning signs shall be placed upstream of the arrow panel and the advance warning vehicle will be positioned in the lane in which the work area is located. Refer to the NYSDOT Work Zone Traffic Control Manual Typicals TAM-E5 and TAM-E7.

D. Power Source Arrow panels used on roadways where the preconstruction posted speed is 45 mph (70 km/h) or greater, shall be powered by self-contained, engine-driven generator systems. Arrow panels shall be capable of being powered by utility company service. Solar-charged arrow panels may be used experimentally (up to 4 per Region) on highspeed roadways. Solar-charged arrow panels may be used on multilane highways with lane closures where the preconstruction posted speed limit at a closure and for at least 2 km upstream is below 45 mph (70 km/h).

E. Other Requirements Except as noted above, all other provisions of the NYSMUTCD relating to arrow panels size, type, style, location, and all other requirements - shall be adhered to at all times. See the NYSMUTCD 294.5 for details. The requirements of the Standard Specifications relating to arrow panels shall be adhered to at all times.

16.2.6.2 Arrow Panels for Nighttime Construction Arrow panels used at night shall be properly dimmed as described in the NYSMUTCD and the Standard Specifications to avoid glare for approaching motorists. Arrow panels are required for all nighttime lane closures on multilane highways, regardless of the traffic speed. Solar-charged arrow panels are recommended where the preconstruction posted speed is less than 45 mph (70 km/h) to eliminate the noise of diesel-powered units.

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES

16.2.7 Channelizing Devices Channelizing devices are included in the Basic Maintenance and Protection of Traffic item in the Standard Specifications. All channelizing devices except Type III construction barricades are included in the Standard Specifications Basic Maintenance and Protection of Traffic. Type III construction barricades are a separate item. Guide rails, curbs, and barriers are highway design features and are not considered to be traffic control channelizing devices (see 16.3 of this chapter).

16.2.7.1 General The function of channelizing devices is to alert road users to conditions created by work activities in or near the roadway, to guide them through the work zone, and to help protect workers in highway work zones. Channelizing devices are used to provide a physical separation between the travel space and the work and buffer spaces, pedestrians, opposing traffic, and pavement drop-offs. Channelizing devices are also used to provide for safe, smooth, and gradual lane merges, lane shifts, bypasses and detours, and narrowing of lanes. Channelizing devices include cones (standard - 700 mm; tall - 900 mm; extra-tall - 1050 mm), tubular markers (temporary; interim), vertical panels (standard - 600 mm min.; oversize - 900 mm min.), drums, and barricades. Refer to Part 292 of the NYSMUTCD. Perhaps the most important consideration in selecting and placing channelizing devices and delineation treatments is that they should contribute to the total system of traffic control devices at the restricted work zone and should not be considered in isolation. The designer should be knowledgeable of the site to prevent the channelizing devices from conflicting with other traffic control devices. The advantages and disadvantages of each type of channelizing device are presented in National Highway Institutes Design and Operation of Work Zone Traffic Control and included in Exhibit 16-2. While channelizing devices cannot physically prevent intrusions, longitudinally placed devices are highly effective in providing positive guidance and in discouraging intrusions. Transverse devices provide redundant warning to drivers of an area closed to traffic. The appropriate travel path for vehicles, pedestrians, and bicycles through the work zone should be clearly defined using channelizing devices and delineation treatments that are effective under varying light and weather conditions. The most critical portion of the work zone in terms of the need for positive guidance is the transition area. Special attention should be given to the placement of devices in this part of the work zone. The use of channelizing devices in the transition area and through the work area should be consistent with the NYSMUTCD. For long-duration projects (see the NYS Work Zone Traffic Control Manual), interim pavement markings of solid white and yellow edge lines should be placed along the edges of tapers and parallel to the channelizing devices and/or barriers in tangent sections to further enhance path delineation.

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Exhibit 16-2 Advantages and Disadvantages of Channelizing Devices Channelizing Device
Cones

Advantages
Are minor impedances to traffic flow. Do not interfere with traffic flow. Will not damage a vehicle when hit. Are well recognized and understood. Are easy to set up, take down, store, and transport.

Disadvantages
Are not formidable. Command minimal respect from drivers. Are easily penetrated. Are easily displaced and knocked over. Are not self-restoring. Require special treatment for nighttime application. Provide little separation of traffic flow from adjacent areas being used for other purposes. Cannot be attached to the pavement. Have minimal target-value reflective sheeting. Are not formidable. Command minimal respect from drivers. Are easily penetrated. Are easily displaced and knocked over. Require special treatment for nighttime application. Provide little separation of traffic flow from adjacent areas being used for other purposes. Are not stackable. Have minimal target-value reflective sheeting. Are easily penetrated. Are easily displaced and knocked over. Not visible from all approach angles.

Tubular Markers

Are minor impedances to traffic flow. Do not interfere with traffic flow. Will not damage a vehicle when hit. Are well recognized and understood. Are easy to set up, take down, store, and transport. Can be fastened to the pavement. Can be made to be self-restoring when hit.

Vertical Panels

Are very effective where available lateral spacing is limited. Can be mounted on posts driven into embankment or within roadway edge excavations to delineate drop-offs, downed guide rail, etc. Provide good target value. Provide good portability. The air-spill barricade vertical panel is selfrestoring. Are highly visible. Give the appearance of being formidable objects. Command the respect of drivers. Have target value from all viewing angles. Appear as obstacles and create driver respect. Provide good visibility with a large retroreflective area. Are useful for pedestrian control. Provide good supports for barricade lights.

Drums

May reduce roadway capacity if placed near traffic lane. Prone to improper lighting attachment. May cause poor sight distance at intersections, driveways, etc.

Barricades

Are prone to overturn in high winds or when placed near high-speed traffic. May cause damage to an impacting vehicle. Prone to improper lighting attachment. May cause poor sight distance at intersections, driveways, etc. Adapted from: Design & Operation of Work Zone Traffic Control

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The type of channelizing devices used should be consistent throughout the work zone. Different devices should not be alternated or mixed, e.g., alternating drums and cones. This may cause confusion to drivers. Exceptions to this are locations at gores, ramps, and intersections as described in 16.2.7.2 of this chapter. At locations where lane or shoulder closures are protected by temporary concrete barrier, a taper of channelizing devices is placed upstream of the end of the barrier where the closure begins (see the National MUTCD, Figure 6H-5). The benefits of the taper are that it: Provides better delineation of the barrier end than treatments placed directly on the barrier itself. Moves traffic out of the closed lane upstream of the barrier end. Serves as a forgiving first alert to a driver deviating from the intended path. Creates a buffer space between the taper and the barrier end. Reduces the probability of vehicles striking the barrier end.

The NYSMUTCD Part 292 contains detailed guidance in the application, design, location, and spacing of channelizing devices, but little specific information is available on the effects of device size and spacing. Based on favorable experience at nighttime construction zones, and on urban projects in several Regions, and more recently with the implementation of work zone intrusions countermeasures, it appears that the use of close device spacing, combined with the use of larger devices, reduces intrusions. Close spacing of channelizing devices applies to all stationary work zones (day or night) where workers are exposed to traffic and the use of channelizing devices is appropriate, as described below. When used to close travel lanes at work sites where workers are exposed to traffic, the spacing of channelizing devices in tangent sections and tapers shall not exceed 12 m. (Note: 12 m is the standard broken lane-line spacing. See Exhibit 16-3.) The 12-m maximum spacing should be maintained in tangent sections for a reasonable distance (minimum 150 m for speeds <80 km/h, 300 m for speeds $80 km/h) upstream of the work area. The 12-m maximum spacing may be used throughout the work zone (see Exhibit 16-3). Where engineering judgment indicates a special need for closer device spacing, such as to reduce speeds or provide positive guidance to motorists in curved sections of the roadway, channelizing devices should be spaced 6 m apart. When used to close travel lanes at work sites where no workers are present, the spacing of channelizing devices in tangent sections may be increased, not to exceed 24 m. Drums or vertical panels are to be used for long-duration, daytime or nighttime laneclosure tapers, and at locations where the risk of intrusion is high. Vertical panels should be used only in locations where the panel faces will be clearly visible to all approaching traffic. Tall cones are allowed only in longitudinal-run sections, and where there are width restrictions which prevent the use of drums. Tall cones are not allowed in merges, tapers, or shifts. Cones and tubular markers without reflectorized tape shall not be used for nighttime 01/20/06

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Exhibit 16-3 Spacing of Channelizing Devices for Work Zones on One-Way Roadways

closures. In long lane or shoulder closures, at least two channelizing devices should be placed transversely, at maximum 240-m intervals, measured from the downstream end of the taper, to discourage traffic from driving through the closed lane (see Exhibit 16-3). For paving operations on 2-lane, 2-way roadways, longer device spacings may be used where a pilot vehicle is used, or where setting and retrieving the additional devices does not provide any significant safety improvement, such as on roadways with low vehicle volumes, where the work area limits are visible to motorists, etc. Where driveways or intersecting streets or crossovers are located within the work zone, channelizing devices should be placed to adequately define their turning radii. A 2-m spacing between channelizing devices should be adequate for most circumstances. Type III construction barricades shall be used at all locations where a highway, bridge, ramp, or other segment of the roadway is closed to traffic. Type III barricades may interfere with sight distance at ramps and intersections and roadway entrances because of their 1.5-m height. Care must be taken to ensure that these devices are not placed where they will interfere with sight distance. Drums should be provided to designate a change in grade such as a pavement rebate.

16.2.7.2 Channelizing and Guiding Devices for Nighttime Construction Because of reduced visibility and the potential for the increased presence of impaired drivers, work zone intrusions are a higher risk at night. In addition to the guidance provided in 16.2.7.1, 01/20/06 See 16.2.7.2

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enhanced channelization and driver guidance is required to protect workers and the public from the severe consequences of vehicle intrusions into nighttime work areas. The following requirements are to be met for channelizing and guiding devices used for nighttime closures: Each series of channelizing devices shall begin with one drum equipped with a Type A, low-intensity flashing light. If the distance from the end of one series to the beginning of the next series exceeds 1 km, the succeeding series must start with a drum and a flashing light. Tall cones may be used on nighttime closures, only when marked with reflectorized tape in accordance with the NYSMUTCD, except in tapers. At gores, ramps, and intersections where reduced spacing is used, channelizing devices are to be either drums or vertical panels. Type III construction barricades shall be used to form road closures on mainlines and ramps. They may be supplemented by drums, vertical panels, or tall cones to form tapers and otherwise direct traffic past closures. Type III barricades used to form roadway or ramp closures are to be equipped with flashing warning lights (either Type A or Type B). One light is to be provided on each barricade. Because they are more difficult to set up and remove and are a separate pay item, Type III barricades are not recommended as the primary channelizing devices in tapers or tangent sections of lane closures that are set up and removed nightly. They may be used at periodic intervals, with or without single-arrow signs, to reinforce lane closures and to add emphasis at critical points. Type A, flashing, low-intensity warning lights are excellent devices for directing driver attention to roadway hazards during the hours of darkness. They should not be used in a longitudinal series except as the first unit at the start of the lane-closure taper, shoulder closure, rebate, pavement drop-off, and other locations defining roadway hazards. Type B, flashing, high-intensity warning lights may be substituted where the device is left in place during daytime, and where additional emphasis is desirable. Each Type III construction barricade used to form a closure on a highway, bridge, ramp, sidewalk, or other segment of roadway shall be equipped with one Type A, flashing, lowintensity or one Type B, flashing, high-intensity warning light. Type III construction barricades used to form a taper shall not be lighted. Flashing warning lights are not to be used on channelizing devices or traffic barrier in a longitudinal series along the path of traffic. Type C, steady-burning, low-intensity warning lights do not significantly enhance the visibility of reflectorized channelizing devices such as drums, 300 mm x 600 mm vertical panels, or Type III barricades and should not be used. Type C, steady-burning, low-intensity warning lights provide useful delineation on nonreflectorized safety devices such as temporary concrete barrier, and they may be used as needed to delineate temporary concrete barrier or similar objects that are located close to travel lanes. Other guiding devices such as raised pavement markers or post-mounted delineators should be considered to mark travel paths and temporary concrete barriers when site conditions are not amenable to the use of channelizing devices or warning lights.

16.2.7.2

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16.2.7.3 Delineators Delineators may be used, as provided in Part 291 of the NYSMUTCD, to guide traffic through a work zone by indicating the horizontal alignment of the proper travel path. Elongated (75 mm x 150 mm) delineators shall be used on freeways and interstate highways. They may be used on other highways as allowed by Part 291. They should be spaced sufficiently close to clearly indicate the proper vehicle path during darkness. They are not a substitute for reflectorization of channelizing devices or warning lights. Temporary concrete barrier must be delineated to make it visible to traffic. Methods available for this are warning lights and delineators in accordance with the requirements of the Standard Specifications.

16.2.7.4 Pavement Edge Drop-off Protection The pavement edge drop-off protection requirements found in the Standard Specifications 619 are appropriate for the majority of Department construction projects. However, extremely high traffic volumes or extremely poor geometrics and/or sight distance may, in the judgement of the designer, require more protection than prescribed in the Standard Specifications. The designer is reminded to include appropriate details, pay items, and notes when modifying the prescribed drop-off protection treatment. Documentation for modifying the prescribed pavement edge drop-off protection treatment should be included when preparing the M&PT plans for approval. Contract document for projects that require guide rail replacement, resetting, or new installations should provide the contractor with the allowable guide rail installation time allowances. The designer should refer to Chapter 10, 10.5.7.4 of this manual for the recommended durations for allowable out-of-service time durations.

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16.2.8 Pavement Markings The Departments policy for highway work zone pavement markings presents a procedure for applying pavement markings on highway construction and maintenance projects. The provisions set forth in the policy and guidelines and must be implemented on all contracts. The policy established short-term markings, final pavement markings, and construction zone pavement markings. They are renamed herein to correlate them to the terminology used in the National MUTCD. Temporary Pavement Markings (formerly Short-Term Pavement Markings) Interim Pavement Markings (formerly Construction Zone Pavement Markings) Final Pavement Markings

Temporary pavement markings (TPMs) are used when it is necessary to open any State highway that is under construction, (1) to traffic or (2) by the end of the work shift (day or night) on resurfacing or milling projects, and the contractor is unable to install final pavement markings or interim pavement markings before opening the roadway. Interim pavement markings are used to delineate detours, diversions, and other temporary traffic patterns including pavement realignments, median crossovers, lane shifts, and lane closures. Final pavement markings are the last pavement markings placed on a project, in accordance with the projects final pavement marking pattern. Pavement markings used in work zones must be the same color and style and convey the same message as final markings, except that broken lines may be shortened to 1.2 m long. Coding for work zone pavement markings should follow these guidelines: In general, on all highways under construction with opposing traffic, the pavement markings separating opposing traffic should be yellow, full-barrier markings indicating a no-passing zone. In general, on all highways under construction with two or more lanes of traffic in the same direction of travel, white lane lines should be used between adjacent lanes of samedirection travel. For one-lane, two-way, alternating flow operations, solid white edge lines shall be used as channelizing lines on both sides of the lane to direct traffic in either direction around the work area in accordance with the NYSMUTCD 260.6.

16.2.8.1 Temporary Pavement Markings Temporary (formerly short-term) pavement markings are a separate pay item in the Standard Specifications.

16.2.8.1

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A. Policy Statement This policy does not change any of the provisions set forth in the Departments Pavement Marking Maintenance Policy, Code 7.9-9, concerning the requirements for year-round pavement markings. It is Department policy that before any interim or final course of pavement on any State highway under construction is opened to traffic, or by the end of the work shift on resurfacing or milling projects, temporary pavement markings complying with the requirements of this policy and the NYSMUTCD must be in place.

B. Policy Summation The procedure and guidelines herein for applying pavement markings on new, reconstructed, resurfaced, or milled pavements is in full compliance with Federal guidelines. In consideration of continuity and liability, the procedures and guidelines shall apply to all Department work completed under contract regardless of funding source. While this policy is primarily worded for projects constructed by contract, its provisions should be applied to maintenance work with few, if any, modifications. With the great diversity of projects that are affected, the highway work zone pavement marking policy allows for the application of various scenarios, depending on whether the final contract markings will be traffic paint or durable material, and whether the final pavement marking pattern can be determined prior to placement of the final course of pavement. See 16.2.8.2. For projects where the reconstruction may affect passing sight distance, thereby changing the location of passing zones, the policy provides for the application of temporary pavement markings before nightfall or the end of the work day, followed by the placement of the final markings after the Department codes the final marking pattern.

C. Guidelines Temporary pavement markings are pavement markings that are placed for short periods not to exceed 14 days. They must be in place prior to opening new or reconstructed pavements or milled surfaces to traffic, or before nightfall on resurfacing projects or before morning or opening to traffic in the case of nighttime paving. Temporary pavement markings should comply with the standards and guidelines in the National MUTCD 6F.66 and with the specific provisions described in this section. Temporary pavement markings shall be either Temporary Pavement Markings (Top Course) or Temporary Pavement Markings (Underlying Course), as designated by the designer. Edge lines, stop lines, cross walks, letters, symbols, and other transverse or special-purpose markings are not required temporary pavement markings, except when: (1) in the designers judgment they are necessary, based on functional classification, urban or rural conditions, highway geometry, highway alignment (vertical and horizontal), traffic speeds and volumes, traffic signal locations, roadside hazards, construction phasing, drop-off protection, etc., or (2) the conditions described in 16.4.4.2.B.8 Pavement Markings, are encountered. When selected markings are required, 01/20/06 16.2.8.1

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those markings (or appropriate channelizing devices (drums, cones, etc.)) and appropriate signing shall be shown on the contract plans and included in the contract documents. For information on the use of temporary pavement markings to help avoid motor vehicle encroachment into shoulders used by pedestrians and/or into bicyclists paths of travel, refer to sections 16.4.4.2.A.5 and 16.4.4.2.B.8. The following summary provides guidance in the use of temporary pavement markings .

C.1 Permitted Materials. Materials permitted to be used for temporary pavement markings include traffic paint, nonremovable tape, removable tape, and removable raised pavement markers, as specified in the Standard Specifications, except as described below. Exhibit 16-4 shows the conditions for which the use of each marking material is permitted. Exhibit 16-4 Permitted Uses of Pavement Marking Materials for Temporary Pavement Markings
P = R = KEY Traffic Paint Removable Tape or Removable Markers Nonremovable Tape Final Marking Pattern Known P ,R P ,R
1 1 3 3

Durable Final Pavement Markings In Contract

NT =

Epoxy or 2 Polyester Final Marking Pattern Unknown R R

3 3

Thermoplastic or Preformed Final Marking Pattern Known R R

3 3

NOTES 1. Must install in final location. 2. Install directly over P. 3. Must offset from final location. Top (Final) Course Underlying Courses Solid Line Broken Line Solid Line Broken Line

Final Marking Pattern Unknown R R

3 3

P, R P, R, NT

P, R P, R, NT

P, R P, R, NT

P, R P, R, NT

C.1.a Temporary Pavement Markings (Underlying Course). Temporary pavement markings (underlying course) shall be installed using traffic paint, nonremovable tape, removable tape, or raised removable pavement markers.

C.1.a(1) Traffic Paint. Traffic paint may be used for solid and broken lines on any underlying pavement course and need not be removed before placing a subsequent course.

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C.1.a(2) Removable Tape, Raised Removable Markers. Removable tape and raised removable pavement markers may be used on any underlying pavement course. These materials must be removed before placing a subsequent course.

C.1.a(3) Nonremovable Tape. Nonremovable tape may be used only for 1200 mm or shorter broken-line segments, in accordance with the appropriate specification and only on an underlying pavement course. The broken-line segments need not be removed before placing a subsequent course. Nonremovable tape is not allowed to be used to mark solid lines on any underlying pavement course.

C.1.b Temporary Pavement Markings (Top Course). Temporary pavement markings (top course) shall be installed using traffic paint or removable tape or raised removable markers.

C.1.b(1) Traffic Paint. Traffic paint may be used for solid and broken lines on the top or final pavement course only when the final pavement marking pattern is known, only when the temporary pavement markings are placed in the exact location of the final pavement markings, and only when the final pavement markings will be paint, epoxy, or polyester markings.

C.1.b(2) Removable Tape, Raised Removable Markers. Removable tape and raised removable markers may be used for solid or broken lines on any top or final pavement course. Removable pavement markings material shall be selected for use and applied in accordance with the appropriate specification. These markings must be removed before placing the final pavement markings.

C.1.b(3) Nonremovable Pavement Markings. Nonremovable pavement markings are not allowed to be used as temporary pavement markings on any top or final pavement course.

C.1.b(4) Location of Temporary Pavement Markings. Temporary pavement markings shall be offset from the location of the final pavement markings when the final pavement markings will be thermoplastic or preformed because the residue remaining on the pavement after their removal will interfere with the adhesion of the final pavement markings. Temporary pavement markings shall be installed on the exact location as the final pavement markings when the final pavement markings will be paint, epoxy, or polyester.

C.2 Removal of Temporary Pavement Markings. If it is known at the time of installation that temporary pavement markings will have to be removed for any reason, and/or to prevent the damage and scarring imposed on final pavement courses when attempting to remove fresh paint or nonremovable tape, only removable tape or raised removable pavement markers will 01/20/06 16.2.8.1

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be allowed for temporary pavement markings on final courses.

C.3 Temporary Pavement Markings, Patterns, and Colors. Temporary pavement markings, patterns, and colors shall be in accordance with Parts 260 through 263 in the NYSMUTCD as determined by the designer. The following pavement marking patterns shall be installed as temporary pavement markings: Yellow broken lines, partial barrier lines, and full-barrier lines as required by the NYSMUTCD, used to separate opposing traffic flows on two-way roadways. White solid or broken lines to define lanes for traffic moving in the same direction on multilane highways. Other markings as determined by the designer and specified in the contract documents.

When deemed necessary, specify edge lines, gore channelizing markings, or certain transverse or special-purpose markings as temporary pavement markings. This may occur for instance, when paving a multilane, urban/suburban arterial in a major commercial area with double leftturn lanes, traffic signals, turn lanes that are slotted away from through lanes, etc. This can be especially important if motorists need to be in a particular position to actuate traffic detectors. The designer should consult with the Regional Traffic Engineer when conditions require special pavement markings. All broken-line temporary pavement markings for top and underlying pavement courses shall be a minimum of 1200 mm long in 12.2-m cycle lengths. Under special conditions, such as roadways with severe curvature, 600-mm long temporary markings in 6.1-m cycle lengths may be used. For broken lines on underlying pavement courses, reflectorized pavement marking paints, nonremovable tape, or removable tape may be used. Temporary pavement markings should be 100-mm wide minimum. Raised removable markers 100 mm wide may be used to supplement or simulate 100-mm wide, temporary pavement markings.

C.4 Removable Raised Pavement Markers. Removable raised pavement markers may be used as supplements to or substitutes for longitudinal temporary pavement markings. They are not suitable for use as supplements to or substitutes for transverse markings. Removable raised pavement markers should not be used during winter months. All removable raised pavement markers, when used as a substitute for pavement markings in work zones, shall be retroreflective, shall be the same color as, and placed in the same location as the pavement markings for which they are substituted, except offset from final pavement marking locations on top (final) pavement courses, and shall be visible during the daytime. Individual raised pavement markers spaced every 1500 mm may be used as a substitute for solid markings. As a substitute for yellow, full-barrier markings, pairs of removable raised markers shall be placed side-by-side at the same 1500-mm spacing to simulate a double line. 16.2.8.1 01/20/06

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Removable raised pavement markers must be removed prior to the placement of the subsequent course of pavement.

C.5 Temporary Pavement Markings Restrictions Temporary pavement markings are not for use in marking detours or temporary traffic patterns.

C.6 Temporary Pavement Markings Quantity Estimate. The designer is alerted to the fact that the quantity estimated for temporary pavement markings cannot necessarily be derived from the quantity for the final pavement markings since passing may be prohibited during the construction phase where passing \ay be permitted afterwards. The estimate must include the quantities for each pavement course for the various stages or phases of construction.

16.2.8.2 Interim Pavement Markings Interim (formerly construction zone) pavement markings are a separate pay item in the Standard Specifications. Interim pavement markings apply only to markings for temporary traffic patterns associated with construction activities for detours, temporary pavement realignments, median crossovers, lane shifts, and lane closures. It is recommended that interim pavement markings be removable pavement marking tape, and/or removable raised pavement markers. Traffic paint is allowed, but its use is discouraged due to its lower visibility, especially at night, and the need for reapplications. The recommendations below are provided to assist in the selection of the appropriate type of marking to fit various project situations and traffic needs. Interim pavement markings are those that are in place for more than 14 days. Their widths should be either 100 mm or 150 mm to conform to the widths of the existing markings which they replace. Raised removable markers 100 mm wide may be used to supplement or simulate 100-mm wide, interim pavement markings and supplement 150-mm wide, interim pavement markings.

A. Preformed Removable Pavement Marking Tape Preformed, removable pavement marking tape is intended for use on pavement that is to remain in place without being overlaid after the temporary traffic pattern is removed, where scarring of the pavement surface would be objectionable, and where good visibility, both daytime and nighttime, is desired. A typical example of its use is for temporary traffic patterns at an angle to the permanent pattern where pavement marking removal scars crossing permanent lanes at an angle would create an unacceptable appearance on the finished pavement and confusion for traffic. These materials are relatively expensive, and may not adhere well to existing pavement if applied to dirty or dusty surfaces. They should be specified primarily in situations where easy removal with minimal scarring is essential. This material provides excellent durability, excellent daytime visibility, and good night visibility under dry 01/20/06 16.2.8.2

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conditions, but may be susceptible to snow plow damage.

B. Raised Removable Pavement Markers Raised pavement markers are appropriate for use where extremely effective nighttime delineation (especially under rainy conditions) is important. Appropriate situations include lane closure and lane-shift tapers, median crossovers, and narrow roadways. Interim pavement marking paint stripes, supplemented with raised markers, is an appropriate choice where excellent daytime visibility, as well as wet-night visibility is important. To enhance wet-night delineation on temporary traffic patterns striped with an optional pavement marking item, removable marking tape, or existing markings, supplemental raised pavement markers may be added. This is an especially good choice on curved or narrow alignments with lower design speeds than the adjoining highway sections. If supplemental delineation is required during the winter, use of raised pavement markers is discouraged because they will be easily removed by snow plows. Alternative supplemental delineation, i.e., post-mounted delineators or other devices should be considered. A decision of whether to replace raised markers in the spring should be based on the work zone requirements at that time, including duration of work remaining, traffic patterns, other markings and delineation devices present, etc. Raised removable pavement markers shall not be used to simulate marking letters or symbols or transverse markings such as hatch lines, stop lines, or crosswalks.

16.2.8.3 Final Pavement Markings Final pavement markings are a separate pay item in the Standard Specifications. Final pavement markings will be the last pavement markings placed on a project in accordance with the projects final pavement marking pattern. They are intended to endure until the project receives either durable markings under the Regional durable marking contract, or subsequent restriping under the Regions annual maintenance marking program. Durable markings refers to longitudinal epoxy, polyester, preformed, and thermoplastic pavement markings as described in the Departments Pavement Marking Materials Guidelines available from the Materials Bureau. Durable transverse markings and durable special-purpose markings refer to stop lines, letters, symbols, and other transverse or special purpose durable markings. These markings are typically placed using preformed tape, although other durable types may be used and included in contracts as needed, regardless of the type of longitudinal markings in the contract. If any pavement course on a highway or a portion of a highway under construction, any surfaced detour, or any roadway is designed to carry traffic for more than 14 days (i.e., interim courses or detours upon which traffic is to be maintained for long periods, such as over a winter season), 16.2.8.3 01/20/06

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interim pavement markings (see 16.2.8.2) should be provided for and in place prior to opening to traffic. When traffic paint is used for temporary pavement markings on the top of final pavement course, it shall be installed in the exact location of the projects final pavement markings. When the projects final pavement markings are specified to be epoxy or polyester, these materials shall be applied directly over the temporary painted markings, provided they consist of only a single layer of paint. If the temporary pavement markings are more than a single layer of paint, the pavement surface must be cleaned and prepared according to the requirements of 635 of the Standard Specifications. Interim pavement markings may also be used on detours to provide permanent markings that will remain in place after the route is no longer used as a detour. On all permanent pavement surfaces or final pavement courses, the final and complete pavement markings should be installed as soon as practicable. However, since the coding of the final pavement markings may not be known or established until after placement of the final pavement course, and because a limited number of projects receive durable pavement markings as a contract item, it may not be possible or necessary to install the final pavement markings prior to opening to traffic. In these situations, temporary pavement markings must be installed on final pavement courses. Depending on the situation and contract provisions, one of the following cases and subsequent procedures should be followed.

A. Case 1 - Projects With Durable Longitudinal Markings This procedure is for construction projects which include durable longitudinal markings as a contract requirement. Before nightfall or the end of the work shift, temporary pavement markings which meet the requirements previously cited must be installed. Only removable tape or removable pavement markers are allowed as temporary pavement markings on the top course when thermoplastic or preformed durable final pavement markings are specified. The temporary pavement markings used in such cases must be offset from the final position of the durable markings because when removed, they leave a residue which may interfere with the bond of the durable markings. The use of pavement marking paint (maximum of one layer applied directly to the pavement) is permitted for temporary pavement markings only when epoxy or polyester durable final pavement markings are specified. The paint markings must be placed on the exact location as the final markings. The use of pavement marking paint and nonremovable tape is prohibited when thermoplastic or preformed tape is used for temporary pavement markings because paint interferes with the bond and would have to be removed by grinding or sand-blasting the final pavement surface prior to placement of durable markings resulting in damage to the pavement. 01/20/06 16.2.8.3

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Durable longitudinal markings must be installed within 14 days.

B. Case 2 - Projects With Painted Final Pavement Markings and Pattern is Known This procedure is for construction projects which include painted final pavement markings as a contract requirement, where the final permanent marking pattern (i.e., passing zones vs. nopassing zones) is indicated on the plans, or can be designated by the EIC prior to placement of the final course of pavement Final pavement markings, excluding edge lines, must be installed by nightfall using traffic paint as indicated or designated for the center lines and lane lines. Only removable tape or raised removable pavement markers will be allowed as temporary pavement markings, either of which must be offset from the position of the final painted pavement markings to be subsequently placed. The final pavement markings including edge lines and all other specified markings must be installed within 14 days.

C. Case 3 - Projects With Painted Final Pavement Markings and Pattern is Unknown This procedure is for construction projects which include painted final pavement markings as a contract requirement, where the final pavement marking pattern is not indicated on the contract plans or cannot be designated by the EIC prior to placement of the final course of pavement. Temporary pavement markings meeting the requirements previously cited, must be installed before nightfall or the end of the work day, except that only removable tape or removable raised pavement markers will be allowed as substitutes for final pavement markings, including edge lines, either of which must be offset from the final position of the durable markings to be subsequently placed. It is the EICs responsibility to designate the final marking pattern within 7 days. Prior to the 14day limit , the contractor must install the final pavement markings using traffic paints.

D. Case 4 - Region-Wide Durable Marking Contract With Removal of Existing Markings This procedure is for Region-wide durable marking contracts, which may require the removal of existing markings prior to application of the durable marking material. The highway will be considered to be under construction, and the provisions for highway work zone pavement markings will apply. Since the provisions for temporary pavement markings allow a highway to be without edge lines for up to 14 days, any or all edge lines may be removed, with the provision that the new durable edge line markings will be in place within 14 16.2.8.3 01/20/06

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days at any location where such lines were removed. Any or all center lines and lane lines may be removed, with the provision that the new durable center line and lane line markings will be in place before nightfall or the end of the work day of the day of removal, at any location where such lines were removed. Should the new durable center line and lane line markings not be installed before nightfall or the end of the work day, temporary pavement markings meeting the requirements previously cited must be installed at no cost to the State, except that only removable tape or removable raised pavement markers will be allowed as substitutes for pavement markings, either of which must be offset from the final position of the durable markings.

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16.2.9 Hand Signaling Devices and Warning Flags Hand-signaling devices and warning flags are included in the Basic Maintenance and Protection of Traffic item in the Standard Specifications. Refer to the NYSMUTCD 301.9 for guidance on the proper application and location of flaggers and flagger stations. Flaggers are used to stop traffic intermittently at work sites and to assign right of way, or to slow traffic as it passes the activity area to help protect the work crew. A flagger sign (W8-22) should be used to warn drivers that they are approaching a flagger station. While flagging is an acceptable method of traffic control, it should be used only when other methods of traffic control are not suitable or practical for the situation. A flagger location that will provide as much advance sight distance as can reasonably be obtained should be selected. Increasing the distance between the flagger and the transition area optimizes the visibility of the flagger to approaching traffic. This is especially critical at crest vertical curves and horizontal curves where the flagger may have to be moved upstream to assure adequate sight distance for approaching traffic. Since all traffic in the lane in which the work area is located will be slowed considerably or stopped before entering the transition area, a 30-m (15-m minimum) entry taper in a one-lane, two-way, flagger-controlled operation is acceptable, regardless of lane width. Longer tapers up to 75 m maximum, may be used if specific site conditions such as low volumes or high-speed trucks or night construction suggest that vehicles may encounter the taper at high speeds. The spacing of the channelizing devices should be 6 m or less. The distance from the downstream end of the lane taper to the work space is the longitudinal buffer space (refer to Exhibit 16-5 in this chapter and the NYSMUTCD 301.13, Table 301-2). It is acceptable to increase the buffer distance for downgrades in accordance with the criteria established for AASHTO stopping distances for various approach speeds. Enhancement of flagger stations with supplemental traffic control devices (flag trees, cones, etc.) upstream of flagger locations has the potential to increase conspicuity and alert drivers that they are approaching a work site. These additional devices are very low in cost, and are easily deployed. Exhibit 16-5 shows a typical layout for a flagger station with cones and a flag tree for enhancements. The actual distance to these enhancements will vary to meet approach speeds and roadway conditions, and minor adjustments should be made as necessary to achieve the best results. Flag trees (F5-1) shall be used for all stationary work zones that include flaggers. Flag trees shall be located a distance of one-half the advance posting distance for Category 1 signs, but no less than 75 m and no more than 200 m in advance of the flagger location. This is particularly important in situations where the work zone setups are on roadways with significant horizontal and/or vertical curves. When the W8-22 flagger symbol sign is used, additional cones and flag trees are also recommended.

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Regional experience using flagger station enhancements indicates that flag trees may be less effective in urban or congested areas than in rural or open areas due to background clutter caused by signs, buildings, traffic, etc. It may also be difficult to use flag trees for moving and shortduration operations. In those situations where, in the designers judgement, flag trees will not be effective in conveying adequate warning to drivers, or where they would cause or result in conflicts with existing or work zone signing or roadside features, or where the operations are constantly moving or are at one location for no more than a few minutes, the use of flag trees is optional. The use of centerline cones immediately upstream of the flagger station is also an enhancement which should be considered on a project-by-project basis and selected for use based on good engineering judgement. Centerline cones may be omitted from roadways with narrow cross sections or in situations where drivers may be confused by the cones, causing them to move to their left into the opposing lane. When flagger station enhancements are selected for construction, maintenance, or utilities operations, notes should be included on the contract documents.

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Exhibit 16-5 One-Lane, Two-Way Traffic Control Flagger Station Enhancement With Flag Tree and Cones

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16.2.10 Temporary Traffic Signals Temporary traffic signals are a separate pay item in the Standard Specifications. Temporary traffic control signals are installed for a limited period of time to control road user movements through temporary traffic control zones. Typical work zone situations for which temporary traffic signals are used include temporary haul road crossings, temporary one-way operations along a two-lane, two-way highway, temporary one-way operations on bridges, reversible lanes, and intersections. Temporary signals are custom designed and are more able to accommodate project-specific needs such as driveways and pedestrians. Temporary signals can involve considerable design complexity and effort to address traffic needs. Designers should seek the advice of the Regional Traffic Engineer. Refer to Chapter 11 of this manual for guidance in traffic signal design. The location of temporary traffic signals should be announced by advance warning signs. Temporary traffic signals must be located so motorists have sufficient time to see the signal and react safely. The design elements that should be considered for temporary traffic signal installations include number, size, mounting alternatives, physical arrangement, placement of the individual signal heads, signal timing, detection, and the accommodation of intersections and driveways. Advance warning signs in accordance with 275.2(f) of the NYSMUTCD are required to ensure that the motorist is alerted to the presence of a work zone and traffic signal. Other traffic control devices, including regulatory, warning, and guide signs, pavement markings, and channelizing devices should be used to supplement temporary traffic control signals. Temporary traffic control signals should be used only in situations where they are preferable over other means of traffic control, such as using flaggers to control one-way or crossing movements, using STOP (R1-1) or YIELD (R1-2) signs, or using warning devices alone. Flaggers would be required 24 hours per day. Signs may not be adequate for safe control of traffic. Before using temporary traffic signals, the existing roadway and traffic conditions should be assessed. A survey should be made at the time of day when the work will be done. The following is a list of the minimum information that should be gathered: Identify locations for temporary traffic signals. Determine the distance between the proposed signal locations (area between the stop lines). The practical maximum length of activity area for one-way traffic signal control should not exceed 800 m. Shorter lengths are desirable, especially if the activity area is on a roadway with limited sight distance and/or higher volumes would encourage red-light violations. Signal timing may also limit the length of the work zone. Check the locations for adequate visibility of the signals as motorists approach them. The signal locations will have to be adjusted if minimum sight distance guidelines are not met. Note the presence of intersecting streets and driveways. If the work zone limits include high-volume driveways and intersections with major routes, it may be necessary to include temporary traffic signals within the activity area to control the intersecting traffic, and 16.2.10

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES interconnect them with existing traffic signals that may be located within or adjacent to the activity area. Record traffic conditions. Count the number of vehicles passing a stationary point during 4-minute intervals, the maximum reasonable wait time. This will be an indicator of how many vehicles would be expected to queue at the signal. Document if the flow is evenly split between the two lanes, or if it is uneven, favoring one direction over the other. Check these conditions at different times throughout the day. Document the speed at which motorists are approaching the proposed work zone. The speed on approach is an important factor in determining sight distance requirements.

The physical details that affect the drivers ability to see and respond to the signal display are the minimum visibility requirements, number and location of signal faces, size and arrangement of signal indications, and illumination. Traffic signals should be visible to traffic approaching the signals at the decision sight distances given in the AASHTO 2004 green book Exhibit 3-3. This requirement is particularly important where temporary traffic signals are used and motorists are not expecting the need to stop or slow down, for instance, due to a queue of several vehicles stopped at the signal. If the proper decision sight distance is not available, a W2-17 signal ahead sign shall be installed at the proper distance given in the Advance Posting Distances for Signs in Posting Category I, Table 230-1 in the NYSMUTCD. Methods that may be used to economically mount signal indications at restricted work zones are span-wire- mounted and post-mounted signals. There are several characteristics and advantages and disadvantages of each type of signal mounting that should be considered during the design and installation of temporary traffic signals. One advantage of the span-wire mounted signals is that the overall conspicuity is greatly improved because the faces are directly in line with the motorists approach to the work zone. Span-wire-mounted signals are more commonly used at restricted work zones, but post-mounted signals are also used. A potential problem associated with post-mounted signals located beside the roadway is that the visibility of the signal may be blocked by large trucks. The presence of signals on both sides of the roadway will ensure that approaching drivers see the red indication and do not attempt to pass. Furthermore, post-mounted signals located beyond vertical curves may not be high enough to be seen over the crest of a hill. In this case, special consideration must be given to the visibility of the signal. Stability is also a concern. Temporary traffic control signals mounted on fixed supports have better resistance to displacement or damage by severe weather, vehicle impact, and vandalism. Figure 302-8 B in the NYSMUTCD illustrates an example of a work zone layout using a temporary traffic signal. Refer also to the National MUTCD Figure 6H-12. Motorists approaching a work zone must have adequate time to see and respond to work zone traffic control devices. The NYSMUTCD 272.11(b) requires that all traffic signals have at least two signal heads per approach. If any signal heads are located above a travel lane, the bottom of such a signal head must be at least 4.6 m in height, but no greater than 5.8 m above the road surface.

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16.2.11 Portable Traffic Signals Portable traffic signals may be proposed for use by the contractor, for which they must conform to the Standard Specifications. The Department maintains an approved list of portable traffic signals.

16.2.12 Barrier Warning Lights It may be necessary or desirable to supplement signs, barriers, and channelizing devices with lighting devices mounted on them, especially at night. This may be accomplished by using flashing warning lights, and/or steady-burning electric lights. The different types of lights and the guidance for their application, design, and location is provided in the NYSMUTCD Part 294. Refer to 16.2.4.2, 16.2.7.1, and 16.2.7.2 in this chapter for discussions of Types A, B, and C warning lights.

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16.3 SAFETY DEVICES AND BARRIERS

16.3.1 Temporary Traffic Barriers Temporary concrete barrier is a separate pay item in the Standard Specifications.

16.3.1.1 Temporary Concrete Barrier Temporary concrete barrier (TCB) is similar in shape to the Jersey-shape permanent concrete median barrier. The main difference relates to the need to make the installation temporary. To accomplish this, the temporary units are cast with a flared base and holes for embedded anchorage. The ends of each unit include vertical steel tubes with a continuous vertical slot to accommodate a small built-up I-section that may be dropped into facing slots as a connection key. Units are cast with openings through the base to serve as drainage pockets. To limit deflections on impact, grout may be placed between the base portions of successive units as shown on the Standard Sheets for 619 series items. To permit further reduction in the deflection, the units are provided with holes through the shoulders (outside portion of the base) so that units can be anchored in place by steel anchor rods on alternate sides of the units. Table 10-3 in Chapter 10 of this manual shows the standard deflection for each case. The designer should show the areas where these deflection-limiting measures are desired on the plans. Details of the units, connection keys, and anchoring details are shown on the Standard Sheets for 619 series items. Also shown on the Standard Sheets are details of the tapered end sections. Delineation is required. The recommended flare rates will differ depending on whether TCB is being placed (1) to merge traffic, (2) to divert traffic at signal-controlled, one-lane reversible operations, or (3) adjacent to the traveled way. The recommended minimum flare rates are shown in Exhibit 16-6. In some situations, the proximity of driveways or other features may make the use of more abrupt flares necessary. Approach ends of TCBs should be flared away from the road at the rates given in the Exhibit 16-5. Barrier flares shall be preceded by a taper of channelizing devices for a distance L from the start of the taper, using the taper rate given in the NYSMUTCD Table 262-2. Where possible, the channelizing device taper should be followed by a tangent section of channelizing devices for a minimum distance equal to the longitudinal buffer distance in the NYSMUTCD Table 301-2. Where practical, the approach ends should be embedded into a back slope or started behind an existing barrier and beyond its deflection distance. (Consideration may be given to temporarily reducing the deflection of the existing rail system by the placement of additional back-up posts up to the spacing limits shown in Table 10-3 in Chapter 10 of this manual.) If approach ends cannot practically be embedded, shielded by sand barrel arrays, or carried beyond the clear zone, the ends must be suitably treated. Impact attenuators should be provided if (1) the anticipated operating speeds are 70 km/h or greater, (2) the ends cannot be conveniently embedded or shielded, and (3) the ends are closer than 3.6 m to approaching traffic lanes. Where sand barrel arrays are used

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Exhibit 16-6 Recommended Minimum Flare Rates for Temporary Concrete Barrier Barrier Location In travel lane or within 0.6 m of existing delineated edge of travel lane. Anticipated Operating Speed (km/h) 110 100 90 80 70 60 50 110 100 90 80 70 60 50 50 (May assume due to signalization. If higher speeds are expected, use flare rates for the above speeds.) Recommended Minimum Approach Flare Rate 20:1 18:1 16:1 14:1 12:1 10:1 8:1 14:1 13:1 12:1 11:1 10:1 9:1 8:1 8:1

More than 0.6 m beyond existing delineated edge of traveled way.

In travel lane at signalcontrolled, one-lane, reversible operations

Note: Barrier flares shall be preceded by a taper of channelizing devices.

Source: Roadside Design Guide

for shielding and traffic will only be on one side of the array, the barrels on the traffic side of the array should be in a straight line to minimize the potential for errant vehicle to crash directly into one of the heavily loaded barrels in the back of the array without first impacting the lighter barrels in front. If the first full-height section of TCB will be 3.6 m or more removed from approaching traffic lanes or if the anticipated operations speeds will be less than 70 km/h, a tapered end section may be used where embedment or shielding is not practical. Impact attenuators may be warranted for ends over 3.6 m from traffic in areas where sharp curves, short sight distances, high-volume weaves, merges, or other traffic conflict situations increase the possibility of vehicles leaving the traveled way. Rapid changes in horizontal or vertical alignnment cannot be accommodated by TCB connections. In most locations, there is a significant drop beyond the shoulder, making it necessary to place fill, which could be a significant amount, to run TCB outside the clear zone. The only practical option is to protect or shield the ends of the TCB. At locations where the likelihood of collisions is low or where a vehicle has adequate opportunity to slow significantly before reaching the tapered end

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section, engineering judgement should be used to determine what level of protection is necessary and how best to provide that protection. In certain circumstances, such as rural bridge redecking jobs where traffic is maintained parallel to the direction of travel, and driveways or intersections are immediately upstream from the bridge, it may not be possible to use the desired flare rates for the TCB, or even to adequately bury or extend the lead end of the TCB. If it is judged that TCB is needed to protect the workers, then the TCB on the tapered approach should be placed on as much of a skew as possible to minimize the severity of impact for errant vehicles. Other alternatives available for consideration include attenuators or sand barrel arrays, movable concrete barrier since it can be flared on a shorter radius than TCB, TCB with a flared approach, an attenuator with a proprietary movable barrier gate to protect the opening, or vehicle-arresting barriers. TCB alignments at or near-right-angle alignments to the roadway should not be used unless none of the aforementioned alternatives are appropriate. On projects where it is necessary to close a bridge to complete the work, worker protection should be provided, even though the approach highway is closed to through traffic. Under the best circumstances where adequate space is available, the approach to the bridge should be closed with Type III barricades and the proper advance warning and regulatory signs, in accordance with the MUTCD. In situations where the available space is not suitable, a vehicle-arresting barrier should be installed. (Refer to 16.3.2.) TCB placed across the approach highway at or near 90 degrees to the road alignment should not be used unless protection is necessary and there is no other alternative method. When flaring TCB on approaches, the barrier may come close to an existing run of guide rail. This is very typical on bridge projects, especially in urban areas. The requirements to get the end of the barrier 3.6 m removed from traffic may put the tapered-down end section in a location where an errant vehicle that hits the existing guide rail upstream could be led along the rail and right into the end of the TCB. In those cases, the guide rail should be fastened to the face of the TCB as a first preference. If that is not possible, temporary impact attenuators should be specified.

16.3.1.2 Moveable Concrete Barrier Moveable concrete barrier is a PIN-approved item. The designer must obtain approval from the Design Quality Assurance Bureau to use it on a project. Barrier and the custom-designed vehicle to move it are typically rented from the vendor. Moveable concrete barrier (MCB) is used on construction projects in congested areas to provide additional traffic lanes to accommodate both AM and PM peak-hour traffic. It is also used to provide a safe means of expanding the contractors work area and the opportunity to stage projects in a more effective manner. Advantages of using MCB on congested construction projects include the following:

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Construction workers in temporary lane closures are protected behind positive physical barriers. Errant vehicles are better prevented from intruding into work zones. Routine and repetitive lane closures can be accomplished quicker than by using typical channelizing devices or barrier and without exposing workers to traffic. Congestion and air quality impacts can be reduced during construction by opening travel lanes during peak traffic times. The Contractors lane rental costs and/or construction schedule duration may be significantly reduced, in which case, the cost savings should be factored into lane rental charges.

Refer to Chapter 10, 10.2.4.9 of this manual for further information on and additional advantages and disadvantages of MCB. Generally, during preliminary design, TCPs have not been progressed to the extent that an adequate assessment of the appropriateness of MCB can be made. Nevertheless, enough data should be available at this point to allow for a screening to be done to make an initial determination as to the use of MCB. The answers to the following questions will help the designer determine if the use of MCB should be considered during detail design.

Preliminary Design Phases I-IV Need 1: Is there a need during the peak hour(s) to restore to use a lane or shoulder that is closed? Need 2: Is there a need to alter the lane configuration to improve directional traffic flow in the peak direction? If the answer to both questions is no, then MCB is not needed. This should be documented in the design approval document (DAD). If the answer to either (or both) question(s) is yes, the next question is: Need 3: Is positive protection of the work zone warranted? If the answer is no, then MCB is not needed. If the answer is yes, the designer should document in the DAD that further analysis to determine the appropriateness of MCB will be done during detail design. MCB is a high-cost item that requires special design considerations and should be used only when necessary. If the needs screening indicates it is needed, an analysis should be done as early in the project design as possible to validate its use. Documentation of the need for that analysis in the DAD is considered appropriate. During Detail Design Phases V and VI, as traffic control concepts are further progressed on projects where the DAD indicates that MCB should be considered, additional analysis should be conducted to determine whether MCB should be utilized on the project and the answers to the three questions should be confirmed. Factors to be considered when performing this analysis should

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include, but are not necessarily limited to the following: Safety and Traffic Operations < Can traffic operations be improved, in terms of safety, with the use of MCB compared to other barrier types? < Is positive protection of the work zone warranted? (This may be critical for projects which include nighttime construction.) < Can traffic flow be improved without adversely impacting construction scheduling or quality? Will there will be frequent, short-duration lane closures where MCB will provide the optimal protection to traffic and workers without permanently closing the lane? How many lanes is it permissible to close? (Roadways where only single-lane closures are permitted would likely require positive barrier separation for safety reasons.) Is the nature of the work conducive to using MCB? Is daily contraflow or reversible operation proposed? Is there a need to restore closed lane(s) or shoulder to traffic during peak traffic periods? Can construction be expedited or quality improved or productivity increased while maintaining a minimum level of acceptable traffic performance? Are the benefits in terms of reduced delay worth the extra cost, and can the project budget absorb the increase in cost that may result from the use of MCB? (If MCB is determined to be appropriate for safety reasons, the project budget should be adjusted to accommodate it. How will delivery and storage of materials and equipment be facilitated? Can additional activity area be gained during off-peak hours and substantially reduce construction time? Can restaging of work be kept to a minimum?

When developing the MPT plan, the use of MCB should be limited to projects where a greater benefit can be attained than if standard methods and equipment were used. Listed below are types of projects for which MCB may be a viable option. Widening or reconstruction projects on arterials or expressways with high peak-hour traffic volumes, e.g., peak directional traffic operating at or near capacity (level of service E or F) during peak periods and/or is expected to exhibit unacceptable (as determined by the Region) levels of congestion during construction. Projects where a reversible traffic lane would be beneficial during peak traffic periods and which would allow for better staging. This has been effective in median reconstruction and has also been used successfully on the reconstruction of parallel structures by increasing the capacity of one structure while closing down the other. Projects where the size of the construction work zone is very restricted. Significant construction quality, efficiency, and time savings may be obtained by widening the work area during off-peak periods. MCB may help a contractor reduce lane rental costs. Projects on which traffic must be managed on site due to insufficient excess capacity or other operational deficiencies on alternate routes. Nighttime construction projects.

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Projects where site constraints preclude temporary or permanent widening. Projects where traffic flow is highly directional and conducive to the use of a reversible lane. Significant construction quality, efficiency, or schedule benefits can be obtained by widening the work area during off-peak periods.

The cost-effectiveness of MCB as a traffic management tool should be evaluated by comparing the expected benefits to the cost of obtaining and operating the MCB system. The economic benefit of reduced delay and enhanced construction efficiency (reduced costs) need to be estimated. The QuickZone computer program is an analytical tool to help with this analysis. It was developed by FHWA to evaluate work zone capacity and delay cost. Safety benefits, construction quality benefits, and public relations benefits are more intangible but should be considered. Assess the potential for severe traffic accidents in lane closures without concrete barrier, which could be prevented or reduced in severity by a barrier, by considering the proximity of traffic to workers and equipment, presence of edge drop-offs, and experience with similar construction projects. For Consultant-designed projects, the preparation of the technical assessment should be made part of the consultant scope of work for appropriate projects. If MCB is selected for use on any project operation, the MPT plans should detail where and when it is to be used and the appropriate pay items should be included in the contract documents.

16.3.1.3 Temporary Box Beam Barrier Temporary box beam barrier is a separate pay item in the Standard Specifications. It must conform to the requirements for box beam median barrier, except that it need not be new. Refer to Chapter 10 of this manual for design guidance.

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16.3.2 Vehicle-Arresting Barrier (Net-Type) Vehicle-arresting barrier is a PIN-approved item. The designer must obtain approval from the Design Quality Assurance Bureau to use it on a project. Vehicle-arresting barriers (VAB) (net-type) are used at highway construction work zones to prevent errant vehicles from entering work areas and causing injury and damage. They have proven effective in restraining vehicles ranging from motorcycles to 18 000 kg trucks. Once a vehicle is caught in the net, it is safely brought from highway speed to a full stop by the release, at a predetermined resistance, of restraining cables on the net. The deceleration rate and final distance traveled before coming to a full stop can be determined from the design formulas below and should be shown on the plans. Vehicles can be stopped with a relatively low G force. These devices protect against vehicles breaching road or ramp closures. Consideration should be given to including VAB in the MPT plans (or by order-on-contract when work is initiated after the letting) at any locations where there is a concern that drivers will enter the closed roadway. A VAB is detailed on Standard Sheets M619-6 and M619-7 Vehicle-Arresting Barrier (Net-Type) Details. The following points are to be addressed if VABs are used. VAB locations are to be shown in the MPT plans. Type III barricades, with flashing warning lights, and appropriate ROAD/RAMP CLOSED (R8-1) signs, must be provided in front of the VAB. Where the net is located some distance beyond the closure, a secondary set of Type III barricades should be placed immediately in front of the net to alert construction traffic and any drivers who circumvent the primary closure. Adequate stopping distance free of all objects and vehicles must be provided beyond the VAB. See below for information on computing the required stopping distance. Consideration should be given to providing access for construction vehicles and other official traffic to enter the closed roadway. When there is a concern that drivers will deliberately try to enter the closed roadway by driving around the net, stationing a watchman or police officer in a vehicle at the entry point should be considered. The vehicle should be equipped with appropriate warning lights and positioned where it is visible to approaching traffic, but in a location where it is not at risk of being struck. The watchman should be equipped with a radio to alert the work area of any vehicle intrusions.

The vehicle-arresting barrier (VAB) is approved by the FHWA for use on federal-aid projects.

16.3.2.1 Guidelines for the Use of Vehicle-Arresting Barriers (Net-Type) A VAB (net-type) may be considered for use at locations where one or more of the following situations exist: Vehicle encroachment into the work area would result in a probable injury to either workers

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or vehicle occupants or both. A good example is a bridge removal and replacement project at the bottom of a long downgrade where motorists are more likely to lose control of their vehicles. Vehicle encroachment into the work area would be at high speed, usually not requiring any turning movements to enter the work area. A good example is a full closure of a high volume expressway, where contractor operations extend over a long period of time, but the roadway must be reopened daily to traffic. Past accident and operational history indicates that conventional equipment, such as Type III Barricades, temporary concrete barrier, and safety fences, are unable to prevent errant vehicles from entering the work area, or are otherwise unsuitable for a particular site. For off-peak or night work where the roadway is closed intermittently over a period of days or weeks. A VAB (net-type) can be assembled or disassembled in just 15 minutes once the concrete anchors are installed. Errant vehicles must be brought to a full stop so as not to enter the work area. A VAB (net-type) should not be used for the following situations. Where the stopping distance beyond the VAB is inadequate. For single lane closures of multilane roadways. Where workers will not be available to periodically check the condition of the various components unless specified in the contract documents. Where less costly and less maintenance-intensive conventional equipment could effectively be utilized without sacrificing the safety of the workers or vehicle occupants.

VABs should be used in conjunction with Type III barricades, plastic drums, adequate signing, etc., to alert motorists of a roadway closure. In addition, the anchor posts should be shielded from impact, by ramping soil up to the top of the post, as shown on the Standard Sheets, and provisions should be made for performing repairs as quickly as possible. Disadvantages of a VAB (net type) are: The units are subject to vandalism or theft. After each impact, maintenance is required which consists of: < Minor impact - replace the tape assembly. < Severe impact - replace most components. The contractor must be notified quickly to provide maintenance after each impact since the system has no second-hit capability. A battery-powered electronic device to notify the contractor in the event of an impact or vandalism is available from the supplier at extra cost.

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16.3.2.2 Design Computations for Vehicle-Arresting Barrier = length of net (metal bender to metal bender), m. = travel distance of vehicle after engaging net, m. = weight of vehicle, kg (assume 820 kg and 2050 kg). = initial velocity of vehicle, m/sec. (assume 27 m/sec.). = metal bender (energy absorber) taped tension force, kg (see available energy absorbers below). g = acceleration due to gravity, 9.81 m/sec2. F = maximum vehicle stopping force, kg. Gmax = maximum G force on vehicle, kg. Gavg = average G force on vehicle, kg. R = runout of metal bender (energy absorber) tape, m. The following manufacturers design formulas should be computed in the order shown to obtain the travel distance (X) after engaging the net, and the deceleration rate (Gavg) for the system chosen. 1. R = WV2 4Tg 2. X = (R2 + RL) 3. F = 2TX R+(L/2) F W V2 2gx L X W V T

4. Gmax = 5. Gavg =

AVAILABLE ENERGY ABSORBERS Tension (T) 2050 kg 2050 kg Runout Tape (R) 23 m 61 m Usual Guide Usual Case, Average Vehicle Mix High Percentage of Heavy Trucks

Deceleration rates (Gavg) should be limited to 3 to 6 Gs, when feasible, but in no case should the deceleration rate exceed 10 Gs. Refer to the Standard Sheets for details of VAB (net-type). 16.3.2.2 01/20/06

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16.3.3 Shadow Vehicles and Barrier Vehicles

16.3.3.1 General Shadow/barrier vehicles are included in the Basic Maintenance and Protection of Traffic item. A shadow vehicle is an occupied vehicle equipped with a truck-mounted impact attenuator located a short distance upstream from a slowly moving lane or shoulder closure area (refer to the NYSDOT Work Zone Traffic Control Manual). Shadow vehicles are used in moving and mobile work areas that occur on or adjacent to the highway and where workers are not protected by traffic barriers, barricades, channelizing devices, or flag persons. Moving and mobile work zones typically do not have barrier or channelizing devices. For maintenance-type, mobile, or slow-moving operations, an advance warning vehicle may be used as the first vehicle on the shoulder when it is impractical to install ground-mounted signing. A pickup truck with an arrow panel or sign is often used, however, it may not be used in a travel lane as a shadow vehicle. A barrier vehicle is an unoccupied vehicle equipped with a truck-mounted impact attenuator and parked a short distance upstream from a stationary lane or shoulder work area (refer to the NYSDOT Work Zone Traffic Control Manual). Barrier vehicles are used to protect motorists and workers in stationary work areas that occur on or adjacent to the highway, except when they are protected by temporary concrete barriers or vehicle arresting barriers. Barrier vehicles may also be used to protect motorists from work area hazards when there are no workers to be exposed to moving traffic adjacent to the work area. If there would be less damage or serious injury resulting from an errant vehicle impact with the barrier vehicle than with a work area hazard, a barrier vehicle may be considered. If, however, it can be shown that the presence of a barrier vehicle would produce greater damage or injury, then it should not be specified. A shadow/barrier vehicle should be located in each of the lane(s) and/or shoulder in which the work area is located. This information should be shown on the plans. Shadow or barrier vehicles should be positioned a sufficient distance upstream of the workers and/or equipment being protected to allow for the distance they will roll ahead upon impact, but not so far that an errant vehicle can travel around the shadow or barrier vehicle and strike the workers/equipment. They should be at the downstream end of any buffer space (refer to the NYSMUTCD 301.13 and the NYSDOT Work Zone Traffic Control Manual). Shadow or barrier vehicles located (moving or parked) in a travel lane or shoulder upstream of the work area shall be equipped with arrow panels, rotating beacons, and truck-mounted impact attenuators. Variable message signs may also be used where specially worded guidance to the motorist is needed. Shadow vehicles used in moving operations not protected by channelizing devices must be 01/20/06 16.3.3.1

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equipped with operational arrow panels in the appropriate flashing arrow mode (see the NYSDOT Work Zone Traffic Control Manual). The arrow panel on the first shadow vehicle should be operated in the flashing arrow mode if it is located at the beginning of the lane closure. The arrow panels on barrier vehicles used in closed lanes defined by channelizing devices downstream of the taper must not be operated in the flashing arrow mode but may be operated in the flashing corner caution mode, or be turned off. Where the posted speed limit is 55 mph or less, barrier vehicles shall be equipped with NCHRP Test Level-2, truck-mounted impact attenuators. Where the posted speed limit is greater than 55 mph, barrier vehicles shall be equipped with Test Level-3, truck-mounted impact attenuators. In assessing the need for a shadow or barrier vehicle, the following items should be considered: Type of facility. Type of work operation. Location of the work area (travel lane, shoulder, roadside, etc.). Special hazards. Traffic speed and volumes. Traffic patterns (turns, merges/diverges, weaves, etc.). Roadway geometry including approach sight distance. Type of separation device between traffic and the work area. Lateral separation between traffic and the work area.

When determined by the designer to be necessary for the project, shadow and barrier vehicles should be shown or called for in the contract documents. Refer to Exhibit 16-7 for guidelines to rank the assignments for shadow and barrier vehicles.

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Exhibit 16-7 Guidelines for Ranking the Assignment of Shadow Vehicles and Barrier Vehicles
Element Closure/Worker Exposure Condition Ranking1,2 for All Highway Types

Lane closed, without ground-mounted signs and channelizing devices for work zone
Involving exposed personnel 3 Not involving exposed personnel A C

Shoulder closed, without ground-mounted signs and channelizing devices for work zone Involving exposed personnel 3 Not involving exposed personnel B C

1. The ranking letter indicates the priority assigned to the use of a shadow vehicle. A shadow vehicle: A Is to be used. B Should be used if use is practical for the subject operation. C May be used, based on special conditions encountered on an individual project, when an evaluation of the circumstances indicates that an impact with a shadow vehicle is likely to result in less serious damage and/or injury than would impact with a working vehicle or the hazard. 2. For all speeds $ 50 km/h. 3. Exposed personnel may be on foot or in work vehicles.

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16.3.4 Temporary Impact Attenuators Temporary (construction) impact attenuators have been developed specifically to shield TCB end sections and other rigid objects in construction zones. The attenuators currently approved for general use include: QuadGuard-Construction Zone. Construction Zone REACT 350. Trinity Attenuating Crash Cushion (TRACC). ADIEM II is Special Specification.

These systems are all compliant with NCHRP 350 TL3. Refer to Chapter 10 of this manual and EI 98-039, EI 04-004, and portions of EI 01-003 for selection guidance. The designer should note that these systems are proprietary, and a justification for their use must be submitted with the PS&E package.

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16.3.5 Temporary Sand Barrel Arrays Sand barrels are arranged in arrays designed to gradually transfer the momentum on an impacting vehicle to the sand. Lighter barrels are placed near the front of the arrays to gradually slow small vehicles, which are usually considered to be in the 800 kg category. Heavier barrels are placed farther back in the array to slow the larger passenger vehicles, which are in the 2000 kg category. Refer to Chapter 10 of this manual for additional guidance on sand barrel arrays.

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16.3.6 Temporary Rumble Strips Temporary rumble strips are included in the Standard Specifications as a separate pay item. The specification allows the use of raised asphalt strips, recessed saw-cut or milled-in strips, and strips formed from layers of pavement marking masking tape. Temporary rumble strips are placed transversely across a travel lane to alert motorists to the presence of workers. Because they are intended as a temporary measure, rumble strips should only be used on pavement that will subsequently be overlaid, removed, or replaced, or can be otherwise restored to an acceptable condition. Rumble strips formed from pavement-marking tape provide optimal performance when multiple layers of tape, preferably four, are placed directly on top of one another. These strips create the right level of noise and can be felt inside a vehicle without causing a jarring effect. By providing audible and tactile warnings, rumble strips can be effective in drawing a drivers attention to traffic control devices or potential hazards that unfamiliar drivers may not see. This effect is especially helpful in situations where drivers have been mesmerized by traveling long distances on an unrestricted roadway, and then suddenly encounter a construction work zone with roadway width and alignment restrictions, and potential conflicts with slowing traffic and construction activities. Even if the rumble strips do not achieve a speed reduction, alerting drivers to the change in roadway character should reduce accident potential.

16.3.6.1 Criteria for Use Warning signs are provided to inform drivers when they are approaching disruptions to the normal travel pattern. Rumble strips are supplementary devices which should be placed upstream from the first advance warning sign in the series on long-duration projects, such that drivers are alerted in time to see and read the signs. Rumble strips should not normally be used in conjunction with short-duration (#1 week) or portable warning signs where the work zone is set up and removed daily (or nightly), or the location of the situation is subject to frequent changes. Alternative and supplemental means for alerting inattentive drivers should be considered, including the use of oversize signs or variable-message display units, the use of warning lights and/or flags to draw attention to warning signs, and the posting of signs on both sides of the roadway. Potential locations for temporary rumble strips should be evaluated on a project-by-project basis. Generally, rumble strips are not effective in urban settings and are not appropriate for residential or commercial settings because of the noise. Rumble strips should be considered on high-speed facilities with uninterrupted flow where motorists are less likely to see and react to work zone traffic control. Rumble strips should be installed at long-term sites such as paving, bridge repairs, and other sites where temporary traffic controls are in place for more than one week. Rumble strips should not be 16.3.6.1 01/20/06

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placed on curves with a radius less than 440 m to ensure that they do not adversely affect vehicle traction around the curve. Rumble strips should not be used during winter months when they may be damaged by snow plows or interfere with snow removal. On designated bicycle routes or other routes with routine bicycle traffic, where there is no usable shoulder or the shoulder is less than 0.9 m wide, rumble strips should be ended 0.9 m short of the edge of usable pavement. Rumble strips are not to be used where they will create operational problems, or where they will provide no additional value, including the following: In close proximity to residences where noise may be objectionable. On milled surfaces or very rough pavement. Interrupted flow conditions or low speeds.

The Regional Traffic Engineer should be consulted for a recommendation as to the desirability of using rumble strips at a particular work zone. This recommendation should consider the integration of rumble strips into the overall MPT plan, as well as the spacing and locations of the individual strips.

16.3.6.2 Patterns and Location As a guide, a rumble strip pattern consisting of six separate strips placed on 3-m centers and traversing the full width of each travel lane is generally acceptable for use on high-speed, multilane roadways. On curbed roadways, rumble strips should end a minimum of 0.9 m from the curb in order not to interfere with drainage. Unless site conditions warrant otherwise, a standard rumble strip installation consisting of a 6-strip pattern shall be placed in advance of each of the last three advance warning signs for the condition to which drivers are being alerted. On expressways and similar roadways with typically long sign spacings, rumble strip patterns placed 150 m to 300 m upstream from each sign (with the higher values used for larger signs that can be read at a greater distance) should provide adequate driver response time. On highways where warning signs are spaced at 150 m apart, each of the last two patterns should be placed approximately 15 m downstream of the preceding sign in the series. Suggested layout details are shown in Exhibit 16-8. Other patterns and locations may also be appropriate, but should be used only with the approval of the Regional Traffic Engineer. For long projects such as highway reconstruction or 3R, where there are multiple work zones, sets of rumble strips may be installed at specific work sites, if appropriate. Intermediate rumble strips should be located in advance of warning signs such as ROAD WORK 1 MILE (W8-1), TWO-WAY TRAFFIC (W3-3), or NO SHOULDER (W4-13). Project plans or drawings by EICs should show the actual spacing and locations of rumble strips at each installation. 01/20/06 16.3.6.2

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16.3.6.3 Removal Rumble strips must be filled in or removed before the start of the winter plowing season and before the placement of an overlay. On multiyear projects where it is desired to have rumble strips in place for more than one construction season, the rumble strips must be installed, removed, and paid for separately each year they are used.

See 16.3.6.2

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Exhibit 16-8 Temporary Rumble Strips (Suggested Layouts)

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16.4 MAINTENANCE AND PROTECTION OF TRAFFIC (MPT) PLANS

16.4.1 General Whether driving, walking, or bicycling, safely negotiating a temporary highway work zone or traffic control zone can be a disturbing and difficult experience. It is an environment that may present obstructions to and diversions from the normal driving environment to which they are accustomed. Highway work zones often change as the work progresses, further disrupting the travelers expectations. Therefore, to fulfill the objectives stated in 16.1, as well as both State and Federal policies, it is necessary to prepare some form, whether basic or complex, of maintenance and protection of traffic (MPT) plans. The pay item for Basic Maintenance and Protection of Traffic in the Standard Specifications is used when it is necessary to maintain traffic 24 hours per day (not removed and restored each day) on new construction and reconstruction projects through work zones which may be more restrictive than the conditions were prior to or will be after completion of the work. There are, however, a number of projects, such as sign refurbishing, guide rail replacements, signing contracts, lighting contracts, and signal replacement contracts where the roadway and shoulders can be cleared of work zone traffic control equipment and devices each night. On these projects, less elaborate and presumably more economical traffic controls are generally appropriate. For such projects, regardless of whether or not the highway is designated as restricted, the designer should specify the special specification for the Maintenance and Protection of Traffic pay item, when all the following conditions apply: All the traffic lanes and highway shoulders can be restored to normal use at the end of each work day. It would not be reasonable to require pavement repairs because the work is outside the pavement and shoulders and of a nature not likely to affect either, other than temporary occupation by construction equipment. No separate detours are needed.

MPT plans describe the methods, strategies, and sequence of construction to be used to facilitate the safe movement of motorists, bicyclists, pedestrians, and workers through and/or around highway or street work zones. They generally contain specific information about placement, type, and maintenance of traffic control devices, methods and devices for delineation and channelization, construction scheduling, application and removal of pavement markings, roadway lighting requirements, traffic regulations, and surveillance and inspection procedures for each stage or phase of work. The complexity of the work and the extent to which it will impact traffic determines the level of detail necessary in the MPT plans. A workable plan should be developed at the earliest possible stage of design and if major impacts are expected, they should be discussed in the Design Report/Environmental Document. Refer to the Project Development Manual for guidance as to the information to be included in the Design Report/Environmental Document. The MPT plan should be prepared by persons trained and 16.4.1 01/20/06

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knowledgeable in the fundamental principles of temporary traffic control and the work activity to be performed. The complexity and duration of the work, and the type of traffic and portion of the highway affected by the work, are all considerations in selecting the most appropriate method of highway work zone traffic control. Large, complex projects located in congested urban areas may require a broad analysis of the corridor, and development of a transportation management plan. For smaller, less complex projects, especially those located in rural areas, it may be appropriate to develop special notes and include Regional typicals. References should not be made to examples given in the NYSMUTCD, as they,in themselves, do not establish standards, and do not necessarily illustrate the only appropriate treatment for a given situation. They do not have the appropriate level of detail for contract purposes. The MPT plan should clearly indicate all required phasing, method of traffic control, and any time or construction limitations that will be placed on the contractor. Attention should be given to developing strategies that will limit impact to the traveling public. As much as possible, the designer should attempt to maintain the existing number of lanes and avoid speed reductions throughout a construction project, particularly on interstates and other major routes. Where it is determined that lane restrictions are necessary, work should be restricted during peak periods of traffic flow on the route and nighttime construction should be considered. The MPT plan should also take into account other adjacent roadway sections that may be under construction and avoid conflict between competing phases of adjacent projects or work on routes chosen for detours. The needs of oversize vehicles and those with special dimensions should be considered, especially if the project affects a route specifically designated for them. The Department has the regulatory authority to put in place the necessary highway work zone and traffic control devices as authorized by 104-a of the Highway Law and 1625 of the Vehicle and Traffic Law. When a contract is awarded, the section of highway under contract is designated as a restricted highway, unless otherwise specified. The decision whether to designate a restricted highway is a project-specific decision and must be made for each project during the design process. An Official Order is required and must be prepared by the designer and cleared with all affected Regional units and submitted to the Regional Director for concurrence. It is then sent to the Office of Operations for approval and filing with the Secretary of State. The project proposal is normally marked with the words Restricted Highway when this decision is made before letting. A designer who bases an MPT plan on the assumption that the highway will be restricted should ensure that the Order is prepared and filed. Only nonrestricted highways will be identified, when applicable, by the designer by special note in the contract proposal. Refer to 16.4.7.2 for more information. The Department normally allows contractors to develop and use alternate MPT plans or make value-engineering changes, but only if they are approved by the Department. This provides the flexibility of permitting modifications to the MPT plan due either to changed conditions, or to the development of better and safer methods of handling traffic. The information developed for the MPT plan should, when appropriate, include, but not necessarily be limited to:

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES Plan view showing overall project including signing of the roads and streets to be used for alternate routes during construction. Official detour map showing on-site diversions, off-site detours, construction phasing, and traffic patterns through the work zone. Notes describing the phasing or staging. Complex projects may require multiple layout maps for clarity. Scaled drawings of the highway work zone. Scaled drawings of construction stages (daytime or nighttime), when applicable. Plans of off-site detours, including information on type and location, both existing and temporary, of traffic control devices. Diagrams and notes for how and when to accomplish the work. Descriptions of traffic control procedures necessary to accomplish the work before, during, and after construction. A list of traffic control devices selected for installation and special instructions for their use or deployment. Schedules for times during the day, week, or year when work is not permitted or when certain lanes are to remain open. Description of special manpower-personnel/worker-type needs (i.e., flaggers). Location of potential grade problems between existing and proposed. Location of bridges and culverts that will require staged construction. General and specific notes associated with the construction operations and traffic control operations. Traffic regulations including times when regulations such as reduced speed limits, ramp merge control, and parking restrictions are to be in effect, and details of staging areas, turnarounds, etc., for police enforcement of traffic regulations. Sign text data sheets for the construction signing not otherwise shown on the plans. Profiles and typical sections, as may be necessary. Copies of permits.

To the extent possible, the scoping, design, scheduling, and construction of projects should be accomplished in a manner that will provide a high level of safety for workers and the traveling public, minimize congestion and community impacts by maintaining levels of service close to preconstruction levels, and provide the contractor with adequate access to the roadway to complete the work safely and efficiently, while meeting the quality requirements of the contract. In order to achieve these objectives, design and construction of projects should maintain, to the extent practicable, the existing capacity of the road under construction and should consider nighttime operations detours, diversionary roads, crossovers, use of shoulders as travel lanes, temporary roads and bridges, and alternating traffic patterns. The incorporation of design features to ease traffic impacts, enhance police enforcement activities, and provide more room for work during future construction should also be considered. These could include wider lanes, wider inside and outside shoulders, full-depth shoulders, shoulders and removable sidewalks on bridges, and other alternatives. The basic safety principles for governing the design of permanent roadways and roadsides should also govern the design of construction, maintenance, and utility work sites. The goal should be to 16.4.1 01/20/06

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safely route traffic through these areas with geometrics and traffic control devices, as nearly as possible, comparable to those for normal highway situations. The following items should be considered in determining the overall approach to project-specific traffic control: Are major traffic generators located near the project site and will they generate commuter or event traffic that will restrict the hours of operation? Based on traffic count information, determine the number of lanes which can be closed during the day, during the night, or on weekends. Incorporate seasonal variations on interstate highways and in tourist areas (or routes leading thereto) by obtaining summertime weekend counts. Contact the agency which has jurisdiction and ask what lane or road closings they will allow and discuss independent findings with them. Obtain concurrence with the proposed lane closings. Can existing lane widths be maintained through the work zone? Are adequate detour routes available? Can existing shoulders be used or do they require replacement with full-depth shoulders? Is it necessary to remove, relocate, reset, or replace existing guide rail? Are temporary signals required? Are there reasons for the construction project to be accelerated? Are lane closings required and for what duration? Is concrete barrier required and should it be the temporary or moveable type? Should nighttime construction be used? Safe contractor access to the work site.

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16.4.2 Fundamental Principles The FHWA publication Design and Operation of Work Zone Traffic Control describes the purpose of temporary traffic control as protecting motorists, pedestrians, bicyclists, and workers from hazards associated with construction, maintenance, and utility operations. To accomplish this, traffic control must: Warn road users (motorists, pedestrians, and bicyclists) of hazards. Advise road users of the proper travel path through the area. Delineate areas where traffic should not operate. Separate and protect both road users and the work force.

Fundamental principles, which experience has shown will assist road users and help protect workers in the vicinity of temporary traffic control areas, are found in the National MUTCD, Section 6B.01. These principles do not establish specific standards and warrants but do provide the designer with guidance for good temporary traffic control.

16.4.2.1 Construction Supervisor Input A necessary element for producing quality design and construction is good communication between the design staff and construction staff. A project site visit will give design project engineers greater insight into the quality of the design documents that were prepared, provide a learning experience to improve the quality of documents they prepare or manage in the future, and increase the overall effectiveness and efficiency of the Departments design-construction process. Regional and Main Office design squad leaders, project engineers managing consultants, and Regional liaison engineers are required to visit the job site for each project they design to discuss the construction supervisors experience with the design documents. Refer to EI 89-031 for complete guidance on obtaining construction supervisor input on design plan quality. It is also vitally important for Region Traffic Quality Control staff to review the plans and provide input to the designer.

16.4.2.2 Purpose of Maintenance and Protection of Traffic (MPT) Plans MPT plans play a vital roll in providing continuity of safe and efficient road-user flow when a work zone disrupts that flow. They should be developed, or at least closely supervised, by an experienced designer who has complete knowledge of the project and is completely familiar with the project area. MPT plans are prepared: 1. To provide a workable, safe method or plan for the maintenance and protection of traffic using criteria set forth in the National Manual of Uniform Traffic Control Devices, Standard Specifications, and other Department issuances and guidance. 2. To provide a plan such that a reasonable estimate of traffic control costs can be developed for the Engineers Estimate. 16.4.1.2 01/20/06

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3. To provide a plan such that contractors bidding on the project know what is expected/required and can formulate their bids accordingly.

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16.4.3 Elements of Highway Work Zones The National MUTCD defines a temporary traffic control zone as an area of a highway where road user conditions are changed because of a work zone through the use of temporary traffic control devices, uniformed law enforcement officers, or other authorized personnel. The National MUTCD divides work zones into the following areas: Advance Warning Area Transition Area Activity Area Termination Area

The advance warning area is the section of highway where road users are informed about the upcoming work zone. The transition area is the section of highway where road users are redirected out of their normal path. The activity area is the section of highway where the work activity takes place. The termination area is the section of highway that is used to return road users to their normal path. The Activity Area is further divided into subareas, or spaces: Work Space Traffic Space Buffer Space (longitudinal) Buffer Space (lateral) Incident-Management-Vehicle Storage Space (optional) or Enforcement Area

Most work zones, regardless of the type, will consist of these areas. The specific field treatment and selection of traffic control devices will be determined by the character of the operation. These areas and spaces are described in the following sections and illustrated in Exhibit 16-9.

16.4.3.1 Advance Warning Area An advance warning area is necessary for all work zones because it is where road users are informed about the upcoming work area. The warning may vary from a single sign or flashing lights on a vehicle to several signs in advance of an upcoming work zone or incident area. Drivers must have enough time to read, comprehend, and react safely to the messages contained in advance warning signs. Warning signs are the most common systems of traffic control devices used in the advance warning area. Refer to the NYSMUTCD Parts 238, 301, and 302 and the National MUTCD Chapter 6 for guidance in the use and location of warning signs in highway work zones. At locations where traffic volumes may exceed the capacity of the traffic space, it may be necessary to extend or adjust the location of upstream signing to include that stretch of road where queues may form. Extended advance warning may also be dictated by the geometrics of the approach roadway, such as downhill approach grades, horizontal curves, existing lane reduction, etc. Other special problems include: 16.4.3.1 01/20/06

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Urban Locations. Adjustments of sign spacing and numbers of signs may be necessary due to the length of city blocks, spacing of intersections, and the locations of alleys, shoppingcenter access points, and side streets. On-Street Parking. The mounting height of signs may have to be increased to be visible over parked vehicles (see 16.4.4.2.A.7). Commercial Establishments. Sign locations may have to be adjusted to avoid interference with loading zones or having them be obstructed by delivery vehicles or existing commercial signs. Divided Highway and One-Way Streets with Two or More Lanes. Signs should be installed on both sides of the roadway to assure that the messages are visible to all approaching traffic and to minimize the possibility of the view of the signs being blocked by vans and trucks. Existing Signs. Existing signs which are not applicable during the road work activity should be covered or removed. The spacing between temporary traffic control signs and the remaining existing signs may require adjustment so as not to overload the drivers ability to comprehend and respond to all signs in the system.

16.4.3.2 Transition Area The transition area is that section of the highway where road users are redirected out of their normal path. In mobile operations, the transition area moves with the work space. Transition areas usually involve strategic use of tapers. This is typically done when work is performed in one or more of the travel lanes and a lane closure is required. See Exhibit 16-9. (Note: The NYSMUTCD describes tapers as being synonymous with transitions. The National MUTCD uses tapers. The guidance herein follows the National MUTCD in the use of the term tapers.) Longer tapers are not necessarily better than shorter tapers (particularly in urban areas characterized by short block length, driveways, etc.). Extended tapers tend to encourage sluggish operation and to encourage drivers to delay lane changes unnecessarily. They also make it more difficult for motorists to perceive visually what is happening (i.e., lane closure) and therefore, cause lane-change maneuvers too late and in conflict with adjacent traffic. For those tapers whose lengths are based on traffic speed, the speed used should be the 85th percentile speed (from the Design Report) immediately in advance of the transition area. If the 85th percentile speed is not known, use the posted speed + 5 mph. Estimated or calculated speeds may be used. The taper lengths indicated are guides. Different distances may be appropriate in urbanized areas or when a taper occurs near an interchange ramp, an intersection, or a curve. Superelevation should be considered when shifting traffic by using curves. After a taper has been put in place, traffic operation should be observed, and any necessary adjustments should be made. Refer to Exhibit 16-9 for illustrations of, and to Exhibit 16-10 for length criteria for the tapers described below: 1. Merging Taper. A merging taper is used to close a lane when vehicles in that lane must merge with traffic in an adjacent lane at prevailing speeds. The taper should be long enough to enable drivers 01/20/06 16.4.3.2

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES in the lane being closed to make any necessary speed adjustments to position themselves opposite traffic gaps in the adjacent lane. However, an excessively long transition may encourage drivers to delay their lane changes and may result in sluggish operation. Merges should be made before traffic enters work zones. The (L) values in Table 262-2 in the NYSMUTCD should be used as guides in determining the lengths of merging tapers. Shifting Taper. A shifting taper occurs where a roadway changes direction, but all approach lanes remain open and no merge is required. The taper should be long enough to be negotiated without causing reductions in travel speed. One-half the values ( L) in Table 262-2 in the NYSMUTCD should be used as minimum lengths. Longer distances are encouraged where space is available. Alignment changes may also be accomplished by using horizontal curves. Lane-Width Taper. A lane-width taper is used when it is necessary to decrease the lane width in a work zone. The rate of taper required for modifying a lane width is the same as that for a shifting taper, L, except the W (the width of offset in meters) is equal to the change in lane width. Shoulder Taper. A shoulder taper may be appropriate on the approach to a work area or other obstruction which is on the shoulder of a high-speed roadway. One-third the values (a L) in Table 2622 in the NYSMUTCD should be used as guides in determining the lengths of shoulder tapers. Shoulder tapers are not for use where a shoulder is temporarily being used as a travel lane. Shifting tapers should be used to divert traffic onto and off the shoulder in such circumstances. One-Lane, Two-Way Taper. One-lane, two-way tapers are for use on two-lane, two-way roadways where a portion of the roadway must be closed and alternate one-way operation is in effect in the remaining lane. One-lane-road signal control or flagger control is typically used to establish the alternate one-way operation. Traffic approaching on the side of the roadway which is closed must negotiate two tapers to bypass the work area. The first taper is a one-lane, two-way taper that moves the traffic onto the left-hand half of the roadway where the closure begins. This taper should normally be from 15 m to 30 m long. The second taper is a downstream taper about 30 m long which returns traffic to the right-hand half of the roadway where the closure ends. A taper length of 24 m is often used for both tapers since it equals two broken centerline segments and is a convenient field measurement. A buffer space should be provided between the end of the downstream taper and the stopped traffic in the

2.

3.

4.

5.

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Exhibit 16-9 Component Parts of a Highway Work Zone

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES opposing direction to ensure that all diverted vehicles completely return to their original lane before reaching the opposing stopped vehicles.

6. Downstream Taper. A downstream taper may be used at the end of a closed lane to give drivers a visual cue that work operations end and normal travel conditions resume. Downstream tapers should be about 30 m long for each lane they cover. Exhibit 16-10 Taper Length Criteria Types of Tapers 1. Merging Taper 2. Shifting Taper 3. Lane-Width Taper 4. Shoulder Taper 5. One-Lane, Two-Way Traffic Taper 6. Downstream Ending Taper
Adapted from the National MUTCD Table 6C-2.

Taper Length (m) L minimum L minimum L minimum

a L minimum
30 m maximum 30 m minimum

Occasionally it is necessary to close more than a single lane of pavement in order to perform the necessary work on the highway. This may be accomplished by closing several travel lanes or by shifting lanes or by a combination of both. Any of these conditions will create a need for more than a single transition. Multiple transitions shall be separated by tangent sections. For example, if the number of open lanes in one direction of a multilane highway is to be reduced by two, it will be necessary to provide two merge tapers, separated by a tangent section of desirable minimum length 2L (where L is the minimum permitted taper length of the associated transitions) to give to allow traffic to stabilize before the second merge. If there is a reduction of one lane and a shift of the remaining open lanes, then one merge transition and one shift transition shall be provided. The merge transition and the shift transition should be separated by a tangent section of length 2L.

16.4.3.3 Activity Area The activity area is the section of the highway where the work activity takes place. It is comprised of the work space and traffic space, and may contain buffer spaces designed to enhance the safety of motorists and workers, as described below: 1. Traffic Space. Traffic space defines the portion of the roadway in which traffic is routed through the activity area. 2. Work Space.

16.4.3.3

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The work space is that portion of the roadway which is closed to traffic and is set aside for the exclusive use of workers, equipment, and construction materials. Work spaces may be fixed or move as work progresses, such as in mobile and moving operations. Work spaces are usually delineated by channelizing devices or shielded by barriers to exclude vehicular traffic and pedestrians. 3. Buffer Space. Buffer spaces should be provided to further separate traffic from the work activities or potentially hazardous areas and provide recovery spaces for errant vehicles unless precluded by site conditions. In order to effectively serve this purpose, buffer spaces must not be used for the storage of vehicles, equipment, supplies, or any other obstructions, nor for any work activity. Refer to NYSMUTCD 301.13. 4. Incident Management Vehicle Storage Space (optional). The activity area may also be used to provide storage space for vehicles used for incident management on high-volume, highly congested highway facilities in an urban area. Emergency vehicles (e.g., tow trucks), which are needed to respond quickly to traffic incidents, may be stored in the activity area. Such emergency vehicle storage areas should not extend into any portion of the buffer space. The location of an incident management vehicle storage space is determined on a case-by-case basis. 5. Enforcement Areas Space should be provided throughout the work zone for one or more police cars to enforce work zone speed limits and other traffic regulations. Police cars need a safe and efficient spot to park and an area to pull over motorists for ticketing. Areas for police enforcement activities should be behind traffic control. The State Police should be consulted early in design to identify their enforcement needs.

16.4.3.4 Termination Area The termination area is used to return traffic to the normal traffic path and extends from the downstream end of the activity area to the END ROAD WORK sign (G11-2), if it is posted, or to the downstream end of the downstream taper when an END ROAD WORK sign is not used. It confirms to the driver that the highway work zone has been terminated. A short downstream taper of 30 m may be placed in the termination area, or to the downstream end of the downstream buffer space in a flagger-controlled work zone. Refer to the NYSMUTCD 254.2 for guidance in the use of END ROAD WORK signs.

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16.4.4 Safety Considerations Safety is considered to be the most important factor in work zone traffic control design. The Department's goal regarding traffic control on all construction and maintenance projects is to ensure that the plan is designed, implemented, and managed in a uniform, consistent manner to provide a high level of traffic safety for workers and the traveling public. This must be done in a manner which minimizes delays and inconvenience to travelers and which minimizes disruption to the community where the project is located. At the same time, the maintenance and protection of traffic (MPT) plan should permit the contractor to operate in an efficient manner to facilitate completion of the construction in a timely manner and at a reasonable cost.

16.4.4.1 Safe Work Site Access It is the Departments policy that in developing MPT plans for maintaining traffic during construction, designers shall consider whether special provisions are needed to ensure safe access to work sites by workers, vehicles, and equipment. The crossing of roadways by workers, vehicles, and equipment shall not be permitted unless specific provisions are in place to do so safely. Safe worksite access is a constructibility issue which should be considered by Department reviewers during the regular plan review process as well as during constructibility reviews. It is the contractors responsibility to provide safe access to the work site by workers and inspection staff and safe parking for their vehicles, such that no active traffic lanes are routinely crossed by pedestrian workers or inspection staff reporting to and leaving the work site. Refer to the Standard Specifications 107-05 G. Experience indicates that substantial risks can be associated with gaining access to work sites for workers, equipment, and supplies. In the past, a number of accidents involving work site access have resulted in serious and fatal injuries to motorists, workers, and Department employees. To minimize these risks, it is essential for the designer to consider work site access and to include special provisions in the MPT plan when traffic and site conditions impose high risks to worker and/or public safety. The MPT plan should be reviewed by Regional Construction staff to ensure specific provisions for work site access are included when appropriate. The guidelines in this section are intended to help designers identify potentially troublesome locations which may need special consideration in the MPT plan. It is not intended to suggest or imply that detailed work site access plans and provisions are expected on all projects, nor is it intended to suggest that signalized crosswalks, temporary traffic signal, pedestrian overpasses, or other extraordinary provisions are routinely necessary to provide work-site access on construction projects. The following items should be considered when evaluating the need for access provisions in the MPT plan: Do speeds and volumes combine such that sufficient gaps to safely cross or enter traffic are 01/20/06

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not available, especially on controlled-access highways and multilane arterials? Crossing risks are also increased with two-way traffic and where refuge areas are not available in multilane highways. Will unique site conditions make access difficult? Will sight distance be restricted for motorists by site conditions or by the deployment of temporary barriers, barricades, construction signs, vehicles, or equipment? Will workers be exposed to increased risks while walking adjacent to traffic to gain access to the work site? Risks increase when workers cannot face oncoming traffic or where the area available for workers is narrow and close to traffic, and/or where escape paths are blocked by railings, median barrier, excavations, or other site features. Will it be necessary for equipment and supply/delivery vehicles to maneuver into or out of work sites? Will nighttime construction provide the safest alternative or will it create additional risks with regard to work site access?

When the evaluation indicates that work site access is a safety concern, special provisions may be necessary to ensure that safe access is provided and used. Such provisions may include: Barricading or otherwise restricting unsafe access points or routes. Imposing contract restrictions that require workers and vehicle operators to access the work site only at designated points. Adding temporary walkways, crosswalks, access ramps, stairways, and other features to provide safe access points for workers, vehicles, and equipment. Adding temporary crosswalks, traffic signals, or flaggers to control movement of workers and vehicles into and out of work sites. Requiring remote parking areas for workers, with shuttle vehicles for transport to the work site. Setting limitations on when suppliers can drop off material (e.g., limit deliveries to off-peak hours).

When access restrictions are appropriate but it is difficult to include specific provisions in the MPT plan, special notes should be included on the plan or in the proposal. Generally, the notes should not provide specific direction to the contractor, but rather should outline the operational restrictions which apply, and/or the special requirements that must be met to properly address safe work site access on the project. The notes should also require the contractor to submit an acceptable access plan to the Engineer-In-Charge as part of the Project Safety and Health Plan.

16.4.4.2 Maintenance and Protection of Pedestrian and Bicycle Traffic FHWA regulations (23 CFR 652.5) require that provision for safe accommodation of bicyclists and pedestrians be given full consideration during construction. The Department's policy (October 1996) extends the requirement to maintenance and other activities. Section 619 of the Standard Specifications provides for the safe passage of pedestrians and bicyclists over any portion of the highway under construction where traffic is to be maintained. In addition, regulations implementing the Americans with Disabilities Act (28 CFR Part 35) and the current Americans with Disabilities Act 01/20/06 16.4.4.2

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Accessibility Guidelines (ADAAG) require that both permanent and temporary pedestrian facilities, including those associated with construction and maintenance activities, must provide safe and convenient access for persons with disabilities. The designer shall designate pedestrian and bicycle access areas on project MPT plans. It is the responsibility of both the Regional Landscape Architect and the designer to assess the needs of pedestrians and bicyclists. Pedestrian and/or bicycle traffic must be safely and continuously maintained through, or around, work zones on highways or streets where pedestrians and/or bicyclists are not prohibited. This does not apply where pedestrians and bicyclists are prohibited. The maintenance and protection of pedestrian and bicycle traffic should be consistent with the type of work zone, the work location, the duration of work activity, anticipated bicycle and pedestrian traffic, motor vehicle traffic characteristics, and the degree of potential hazard to, or conflict between bicycle, pedestrian, and motor vehicle traffic. For example, where there is a low expectation of pedestrian and/or bicycle traffic, low motor vehicle volumes, and no or minimal disturbance is occurring in the work zone, nothing special needs to be done and pedestrians may continue to use the shoulders. Where pedestrians and bicyclists use the shoulder or sidewalk and the work zone will disrupt it, other arrangements should be made to allow pedestrian and/or bicycle traffic to safely travel through or around the work zone, (e.g., fence, temporary concrete barrier, accessible shuttle service, off-site detour). Designers and Transportation Maintenance Supervisors should use the following requirements and supporting guidelines when developing MPT plans for pedestrians and bicyclists. In addition, designers should be guided by the provisions regarding temporary, safe pedestrian passageways at construction sites that are included in the current version of the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities. The designer should consult with the Regional Bike/Pedestrian Coordinator early in the design process to coordinate the bike/pedestrian needs for the project.

A. Pedestrians

A.1 User Needs. The needs and abilities of a diverse pedestrian population must be considered, evaluated, and adequately accommodated through, or around, work zones. That population includes people with disabilities, children, elderly persons, etc. For example, elderly persons and/or persons with disabilities may be more sensitive to abrupt changes in level (e.g., walkway joints that are heaved or displaced greater than 13 mm vertically), surface irregularities, or walkways routed onto a roadway. Children will sometimes dart out into roadways, so where there are significant numbers of children present (such as near a school or playground), positive barrier (e.g., fence, temporary concrete barrier) may be required for walkways routed onto roadways. Vision-impaired people cannot be safely guided by signs, traffic cones, delineators, or tape. In urban areas, commercial areas, residential areas, and other areas where use by vision-impaired pedestrians can be expected, any positive separation between a pedestrian walkway routed onto a roadway and motor vehicle traffic should utilize fencing, temporary curbing (plastic, timber, etc.), or other continuous barrier or material that is 16.4.4.2 01/20/06

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detectable by a vision-impaired person using a cane or guide dog.

A.2 Necessities for Pedestrian Traffic. The question of how to provide access for pedestrians through or around work zones must be assessed for each project where pedestrians are not prohibited (not all projects require the same approaches to safely allow passage). While provisions for pedestrian travel should be made, the assessment should take into account the amount of observed pedestrian activity occurring along the roadway, as well as motor vehicle and bicycle traffic volumes. It is important to remember that the apparent absence of pedestrians does not preclude the need to provide access, especially if other indicators are present. One or more of the following are indications that there is pedestrian activity at a site: The presence of residences. There is an existing sidewalk, trail, or pathway. There is observed pedestrian activity. Evidence of pedestrian activity exists, such as residences located along rural roads or worn paths along the roadway. There are existing or approved plans for generators of pedestrian activity in or within 800 m of the project that promote or have the potential to promote pedestrian traffic in the project areas, such as schools, parks, playgrounds, places of employment, places of worship, post offices, municipal buildings, restaurants, shopping centers, or other commercial areas or multiuse paths.

Designers may find that the public involvement process is an excellent method by which to determine potential user needs and develop possible solutions that the community will support. A.3 Accessibility Requirements. If safe access and passage for pedestrians cannot be maintained continuously through the work site, a safe continuous detour must be furnished. Facilities constructed to specifically provide access for pedestrians in or around work zones must be designed to be consistent with the current ADAAG. A minimum 1.525 m wide walkway should be provided to accommodate continuous two-way pedestrian traffic and maintain convenient access. ADAAG states that where a 1.525 m width cannot be met, a narrower walkway may be provided to a minimum of 915 mm. However, when the walkway is narrower than 1.525 m, passing spaces that are at least 1.525 m long and 1.525 m wide must be provided no further than 61 m apart. Walkways narrower than 1.525 m will not accommodate continuous two-way pedestrian traffic or assisted travel by elderly and disabled persons and may be inconvenient, especially if they prevail for more than short distances. Use of an accessible shuttle service, accessible on-call taxi, or similar service may be considered on projects such as bridge replacements, where the construction of temporary, accessible walkways is infeasible or impracticable. Where there are existing sidewalks on both sides of a road or bridge, work should be staged so that one sidewalk remains open and accessible to pedestrians (especially those with disabilities) at all times. If one sidewalk is closed, pedestrians should be directed to the other sidewalk by crosswalks, SIDEWALK CLOSED (R8-3) signs, and signals, if necessary. Pedestrians should be diverted from the closed sidewalk at the first intersection crossing 01/20/06 16.4.4.2

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upstream from the work zone and not at midblock unless provisions can be made to do so safely. At especially long blocks, it may be necessary to provide midblock crossings. Where they are provided, they should include safety features such as high-visibility striping and warning signs and/or signals. The designer should consult the Regional Landscape Architect regarding the need for and the selection of the type of accessible signals. Refer to the National MUTCD Section 4E Pedestrian Control Features. Where the work encroaches upon a sidewalk and where it is infeasible to route pedestrians across the road, alternatives may be to maintain pedestrian traffic on the sidewalk, separated from the work by fencing or other means, or to construct a temporary sidewalk or path away from the work. Still another alternative may be to designate a walkway in the roadway. Where a designated walkway must be provided in the roadway, positive separation (e.g., channelization devices) or positive barrier (e.g., temporary concrete barrier) should be used between vehicular and pedestrian traffic. In selecting positive separation or positive barrier, the designer should consider the following: Pedestrian needs. Duration of the work. Roadway alignment and lane widths. Offset from the traveled way. Vehicle operating speeds. Truck traffic. Volumes of pedestrians and vehicles.

ADAAG Section 4.1.6 requires that slopes of curb ramps and exterior ramps not exceed 1:12. In circumstances where space limitations prohibit the use of a 1:12 slope, a maximum slope of 1:10 is allowed for a maximum 150 mm rise. A maximum slope of 1:8 is allowed for a maximum 75 mm rise. In alteration work, if compliance with ADAAG Section 4.1.6 is technically infeasible, the alteration shall provide accessibility to the maximum extent feasible. Any elements or features of the facility that are being altered shall be made accessible within the scope of the alternation.

A.4 Walkway Closures and Detours. When planned construction activities will close a sidewalk, shoulder, or existing pedestrian detour for an extended period, or result in major disruption to the pedestrian facility, advance notice to pedestrians is desirable. Information signs, portable variable message signs, or other suitable means should be used to provide reasonable advance notice to pedestrians, including the expected nature and duration of construction activities. On-site detour routes should be well marked, safe, efficient, continuous, and easy to traverse. They must be maintained free of obstructions and hazards, such as tripping hazards (i.e., lip heights at manholes, etc.), holes, debris, mud, construction equipment, stored materials, etc. Graded ramps meeting ADAAG requirements may be used at surface discontinuities where there is a need. Detours should, at a minimum, be a stable, firm, and slip-resistant, all-weather, compacted gravel surface (meeting ADAAG requirements) or other material capable of meeting 16.4.4.2 01/20/06

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the ADAAG requirements to be continuously stable, firm, and slip-resistant. Temporary street crossings and crossings of stop-controlled commercial, institutional, and similar entrances to adjacent properties requires the use of detectable warnings where walkways intersect the streets or entrances. Pedestrians will often use the most direct path to their destination regardless of hazards. Signs and fencing should be used to direct pedestrians away from unsafe areas. Avoid designing pedestrian detours that are inconvenient and too circuitous. FHWAs Planning Design and Maintenance of Pedestrian Facilities gives 183 m as the maximum distance most pedestrians will find reasonable to detour off of their path of travel.

A.5 Rural Work Zones. Rural pedestrian needs should be carefully evaluated. Often these needs are not as obvious as those in more populated areas. While a rural road may not have large numbers of pedestrians, it may be the only road going to a particular destination. It should be expected that pedestrians, including permanent and seasonal residents, will use the road or the shoulder or they will walk at the edge of the travel lane if a walkable shoulder is not available. Some obvious rural sources of pedestrian activity include resorts, state parks, camp grounds, recreational areas, amusement parks, homes, etc. On repaving contracts where the underlying or top course is to be left exposed on roads where pedestrians regularly use the shoulder, include temporary edge lines to delineate the right-hand edges of the motor vehicle lanes closest to the shoulders and create a pedestrian walkway. This should be done when other temporary markings are placed. This will help avoid inappropriate motor vehicle encroachment into shoulders that are regularly used by pedestrians, or vice versa. Shoulders that are not designed to meet the ADAAG standards are acceptable when they are not specifically intended as places to walk. However, shoulders are almost always places where people may walk, if they so choose, except on freeways and similar roads where pedestrians are legally prohibited. It is recognized that it may be excessively costly or impracticable to meet the needs of occasional pedestrian traffic on rural bridges under construction or on paving projects where shoulders are not available to pedestrians. However, there is, nonetheless, a need to provide for pedestrian traffic because many rural bridges provide the only link between destinations for residents and vacationers who depend on walking or bicycling for transportation. Alternatives to providing for pedestrian traffic on roadway bridges may include temporary pedestrian walkways or structures, accessible shuttle, accessible on-call taxi or van, or similar services, fall-hazard protective fencing, or other innovative solutions. Consideration could also be given to moving the trip destination or providing an alternate service on the pedestrian side of the bridge as is sometimes done with emergency services. When accessible, on-call vehicle service is requested, it must be provided. When the requested service does not require accessibility, an accessible vehicle is not required.

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A.6 Economic Impacts. In commercial and residential areas, adequate pedestrian walkways to properties abutting work zones should be provided. Efforts should be made to minimize adverse economic impacts to commercial establishments in the vicinity of the work zone. Refer to 16.3.4.2.A in this chapter and the National MUTCD Typical Applications TA-28 and TA-29.

A.7 Signs. Construction signs located over or where they will intrude into a walkway must have a 2.1 m minimum clearance height. Signs and other traffic control devices should not be a hazard to pedestrians. Signs directing pedestrians must be illuminated to Level 1 standards when used overnight.

A.8 Pedestrian Protection. Walkways under or adjacent to elevated work activities such as bridges or retaining walls may require a protective roof, protective shielding, etc. Fall-hazard protective fencing should be provided, particularly on bridge replacement projects, when the pedestrian travel path through the work zone exposes them to a fall hazard, e.g., after one-half of the existing bridge deck has been removed, before it is replaced.

A.9 Nighttime Lighting. Where there is a likelihood of pedestrians using a walkway at night, sufficient illumination (minimum Level 1 standards) should be provided based on the level of illumination that existed prior to construction, and the level of illumination on adjacent locations. Consideration should also be given to the type and severity of hazards to pedestrians and other site specific factors that may affect the accessibility, safety, security, or convenience of the walkway to determine whether they warrant nighttime illumination. All pedestrian walkways that take pedestrians off their intended path are to be lighted. Temporary lighting should be considered where adjacent street lighting will not illuminate pathways provided around work zones. Lights should be provided to delineate the pathway and to mark hazards. This lighting can be especially beneficial for vision-impaired persons where existing lighting levels are not optimal.

B. Bicyclists

B.1 Level of Accommodation. Bicyclists of various skill levels use most roadways to various extents where bicycling is not prohibited. Therefore, the question of what is necessary to provide access for bicyclists through or around work zones must be carefully assessed for each project where bicyclists are not prohibited. This assessment should take into account the amount and types of bicycle activity occurring along the roadway, as well as motor vehicle and pedestrian traffic characteristics. A project may require one or more different methods to provide proper appropriate access based on these assessments. One or more of the following are indications that there is bicycle activity at a site: 16.4.4.2 The road is a designated bicycle route. Bicyclists have been observed on site visits. 01/20/06

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Bicycle traffic generators, such as residential, commercial, recreational, and/or institutional land uses, are located adjacent to or near the work zone. The roadway is in a recreational area such as the Adirondacks, the Catskills, the Finger Lakes, etc.

Bicyclists can often be travel in the same vehicle lane as motorists when one or more of the following conditions occur: The work zone lane width will be at least 3.6 m. (Lanes should be at least 4.2 m wide adjacent to concrete barriers, guide rail, vertical retaining walls, or abutments.) Motor vehicle speeds and volumes are low. This decision will require engineering judgement as there are no nationally adopted guidelines for these situations. However, examples include locations where operating speeds are 45 km/h or less and volumes do not exceed 500 to 1000 AADT and where truck, bus, and RV volumes do not exceed approximately 30 per hour. The roadway will be paved. The grades in the work zone are not steep(<5.0%). Where grades are steep ($5.0%), consideration may be given to providing a shoulder in the uphill direction of travel. Bicyclists traveling downhill can frequently be accommodated in vehicle travel lanes. There is no parking on the side of the roadway.

Where it is not desirable to combine bicycle and motor vehicle traffic due to higher motor vehicle speeds and volumes, bicyclists can be accommodated on shoulder space. In this situation, a shoulder of reasonable width (min. 1.2 m) should be provided. In some cases, bicyclists may be advised, through the use of signing, to use pedestrian facilities. See B.3 below.

B.2 Bicycle Traffic Closures and Detours. An alternative to providing for bicycles where there is insufficient roadway width may be to provide a separate bicycle detour around the construction site. The detour should be convenient and have appropriate warning signs and traffic control devices, especially when routing an off-road bicycle detour back into the main roadway. Off-road bicycle detours should be paved continuously and free of surface irregularities such as potholes, cracks, ponded water, etc. On-road provisions should be paved whenever feasible (especially on bike routes). Where this cannot be accomplished, and there is considerable risk of injury, bicyclists may be advised, through the use of signing, to dismount and use pedestrian facilities. This should not be used where bicyclists would be required to spend considerable time on foot because it may be viewed as unreasonable and ignored.

B.3 Use of Pedestrian Routes. Bicyclists may be advised, through the use of signing, to dismount and use pedestrian routes only where sufficient roadway widths cannot be provided or where roadway construction conditions may make bicycling hazardous and an off-road alternative for bicyclists cannot be provided. As previously stated, this alternative should only

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be used in extreme circumstances and should not be used for long distances, as it may be viewed as unreasonable and ignored.

B.4 Rural Work Zones. Providing for bicyclists in or around rural work zones should be considered, even when there is not an obvious need. While there may not be large numbers of bicyclists, the road may be the only route to a particular destination in the area.

B.5 Precautions. The skill level of the bicyclists using the roadway should be considered. If the work zone is near a school, playground, or other area where the predominance of riders is likely to be children, extra precaution should be taken to provide for them safely. For example, offroad provisions are usually preferrable, use of shared lanes (as discussed in 16.4.4.2.B.1) should be avoided, and shoulders should be wider than 1.2 m where motor vehicle operating speeds exceed 65 km/h.

B.6 Fall-Hazard Protection. Fall-hazard protective fencing should be provided, particularly on bridge replacement projects, when the bicycle travel path through the work zone exposes them to a fall hazard, e.g., after one-half of the existing bridge deck has been removed, before it is replaced. Keep in mind that bicyclists tend to have a higher center of gravity than do pedestrians.

B.7 Signs. Appropriate signs should be used to warn bicyclists and motorists. The bicycle warning sign with SHARED ROADWAY (W5-6) panel may be used either where bicycle and motor vehicle traffic are intended to share a reduced roadway width (due to shoulder closure and/or lane width reduction (less than 3.6 m in width)) or where bicyclists are diverted into the roadway from a pathway off the road. The sign assembly can be used when changes in routing bicycle or motor vehicle traffic through or around the work zone affects the proximity of bicyclists to motor vehicle traffic. These signs should not be used routinely where the above conditions do not exist since unnecessary use can reduce their effectiveness.

B.8 Pavement Markings. On repaving contracts where the binder course is to be left exposed on roads designated as a Shared Roadway, Signed Shared Roadway, Bike Lane or Bicycle Lane, and on other roadways where bicycle volumes are greater than 50 AADT and motor vehicle volumes are greater than 500 AADT, temporary pavement markings should include edge lines to delineate the right (outside) edge of the motor vehicle travel lane as well as the center line or lane line. This should be done when other temporary markings are placed. This will help prevent motor vehicle encroachment into bicyclists' paths of travel, or vice versa. A special note should be placed in the contract documents that states that the edge line markings must be placed the same day the new pavement is opened for traffic, i.e., the same as for other temporary pavement markings. Where bicycle traffic must be routed onto a dedicated pedestrian walkway, bicycle riders must dismount and walk their bicycles through the walkway.

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16.4.4.3 Oversize Vehicles Oversize vehicles exceed the dimensional and weight limitations as set forth in Section 385 of the NYS Vehicle and Traffic Law. Oversize vehicles can become trapped or stuck in a constrained work zone and must be considered during design. While some traffic control devices or equipment can be moved to allow passage of an oversize vehicle in an emergency, when oversize loads enter a work zone without warning, serious problems can result. Designers should consult the Regional Permit Engineer (RPE) to determine if the project is on a highway designated for 16-ft wide loads. Short-term disruptions in the flow of 16-ft wide loads can be tolerated but longer-term disruptions will severely impact the hauling industry and must be avoided.

A. Permitted Vehicles Operators of oversize vehicles must obtain Special Hauling Permits, which allow their vehicles to travel on State highways only during regular business days from one-half hour before sunrise to one-half hour after sunset. Specific routing, special restrictions may be prescribed by the RPE. When they are written, typed, or stamped on the permit, they become enforceable by any police. Any loads/vehicles wider than 8.5 ft require a Special Hauling Permit. Permits are approved by either the RPE or the Main Office Permit Unit. A high level of coordination is maintained between the RPE and the Main Office Permit Unit to ensure that all construction restrictions are accurately posted and maintained on the State internet site. Annual Radius and Blanket Permits are issued to some carriers that regularly haul loads between 8.5 ft and 12 ft wide. These permits allow the carrier to haul anywhere on the State system for an entire year. Trip Permits are required for anyone hauling a load between 8.5 ft and 12 ft who does not otherwise have an Annual Permit and for all loads wider than 12 ft. A typical modular home is 14 ft to 16 ft wide. Haulers operating under a Trip Permit have to obtain a permit approved and issued by an RPE or the Main Office Permit Unit every time they want to haul their load. At that time, the permit issuer can (if properly notified of work zone restrictions) ensure that the load is routed around a work zone which cannot accommodate the oversize load. Under an annual Trip Permit, haulers do not need to consult with the permit staff for each trip, and they may be unaware of temporary restrictions placed after the annual permit is issued. There are tens of thousands of annually permitted loads and it is not uncommon for an annually permitted load, or a load that is running illegally without a permit, to enter a work zone resulting in possible worker injury or death, property damage, and extensive delays to traffic and construction work. On roadways with two or more lanes open to traffic, either one-way or two-way, occasional wide loads can generally be accommodated, regardless of temporary lane widths in place. (Other vehicles will stagger or get out of the way.) Single-lane sections are the primary concern, especially when barrier or other immovable constraints are present. However, on high-volume highways or where oversize loads are more frequent, wide loads may cause a great deal of disruption and designers may want to prohibit them, even if they could make it through

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physically. Consult with the RPE and the Regional Traffic Engineering and Safety Group to determine the anticipated frequency of wide loads and whether they should be prohibited. All roadway or bridge widths less than 14 ft should have signing to direct all the annual permit haulers exceeding the available width off the highway. While annual permit haulers are responsible for verifying the adequacy of he route before each trip, the consequences of an oversize vehicle becoming stuck in the work zone or trapped on an approach, warrants signing to remind the haulers of their responsibility. The available roadway width shall not be less than the vehicle width plus one foot of clearance on each side. A 12-ft wide load with 1-ft clearance on each side typically requires at least 14 ft of available roadway width. Consider increasing the clearance if there will be an alignment shift or other conditions which complicate the task of negotiating the work zone. Since Trip Permit haulers are provided with routing information by the permit issuer, no signing is needed to accommodate them. Typical special warning signs for a roadway width of 13 ft might read NARROW BRIDGE/XX MILES, followed by VEHICLES OVER/11 FT WIDE/USE EXIT XX, followed by VEHICLES OVER/11 FT WIDE/EXIT HERE. Consider installing signing (traditional or portable variable message signs) one month prior to the beginning of the restriction, to give annual permit operators advance notice of the upcoming restriction and remind them to find another adequate route. Signing a detour for oversize vehicles is generally not recommended because designating a formal detour would place the liability for an accident involving an oversize vehicle on the Department. If a detour is to be used, it must be thoroughly checked for adequacy for all types of oversize vehicles before being signed. If a detour is being considered, consult with the RPE and the Regional Traffic Engineering and Safety Group. The EIC (or the Regional Construction Group) is responsible for notifying the RPE of any construction-related restrictions and their durations. The RPE then notifies the other RPEs and the Main Office Permit Unit so that they do not issue permits for loads exceeding the restriction through the work zone.

B. Farm Equipment In rural areas, designers should consider the needs to accommodate access by farm vehicles/equipment. Farm vehicles must be accommodated if the farmer needs a portion of the highway to access parts of his or her property. Farmers are not required to obtain a permit unless the vehicle/load exceeds 17 ft in width. Designers should reach out to local farmers to identify their equipment width needs and to ensure that the project allows access to all portions of their property.

C. Snow Removal Any roadway with restricted width that might be in place during winter months needs to be wide enough to accommodate snow plows or other snow removal equipment. Consider the possibility 16.4.4.3 01/20/06

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that jobs not expected to go through the winter might end up doing so due to delayed letting dates, field problems, etc. For projects which might have wintertime width restrictions, consult the Regional Transportation Maintenance Group for guidance on the minimum width needed for snow and ice control.

16.4.4.4 Other Considerations

A. Motorcycles Motorcycles require special consideration when designing the highway work zone. Motorcycle advocates have expressed concern that the surface texture of milled pavements can adversely affect the handling of motorcycles and the ROUGH ROAD (W4-4) sign does not adequately warn motorcyclists of approaching conditions. The NYSMUTCD was revised to allow the use of GROOVED PAVEMENT (W4-5) signs for temporary grooves such as might occur in construction zones. To warn motorcyclists of the presence of milled pavement, the contract documents should show GROOVED PAVEMENT signs on each approach (including side streets) to locations of milled pavement. Designers should consider using a variable-message sign (VMS) on high-speed, mainline approaches to the milled pavement. An appropriate two-part message would be GROOVED PAVEMENT AHEAD/MCYCLES USE CAUTION. VMSs and messages deemed appropriate must be shown in the contract documents and paid for under their own item. When both the BUMP (W4-1) and GROOVED PAVEMENT signs are used, strict conformance to the advance posting distances in the NYSMUTCD results in the signs being placed too close together. The Standard Specifications directs contractors to install the GROOVED PAVEMENT sign in nonurban areas 150 m (100 m in urban areas) upstream of the BUMP sign so that the signs are adequately spaced. Designers should consider the possibility that a BUMP sign will be needed when specifying advance posting of the GROOVED PAVEMENT sign. Since BUMP signs are usually 60 m in advance of the rebate, GROOVED PAVEMENT signs in nonurban areas should be located 210 m (160 m in urban areas) in advance of the rebate to maintain adequate spacing. On multilane highways where only one lane in a direction is milled and both lanes are open to traffic, supplement the GROOVED PAVEMENT sign with the appropriate LEFT LANE or RIGHT LANE panel below the sign. While the NYSMUTCD allows repeated use of GROOVED PAVEMENT signs with W9-2 auxiliary mileage panels, the presence of other work zone traffic control devices reminds motorcyclists of the continuing milled pavement, and repetition is not recommended unless warranted by project-specific conditions. Where only a ramp is milled, sign the mainline with a GROOVED PAVEMENT sign and a supplemental RAMP panel. Milled, longitudinal or transverse vertical faces exceeding 25 mm in height that will be exposed 01/20/06 16.4.4.4

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to traffic during nonwork hours shall be sloped or tapered by temporary patches or shims to avoid creating a traffic hazard. Where vertical transverse faces cannot be adequately sloped or tapered, BUMP signs shall be installed in advance of milling rebates in accordance with the NYSMUTCD. An object marker (W7-10) shall be installed on the right side of the roadway at the rebate. On divided highways, an object marker shall be installed on both sides of the roadway. A drum with a Type B, flashing warning light may be used instead of an object marker. Any change in condition of the pavement surface should be communicated to motorcyclists by signs, far enough in advance of the change to give the operator time to make the necessary adjustments. Extra precaution should be taken to ensure that no construction materials, steel plates, or debris reaches the traffic lanes, especially at night, because the reactions of motorcyclists to objects on the road tend to produce a more severe corrective maneuver, irrespective of the nature of the object. Speeds prescribed in work zones should be low enough so that the motorcyclist is not exposed to increased risks due to sudden braking.

B. Older Drivers Crash analyses consistently show that more crashes occur on highway segments containing construction zones than on the same highway segments before the zones were implemented. Among the most frequently listed contributing factors were driver attention errors and failure to yield the right of way. A well-designed MPT plan will help reduce these\ The following design considerations should be given to all MPT plans to help reduce the number of vehicle crashes in work zones. Limit the number of choices which must be made by drivers at a given location. Preferably, limit the choices to only one at a time. Establish traffic controls which are simple and consistent. Increase the conspicuity of construction signs by using larger than minimum sign dimensions, by using brighter retroreflective sheeting materials, and by illuminating traffic control devices at night. Repeat signs and sign messages, and install signs on both sides of the highway (oneway roadways only). Assure the visibility of signs by installing them in conspicuous locations, and where they are not obscured by vegetation, competing signs, or background clutter. Maintain full-width travel lanes (3.6 m) and avoid lateral constrictions, if possible. Clearly identify pedestrian crossings with large, conspicuous signs, and make the crossings highly visible for pedestrians and motorists.

Recommendations that may enhance the performance of diminished-capacity drivers as they approach and travel through construction work zones are keyed to five specific design elements:

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Lane closure/lane transition practices. Portable variable message signing practices. Channelization practices (path guidance). Delineation of crossovers/alternate travel paths. Temporary pavement markings.

The standards in the NYSMUTCD, the requirements in the Standard Specifications and Standard Sheets, and the guidelines in this manual pertaining to these design elements are in general conformance to FHWAs recommendations and guidelines.

C. Incidents Incidents that occur within highway work zones can effectively reduce the flow of traffic and potentially stop the work activities for an extended period of time. Failure to plan for emergency situations will cause unnecessary inconvenience and frustration to motorists, increase the cost of incidents, and result in poor perception of the contractor and Department. Refer to Chapter 24 in this manual for more information on incident management.

D. Class A Containment Systems Class A Containment Systems contain spent abrasive and paint waste debris from bridge painting projects. The design of a Class A containment system may significantly impact the traffic control requirements. It is important to provide as many details as possible should the contractor\ chose to develop an alternative traffic control scheme. These details should include typical lane closure and signing layouts, limitations on when the roadway may be occupied, clearances, special features such as shadow/barrier vehicles, hours of work, and other considerations.

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16.4.5 Sequence of Construction Staged construction denotes the construction of a facility by phases in a sequential manner. Staging plans establish what, where, and when construction activities will be performed and where traffic will go during these activities. Staged construction is widely used, generally when a detour route is not available or feasible. Several stages may be necessary to complete the project. MPT staging plans should be utilized when the work must be done in accordance with a certain sequence of construction. Notes related to the various construction stages should be included on these plans. Each phase of construction should be thoroughly described in the sequence in which they are to be performed. An MPT plan is necessary to ensure that the flow of traffic can be maintained while building the project without undue difficulty and with a minimum number of orders-on-contract. Developing a sequence of construction and maintenance and protection of traffic plan is an essential part of the overall project design and may affect the design of the facility itself. Design of the proposed improvements should be coordinated with the maintenance and protection of traffic plan. There may be acceptable design alternatives which will improve tie-ins to existing pavement and facilitate significantly smoother traffic flow. Except for the most simple projects, a recommended sequence of construction should be provided. Delays and redesign during construction are often extremely costly, may cause an unsafe situation, and can unnecessarily disrupt traffic patterns. To the extent possible, the plan should have flexibility. Each project presents unique challenges and developing a sequence of construction offers opportunities to address these concerns at an early stage. In the case of multistage construction projects involving several traffic pattern shifts, significant detail is involved. Detailed control plans defining the staging needs as well as the specific traffic control devices required for each stage will be required. A key issue is to undersand that it is critical that the plan meets the traffic conditions and traffic control needs of the situation. A phasing overview plan may be appropriate to highlight the work to be done and the traffic flow patterns in each construction phase. Throughout the design process, it is important to keep the big picture in mind and solicit input from the appropriate Regional functional units and experienced individuals. Before beginning to prepare a sequence-of-construction plan, the designer should walk or drive the project to become familiar with the site and critical construction areas, take notes, make sketches, and video tape and take photographs to assist in communicating issues to be considered. Another means by which to familiarize oneself with the site is to view the Departments photolog files. The photolog is a series of sequential photographs, taken from a moving vehicle at drivers eye level. While not as informative as a site visit, the photolog shows such items as the number of lanes, surface type, pavement markings, structures, signing, and hazards in true perspective and in their relative positions. Each Region has complete library of photologs for the routes within their Region. 16.4.5 01/20/06

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A draft sequence-of-construction plan should be prepared by thinking through each step as it relates to the other steps. Well-prepared sequence-of-construction plans from other projects should be reviewed to learn about the various issues involved. Brain storming alternative construction sequences may lead to the most practical method. It may be helpful to color-code each phase of construction and prepare a written narrative of each phase. The work to be performed during each stage of construction and work completed while construction is being performed during subsequent stages should be identified by symbols on the MPT plans. When temporary pafement areas are required, a typical section should be provided. The designer is responsible for determining the need for lane closures, shoulder closures, sidewalk closures, full road or bridge closures, and detours during construction. The designer should also determine if it will be necessary to shift traffic lanes away from the normal position during construction and determine required easements. If closing or shifting lanes is necessary, a sequence of construction should be prepared. If detours, right of way, or easements are required for the maintenance of traffic, the sequence of construction should be completed in sufficient detail for the right of way requirements to be incorporated into the plans used for the public meeting. Items to address in preparing the sequence of construction should include, where appropriate: The sequences of construction of adjoining projects should be coordinated. There may be occasions where a portion of one project would be more efficiently constructed at a designated stage of construction sequence of another project. Bridge construction should be addressed in sequence of construction. The coordination of the bridge construction with the roadway portion should be evaluated. Detours may be necessary during periods of bridge construction. Sequences of construction should be designed to prevent worker activity left and right of traffic at the same time. This situation makes the driver feel restricted, slows traffic, and endangers workers. Similarly, sequences of construction should be designed to avoid having work in the middle with traffic on both sides. This makes access difficult and there is no safe escape route for workers. Replacement of existing drainage may require a temporary diversion ditch or pipe. Jacking versus open cut for pipe causes less interruption to traffic but is normally a considerably more expensive method of pipe installation. Proposed pipes under roadways with high traffic volumes or difficult detours options are candidates for jacking. New construction and extensions of box culverts require considerable construction time. Urban projects should use precast concrete items as much as is practical, since urban improvements are generally adjacent to and performed under traffic. Environmental concerns include avoiding wetlands and stabilizing disturbed slopes at the earliest appropriate stage of construction. Excavation and earthwork must match maintenance of traffic and sequence of construction plans. Consider borrow material versus surplus material at each stage of the sequence. Address locations where surplus material may be placed. Areas of graded slopes may be 16.4.5

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES appropriate locations to waste surplus material. Consider areas of major cut or fill to anticipate slope tie-in difficulties. It is essential that the project sequence of construction be taken into consideration to avoid specifying use of material which is not available in the appropriate phase of construction. On complex projects, it may be necessary for the designer to develop rough grading diagrams and summaries for each phase of work to accurately determine the grading effort required. Where practical, the top layer of a hot mix asphalt concrete pavement should be paved as a single stage of construction for the full width of the traveled way, shoulder, and auxiliary lanes to improve the riding quality of the finished pavement. Therefore, the development of the MPT staging plans for projects involving paving operations should specify a construction sequence in which work progresses up to the bottom of the final pavement course. The final pavement course should be shown as the final paving stage. Staging should provide for a minimum exposure to drop-offs and uneven pavement adjacent to and between travel lanes during all phases of paving. Staging should minimize the time between removal of guide rail or barrier and placement of guide rail or barrier. The delivery and unloading of materials and equipment should be planned so as to minimize the impact on traffic movement, as much as practical. Nighttime construction may greatly reduce the disruption of traffic flow resulting from stoppages. Certain construction activities, such as the placement of bridge girders or overhead sign structure might be better accomplished at night. However, additional safety precautions may be necessary when accomplishing these activities. Pavement or structure demolition sequence should be considered. The effects of railroad crossings or construction adjacent to rail lines should be considered. Avoid situations where traffic could queue across railroad tracks. Time of day, holidays, or other day and time restrictions may be necessary stating when construction or traffic flow restraints are not allowed. Several Regional offices have lists of highways where daytime single or multiple lane closures are not permitted. Notes may be necessary stating specific dates/times. Local ordinances such as noise may restrict when work can be performed. Existing utilities should be addressed in the sequence of construction as to when and by whom they will be relocated. Completion of a portion of the road construction may be necessary prior to installing or relocating utilities. If temporary widening is necessary for stage construction, the temporary pavement section must fit within the right of way and/or existing utilities. Consider and develop, in consultation with the Regional Construction Group, contingency plans for scenarios where delayed utility pole relocation could adversely impact roadside safety or sidewalk construction. Notes in the traffic control plans should clearly spell out the limitations and requirements of the project so that if the contractor chooses to develop a different traffic control scheme, the essentials are specified.

The above list is not all-inclusive and there may be other items not listed therein that would be appropriate for consideration on certain projects.

16.4.5

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16.4.6 Work Zone Speed Limits Traffic speed in highway work zones is an important factor affecting the safety of a construction project, both for the traveling public and for the construction workers and Department personnel. Appropriate work zone speed limits balance the competing needs for high speeds to maintain smooth and efficient flow through a work zone and lower speeds to enhance the ability of traffic to react to work- or traffic-related disruptions in traffic flow.

16.4.6.1 Determination of the Need for Speed Reduction Reduced speed limits may be appropriate in some situations. However, sound engineering judgment must be applied in examining alternate solutions, such as improved warning signs and positive guidance, as well as determining if any advisory speeds are actually correct for the situation. It is important to understand that overuse of speed limits, especially speed limits that are artificially/unrealistically low, will have little affect in reducing speed at that site. Worse, it will create driver disrespect for work zone speed limits in general, and will thus adversely affect speeds at other sites where speed limits are posted realistically. The designer must request the Regional Traffic Engineers concurrence with the reduction of work zone speed limits. For further guidance in the use of advisory signing in work zones, refer to the NYSMUTCD 239.1. Several situations may contribute to speed-related problems in a work zone, including: 1. Motorists are exceeding the posted speed limit on the work zone approach and fail to slow sufficiently upon entering the work zone. 2. The posted speed limit on the approach is higher than the normally posted speed limit in the work area, such as the approach to a residential area, and traffic fails to slow sufficiently. 3. Physical and operational restrictions in the work zone require travel speeds lower than those in effect prior to the start of construction. In the first two situations, the problem is lack of compliance with existing limits. Reducing work zone speed limits is not a viable solution for motorists who are already exceeding approach speed limits and fail to slow to the speed limit when entering the work area. Enforcement of the approach speed limit should be utilized to resolve such problems, rather than creating additional disrespect for speed limits by posting unrealistically low speed limits in the work area. In the third situation, the existing speed limits in the work zone are too high and may need to be reduced. Design, maintenance, and construction personnel must determine which, if any, of these situations applies on a particular project. The Design Approval Document for the project may contain speed studies and/or estimates of the normal operating speed (the 85th percentile speed) on the approaches and in the work zone. If not, operating speeds must be established based on field observations and with the assistance of Regional Traffic personnel. To the maximum extent possible, work zone traffic controls should be based on project-specific traffic engineering considerations and actual work zone parameters. As a general rule, reduced

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speed limits established by any of the three methods described in 16.4.7.2 should be utilized only when it is essential to ensure the safety of motorists traveling through the work zone as well as that of contractor and Department employees at the work site. The decision to include a reduced speed limit should normally be made during design and included in the traffic control plan. However, at times it may not become apparent that a speed limit reduction is needed until construction is underway. In such cases, Regional Construction personnel are responsible for initiating the establishment of a speed limit and for ensuring that there are adequate areas for police enforcement operations. The following general guidelines apply to both the design and construction phases of a project. This section provides guidance for establishing and selecting appropriate work zone speed limits and is not intended to dictate rigid policy. Each Region should have a management plan for Region-wide implementation of reduced speed limits. See MAP 7.12-14. The following general guidelines apply to both the design and construction phases of a project. In very rare cases, it may be necessary to establish multiple speed zones on an individual project. In those cases, it is essential to ensure that the speed zones reflect consistently different conditions, and that no zone is less than 400 m in length. Actual project conditions that would justify implementation of a reduced speed limit are numerous and highly variable. Speed limit reduction strategies are mandated for certain conditions, and optional for others, based on a careful engineering analysis of traffic volumes, driving habits, and other project-specific criteria. Conditions which, depending on traffic volumes and other actual project conditions, may indicate the need for a reduced speed limit, include the following: 1. Construction vehicles or equipment entering or crossing the travel lanes on a frequent basis in a manner that may interrupt traffic flow and require stopping and slowing. 2. Alternate one-way traffic controlled by flagger(s) or signal(s). Consider reducing the speed limit on high-speed highways where visibility of the flagger or signal is limited. 3. Closure of one or more travel lanes resulting in restricted flow in the lanes remaining open. 4. Narrowed lanes or diversion of travel lanes to a new path requiring a speed reduction for safe traversal of the lanes or diversion. 5. Sight distance restrictions such that adequate stopping sight distance is not available for travel at the normally posted speed limit because of physical restrictions or unexpected interruptions caused by the construction activity.Any situation where restrictions imposed by the construction activity make it impossible for a normally alert and prudent driver to safely traverse the work zone at the normally posted speed limit, but where advisory speeds alone are not able to achieve reasonable compliance. The following conditions require reduced speed limits and speed reduction strategies: 1. Workers or equipment in open travel lanes, or in closed lanes, shoulders, or medians immediately adjacent to the open travel lanes and unprotected by rigid barrier. On limited access highways with speed limits equal to or greater than 55 mph, dedicated police 16.4.6.1 01/20/06

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enforcement shall be provided and portable variable message signs with radar detection and speed display capability are to be specified for intermittent use. 2. Night construction involving temporary lane closure on multilane highways with speed limits equal to or greater than 55 mph shall have 10-mph minimum speed limit reductions. Dedicated police enforcement shall be provided. 3. The speed limit for two-lane, two-way traffic on a normally divided highway with a 65-mph speed limit shall be reduced to 55 mph due to the proximity of either temporary concrete barrier or opposing traffic. 4. Any of the five conditions in the previous paragraph on a highway with a 65-mph speed limit. Regardless of whether the reduced speed limit is required or warranted based on consideration of project-specific conditions, the original speed limit should be restored when the condition(s) are not present. Leaving the reduced speed limit in effect when not needed will encourage motorists to ignore it when it is needed. Notes should be included in the MPT plans specifying when the reduced speed limit is active and when the original speed limit is to be restored.

16.4.6.2 Determination of the Need for Speed Reduction The decision whether to use reduced speed limits in work zones and when they are to be active should be made during detailed design in consultation with the Regional Traffic and Safety Group. The use of police enforcement should also be considered as well as provision of adequate enforcement areas for police officers. The MPT plan should show the speed limit signing, enforcement areas, and include any notes pertaining to activating or deactivating the reduced speed limit when not needed. Before attempting to slow traffic at a work zone, it should be recognized that speed reductions can have adverse effects. Speed limits which are perceived by motorists as unwarranted, reduce the credibility of and overall compliance with all speed limits. In particular, speed reduction measures can reduce roadway capacity and cause localized congestion if traffic volumes are moderate to heavy. The congestion, in turn, can increase the potential for rear-end accidents. They may also increase the speed differential between those who choose to observe the reduction and those who do not. Speed differentials can also lead to crashes.

16.4.6.3 Methods for Establishing Work Zone Speed Limits One of the few effective methods available for slowing motorists down as they enter a work zone is strict enforcement of posted speed limits by police agencies. To permit enforcement of speed limits in construction work zones, it is necessary to ensure that speed limits are legally established and posted. Traffic control devices may be placed only pursuant to traffic control powers granted, by law, to state and local authorities. Regulatory devices that require a Notice of Order include speed regulations such as maximum and minimum speed signs, intersection control such as traffic signals, stop signs or yield signs, parking regulations, turn and one-way regulations, vehicle size and weight exclusions, highways designated for use by trucks, tandem trailers, and other special 01/20/06 16.4.6.3

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dimension vehicles. When a permanent regulatory device is installed on a highway under a construction contract or for maintenance operations, the Department traffic engineering staff files a Notice of Order (Form TE 3e) with the Department of State. The Notice of Order includes the location of each regulatory device and, in order to be enforceable, these device locations are published in the New York Code of Rules and Regulations (NYCRR) Title 15. Currently, two methods are available to establish reduced speed limits for construction work zones. These methods, and the posting requirements for each, are presented in the following paragraphs.

A.

Method 1 (This method is intended primarily for capital construction projects designated as restricted highways.)

With respect to any restricted highway, as defined in Section 104-a of the Highway Law, the Department of Transportation may prohibit, restrict, or regulate traffic on, or pedestrian use of any such highway. Any temporary regulatory changes made during work zone traffic control must also be filed with the Department of State in order to be enforceable. In lieu of preparing and filing several orders to change each regulatory device required during the life of a construction contract, a Notice of Restricted Highway is filed that includes the physical limits of the project. The text of these notices is published biweekly in 17NYCRR Part 155 Traffic Regulations on Restricted Highways. For information on the filing process, refer to 104-05 of the Contract Administration Manual. The provisions of the NYS Vehicle and Traffic Law with respect to registration shall not apply to vehicles and equipment engaged in work on such restricted highways. When used on such restricted highways, all traffic control devices shall be considered as official traffic control devices and shall conform to the NYSMUTCD. If any traffic regulations or restrictions that the Department has the power to impose under Section 1625 of the Vehicle and Traffic Law would be different from the traffic regulations in effect at the time of commencement of the construction or reconstruction contract and are considered to be necessary in order for the contractor to perform the work under the contract, then the highway should be designated a restricted highway. In other words, use of any regulatory device during construction that would require a Notice of Order would require that the highway be designated as a restricted highway. This would include: Reducing the regulatory speed limit within the work zone per the Vehicle and Traffic Law, Article 30, Section 1180 (NYSMUTCD Part 212). Temporarily changing the restrictions for weight or size of vehicles through the work zone by posting regulatory exclusion signs (NYSMUTCD Part 215). Use or modification of right of way signs (NYSMUTCD Part 211), intersection movement signs (NYSMUTCD Part 213), roadway use signs (NYSMUTCD Part 214), parking signs (NYSMUTCD Part 221), and work zone regulatory signs (NYSMUTCD Part 218). The removal or installation of traffic signals or the use of temporary traffic signals. 01/20/06

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Modifying the existing pavement marking patterns in work zones during construction. In accordance with 104-08 of the Standard Specifications MAINTAINING TRAFFIC, the designer shall indicate in the contract documents which sections of the highway will not be designated as a restricted highway. Most major construction contracts will be restricted due to the complexity and duration of the traffic control plans and no special notes will be required. When the contract does not warrant an official filing of the Restricted Highway Notice, the designer should include a Special Note in the proposal or on the traffic control plans that says: RESTRICTED HIGHWAY USE - In accordance with 104-08 of the Standard Specifications, highways where work is to be performed under this contract will not be designated restricted highways. If a contract includes work at multiple sites and only one or two sites require a restricted highway designation, the following note can be used: RESTRICTED HIGHWAY USE - In accordance with 104-08 of the Standard Specifications, highways where work is to be performed under this contract will not be designated restricted highways except for the following location: State Route X between A Road and B Road. If there is any uncertainty whether to officially designate the highway as restricted, the Regional Traffic Engineer should be consulted for additional guidance regarding traffic regulations. If the potential exists for the use of regulatory devices during construction, it is better to restrict the highway. However, keep in mind that this may result in the unnecessary filing and printing of official codes and the associated administrative work involved. Overweight vehicles traveling outside the limits of the restricted highway, hauling material to or from the project, can be ticketed by the police. It may be necessary to establish the contract limits so as to keep the hauling limits within a restricted highway.

B. Method 2 (This method is intended primarily for maintenance operations not designated as restricted highways.) Projects which involve minimum and short-term interference with existing traffic regulations need not be designated as restricted highways. This would include highways where work involves the use of moveable work zone signs and flagpersons for work off the roadway. Examples of work zone traffic control plans that would not require a designation of restricted highway include those shown in NYSMUTCD Figures 302-3, 302-6 (with short-duration use of Section 213.5 Regulatory Signs), 302-7, 302-8A, 302-9, 302-11 through 302-16, 302-18 and 302-19. Contracts that typically follow the layouts in these traffic control plans include pavement marking contracts, landscape contracts, maintenance mowing contracts, guide rail installation or repair contracts, single-course overlays, and joint or crack sealing. Section 1180(f) of the New York State Vehicle and Traffic Law provides the agency having jurisdiction over an affected street or highway with the authority to establish a reduced speed 01/20/06 16.4.6.3

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limit in construction or maintenance work zones. Work zone speed limits established under this procedure can be no lower than 20 mph below the normally posted speed limits, and cannot, in any case, be lower than 25 mph. Method 2 can be used when the highway is not designated as a restricted highway.

16.4.6.4 Guidelines for Selecting the Appropriate Speed Limit After it has been determined that reduced speeds are desirable and practical, a safe and reasonable speed should be selected. A speed control strategy should be adopted which will reduce speed to what is safe and reasonable for the conditions. The selected speed should not be unreasonably low. Regulatory speed limits provide a sound enforcement basis for citing those who drive at imprudent speeds. Advisory speed signs as described in Section 239.1 of the NYSMUTCD are intended to alert motorists to the recommended maximum speed considered appropriate for a specific condition such as a curve, bump, or rough road where enforcement is not necessary. Speed reductions should not exceed those given in Exhibit 16-11. Speed reductions greater than those in Exhibit 16-11 are likely to be viewed by motorists as unrealistic, resulting in poor compliance. The reductions are guidelines for the maximum that should ordinarily be considered and are not intended to suggest that speed limit reductions of this magnitude should be routinely included in Department projects. Where it is necessary to include reductions of the magnitudes given in Exhibit 16-11, it is important that they be based on adequate engineering study and approval at the appropriate level. If it is not possible to design the work zone to permit safe operating speeds without reductions greater than these values, other measures in addition to posting the reduced speed limit will normally be required to achieve safe traffic flow through the work zone. It is recommended that the Regional Traffic Group be consulted for assistance in those situations.

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Exhibit 16-11 Maximum Speed Reductions Roadway Type Freeways, expressways <65 mph =65 mph Maximum Speed Reduction 10 mph (15 km/h) 20 mph (30 km/h) 15 mph 15 mph (25 km/h) (25 km/h)

Urban Arterials Rural highways

One case deserving special attention is rural freeways with a posted speed limit of 65 mph. Normally, when one or more of the six conditions listed in 16.4.6.1 are present, the speed limit should be reduced to 55 mph. However, this reduced speed limit should be in effect only when the condition(s) is (are) actually present, and restored to 65 mph at other times. Reductions greater than 10 mph may be necessary for some particularly difficult situations. In those cases, it is recommended that the speed limit be reduced to 55 mph at the beginning of the work zone, with a further reduction to 50 mph or 45 mph only at the point(s) where the most difficult conditions are present. For circumstances involving median crossovers or other diversions of traffic on highways with speed limits no greater than 55 mph that are of limited length, appropriate warning signs with advisory speed signs should be provided, rather than posting lower regulatory speed limits for the short distance where they would be appropriate.

16.4.6.5 Maintaining Speed Limit Credibility Effective law enforcement is recognized as one of the few tools available to gain motorist compliance with speed limits. Considering the limited law enforcement resources available for construction projects, it is completely unrealistic to assume that it will be possible to force compliance with speed limits that are perceived as unreasonable or unnecessary. Instead, speed control through highway work zones must come primarily from establishing and maintaining motorist respect for speed limits in general, and in particular for speed limits posted in those work zones. Specifically, the following requirements must be adhered to at all times: Reduced speed limits must be established and posted in full adherence to the engineering principles discussed in the preceding sections. Reduced work zone speed limits that are the same numerical value as the existing speed limit should not be established. Reduced speed limits must be posted only when the conditions necessitating the reduced speed are actually present. In addition, reduced speed limit signs must be removed as soon as the work is completed or the physical restrictions are removed. In some cases, this may mean restoring the normal speed limit during nonworking hours. Adequate warning signs, path delineation, and other driver guidance must be provided so drivers can perceive the need for the advisory or posted speed.

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16.4.6.6 Speed Reduction Signing In order for reduced work zone speed limits to be enforceable in court, they must be laid out correctly with the required sign location and repitition. Refer to the NYSMUTCD 212.3 and 212.6 for sign location guidance. All work zone speed limits that are to be enforced shall be signed with regulatory signs and include black/orange WORK ZONE (W8-45) panels mounted above them. Existing regulatory or advisory speed limit signs that conflict with a reduced work zone speed limit must be completely covered or removed during periods when the reduced speed limit is in effect. Conversely, reduced speed limit signs should be covered or removed when they are not needed. Speed control signing should be located upstream of the work zone location. The distance upstream should be far enough to ensure that drivers have enough time to react safely, yet not so far that motorists see or perceive no reason to reduce their speeds and thus will not do so in the absence of police. The signing pattern for work zone speed limits on one-way highways with 65-mph speed limits has special requirements. Two likely scenarios for reducing a 65-mph speed limit within a work zone are (1) reducing from a 65-mph speed limit to a 55-mph speed limit , and (2) reducing from a 65-mph speed limit to a 45-mph speed limit with an intermediate reduction to 55 mph. Where the condition warranting the speed reduction is at or near the upstream end of the work area (including the taper), the speed reduction signing should be entirely upstream of the MILE (W8-1) advance warning signing for the restriction to avoid intermixing advance warning and speed reduction signing. Where the condition requiring the 45-mph speed limit is at least 150 m downstream of the end of the taper, the speed reduction to 45 mph should be done immediately upstream of the condition. Supplemental speed limit signs may be interspersed within the warning signs, as necessary, to maintain the spacing required in the NYSMUTCD. The following guidance details signing recommendations for reducing 65-mph speed limits in work zones. All signs described below shall be installed on both sides of the roadway, and all existing speed limit signs shall be covered or removed. The WORK ZONE (W8-45) panel shall be used with all work zone speed limit signs. The WORK ZONE panel is intended to call attention to the reduced speed limit and to advise the motorist that the reduced speed limit is due to the work zone rather than routine speed control warrants. Consequently, the WORK ZONE panel shall not be used on existing speed limit signs within a work zone. It shall not be used by itself and shall not be used in lieu of normal work zone signing. To supplement the FINES DOUBLED FOR SPEEDING IN WORK ZONES sign, where a reduced work area speed limit is posted, the FINES DOUBLE (R2-13) panel may be installed on any maximum speed limit (R2-1) sign, SPEED ZONE AHEAD (R2-10) sign (used on 55-mph highways), or REDUCED SPEED AHEAD (R2-12) sign (used on 65-mph highways) used to post the reduced work area speed limit. The sign assembly shall include the R2 series sign with a WORK ZONE (W8-45) panel directly above it and may include the FINES DOUBLE (R2-13) mounted directly beneath it. Both the WORK ZONE and the FINES DOUBLE panels shall be completely covered or otherwise removed from view when the R2 speed limit sign is covered or removed. When using the panel, consider the need for additional posts for the assembly.

16.4.6.6

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Case 1: 65-mph Normal Speed Limit on a Highway Reduced to a Work Zone Speed Limit of 55 mph. 1. 2. Install a STATE LAW FINES DOUBLED FOR SPEEDING IN WORK ZONES 300 m upstream of the first advance warning sign (usually a ROAD WORK 1 MILE (W8-1) sign). Install a REDUCED SPEED AHEAD (R2-12) sign at least 150 m downstream of the ROAD WORK 1 MILE (W8-1) sign. Place a black-on-orange WORK ZONE (W8-45) panel directly above the R2-12 panel. Supplement each sign assembly with two orange 460-mm by 460mm flags attached to the sign. Diamond-shaped, orange panels similar to object markers may be attached to the top of the sign instead of flags. Install a SPEED LIMIT 55 (R2-1) sign approximately 300 m downstream from the REDUCED SPEED AHEAD (R2-12) signs. Authorization 99-3 in the NYSMUTCD eliminated the requirement for a STATE SPEED LIMIT (R2-2) sign to post a linear 55 mph speed limit. Include the WORK ZONE (W8-45) panel and the flags or diamond panels as detailed in step 2. Install intermediate SPEED LIMIT 55 (R2-1) signs throughout the work zone. Place the first intermediate sign within 330 m downstream of the first R2-1 sign, with a maximum spacing of 1.6 km between subsequent intermediate signs. Install a WORK ZONE (W8-45) panel directly above each speed limit sign. At the end of the work zone, install an END ROAD WORK (G11-2) sign, followed 150 m downstream by a SPEED LIMIT 65 (R2-1) sign. Do not use an END 55 MPH SPEED LIMIT (R2-11) sign because that sign is used to advise the driver to return to the statewide speed limit which is not applicable in this situation. Existing speed limit sign approaching or within the work zone signing should be covered or removed.

3.

4.

5.

6.

Case 2: 65-mph Normal Speed Limit on a Highway with Stepped-Down Work Zone Speed Limits of 55 and 45 mph (see Exhibit 16-12). 1. Follow steps 1 through 4 above to reduce the speed limit to 55 mph except that the distances between the signs are reduced below NYSMUTCD recommendations, as follows, to avoid excessively long and counterproductive reduced speed zones. While it is recommended that the length of the reduced speed zone upstream of the work area be limited to 1 mile, the speed limit reduction may, if deemed appropriate, be extended further upstream, to provide NYSMUTCD-recommended spacings between signs. Reduce the distance from the ROAD WORK 1 MILE (W8-1) sign to the REDUCED SPEED AHEAD (R2-12) sign from 150 m to 100 m. Reduce the distance from the REDUCED SPEED AHEAD (R2-12) sign to the SPEED LIMIT 55 (R2-1) sign from 300 m to 150 m. Reduce the distance from the SPEED LIMIT 55 (R2-1) sign to the first (and only) intermediate SPEED LIMIT 55 (R2-1) sign from 330 m to 150 m. Upstream of the 45 mph speed zone, and 100 m downstream of the last SPEED LIMIT 55 (R2-1) sign, install a REDUCED SPEED AHEAD (R2-12) sign assembly as detailed in Case 1, step 2 above. Install a SPEED LIMIT 45 (R2-1) sign approximately 150 m downstream from the REDUCED SPEED AHEAD (R2-12) signs and complete the sign assembly as detailed in 16.4.6.6

2.

3.

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES Case 1, step 3 above. Install intermediate SPEED LIMIT 45 (R2-1) signs throughout the work zone. Place the first intermediate sign 330 m downstream from the first SPEED LIMIT 45 (R2-1) sign, and at least 150 m downstream of the MILE W8-1 warning sign. Use a maximum spacing of 1350 m between subsequent R2-1signs. Install a W8-45 directly above each speed limit sign. If the speed limit is increased to 55 mph before the end of the work zone, install a SPEED LIMIT 55 (R2-1) sign and the proper intermediate R2-1 signs as detailed in Case 1, step 4 above. At the end of the work zone, install a END ROAD WORK (G11-2) sign followed 150 m downstream by a SPEED LIMIT 65 (R2-1) sign. Existing speed limit signs approaching or within the work zone signing should be covered or removed.

4.

5.

6. 7.

Speed control signing should not be placed in or near areas where drivers will be distracted by other signing and traffic movements such as intersections, ramps, and lane closure tapers.

16.4.6.7 Location of FINES DOUBLED FOR SPEEDING IN WORK ZONES Signs In addition to the posting requirements specific to Methods 1 and 2 in 16.4.6.6, signing advising motorists that fines for speeding convictions within a highway construction or maintenance work zone are higher than those for speeding outside the work zone shall be installed. Signing for double fines shall be installed on the mainline in advance of any highway work zone or where a travel lane is closed to vehicular traffic or the speed limit within the work zone is reduced below the normally posted speed limit or near the project limits on projects with multiple work zones. It may also be used where workers on the shoulder are exposed to high-speed traffic. The FINES DOUBLED FOR SPEEDING IN WORK ZONES signs shall be the primary device for advance notice since they can be installed independently of a speed limit sign. The sign should be placed where it will not interfere with, or detract from, any traffic control device. It should not be placed between a warning sign and the condition to which it relates, or within a warning sign countdown series. To avoid the aforementioned conditions, unless otherwise directed by the Regional Traffic Engineer based on site-specific conditions, install the sign 300 m upstream of the first warning sign on highways with normally posted speed limits equal to or greater than 45 mph and 90 m to 150 m upstream for normally posted speed limits less than 45 mph. For long projects with multiple work zones, the sign should be installed upstream of the ROAD WORK NEXT XX MILES (G11-1) sign at the distances in Exhibit 16-11 or at the project limits and need not be installed at each work zone.

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IN HIGHWAY WORK ZONES

Exhibit 16-12 Signing Requirements for Reducing 65 mph Speed Limits in Work Zones

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Advance notice of work zone fines may also be provided temporarily (2 to 4 weeks) by a variable message sign when the project first starts, if it is more practical or cost-effective. The legend should be changed to SPEEDING FINES DOUBLED IN WORK ZONES so it can be presented in 2 displays in a variable me unit having 3 lines with 8 characters per line. Designers should show the signing on the plans and include its cost in the cost of the Construction Signs item.

16.4.6.8 Selection of Speed Control Method Reduced speed limits are generally only effective when the driver perceives a need to slow down, whether it be through regular enforcement of the speed limit or noticeable geometric or work related constraints on traffic flow. Reduced speeds can generally be achieved by introducing active measures such as enforcement, flagging, variable message signs, lane shifts, and lane-width reduction. Since driver behavior reflects driver attitudes, awareness, comfort level, and respect for authority, consider strategies that address engineering, education, and enforcement measures. As a guide to speed control selection, Exhibit 16-13 summarizes the advantages and disadvantages of speed control methods.

A. Engineering Measures In the past, common practice was to design the work zone and traffic control to minimize the impact of the work on traffic flow. Unfortunately, this practice can give drivers an understated sense of the inherent dangers in work zones and result in unsafe driver behavior, including excessive speed, unsafe lane changing, and aggressive driving through work zones. Engineering measures typically involve designing the work zone to give the reasonable and prudent driver the feeling that he/she needs to slow down to the posted speed limit to safely negotiate the work zone. Width restrictions and lane shifts are the most commonly used measures to reduce speeds. Such measures should be implemented to result in a safe and controlled speed reduction. Motorists should be given adequate advance warning as they approach construction or a change in travel path to avoid sudden deceleration and the resulting increased potential for rear-end collisions. A clear area or buffer space should be provided at the beginning of any constriction or changed in travel path to allow an errant vehicle to recover safely without encountering workers or equipment. One of the more promising calming measures is the use of channelizing chicanes (lane shifts) to reduce traffic speeds and force all drivers to negotiate a lane shift prior to encountering the work site. A common application of a chicane is at a lane closure on a two-lane, two-way roadway. If the work is in the right lane, the left lane is closed placing all traffic in the right lane for a brief period before shifting it into the left lane around the work space. This strategy ensures that any driver not reacting properly to the traffic control will strike channelizing devices and have a second chance to react before encountering workers and equipment.

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Exhibit 16-13 Advantages and Disadvantages of Speed Control Methods Advantages Law Enforcement (Stationary patrol car treatments only)
1. Large speed reduction possible. 2. Relatively inexpensive for short duration applications. 3. Quick and easy to implement and remove. 4. Can be effective at night, especially with lights flashing. 5. Sporadic use may encourage reduced speeds during nonuse periods. 6. Suitable for all types of highways and work zones. 1. Constrained by availability of police officers and patrol cars. 2. Agency/Contractor does not have direct control over performance. 3. High cost for long-duration applications. 4. Competes with other police functions. 5. Long work zones may require additional patrol car units. 6. Success depends on good cooperation from enforcement agencies.

Disadvantages

Variable Message Signs

1. Relatively inexpensive for both short- and longduration applications. 2. Agency/Contractor has direct control over performance. 3. Little or no disruption to traffic flow. 5. Suitable for all types of highways and work zones. 6. Effective at night and in inclement weather. 7. May be used in combination with other techniques in this table. 1. Only modest speed reductions possible. 2. Constrained by availability of signs. 3. Effectiveness may decrease with continuous use. 4. Sign maintenance and repair may require technical expertise. 5. May be used only as substitutes for other signs, cannot be used alone.

Flagging
1. Large speed reductions possible. 2. Agency/Contractor has direct control over performance. 3. Relatively inexpensive for short-duration applications. 4. Little or no disruption to traffic flow. 5. Quick and easy to implement and remove. 6. Suitable for all types of highways and work zones. 1. Requires specially trained and conscientious personnel. 2. Fatigue and boredom necessitate frequent relief. 3. High labor costs for long-duration applications. 4. Effectiveness may decrease with continuous use. 5. Two flaggers (one each side) may be needed on multilane roadways. 6. Additional flaggers may be needed for long sections. 7. Drivers may have a problem seeing flaggers or police traffic controllers at night.

Effective Lane-Width Reduction

1. May be more expensive to implement and maintain 1. Moderate speed reductions possible. for short-term applications than for long-term 2. Agency/Contractor has direct control over applications, depending on the devices used. performance. 2. May disrupt traffic flow (i.e., reduce capacity). 3. Relatively inexpensive for long-duration 3. May increase certain types of accidents. applications, depending on devices used. 4. Device maintenance may be expensive. 4. Retains effectiveness with continuous use and 5. May not be as effective on multilane highways. long-duration use. 6. Not easy to implement or remove. 5. Speed reduction achieved throughout narrow lane section. Source: Adapted from Improvements and New Concepts for Traffic Control in Work Zones

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B. Education/Awareness Measures Portable variable message signs (PVMS) with built-in radar detectors can be used to alert drivers that they are exceeding the speed limit. The message can be as follows: SPEED LIMIT 45 MPH/YOUR SPEED IS XX MPH with the actual speed of the vehicle displayed. These devices should be deployed on limited-access highways with speed limits equal to or greater than 55 mph. They are required on all Major Active Work Zones. The PVMS units should be routinely moved to different locations and should be deployed for a minimum of 50% of the time that workers are routinely exposed to traffic. Consider using the weekly pay unit. Consult with the Regional ITS Coordinator of the Transportation Management Center to determine whether the Department or the contractor will furnish the PVMS units. Full-time use of the PVMS units will desensitize the motoring public to their use and reduce their effectiveness. Portable variable message signs can also be deployed for a time period before work begins to warn drivers of the upcoming project and allow them time to consider alternate routes or adjust their schedule to account for possible delays. Use of the medial to notify motorists of short-term closures, alternate routes, night construction, and traffic pattern changes should also be considered.

C. Enforcement of Speed Limits by Law Enforcement Agencies While the engineering and education efforts can reduce speeds, the most uniformly effective way to obtain respect for and compliance with speed limits and other traffic regulations is to actively enforce them. The use of dedicated police services can be arranged during either the design or construction phases of a project through a joint initiative, currently in place, between NYSDOT and the Division of State Police. Section 16.7 in this chapter provides guidelines on the use of dedicated police traffic services. Dedicated police enforcement is required on all Major Active Work Zones and night construction projects involving temporary lane closures on multilane highways with speed limits of 55 mph or greater. When specifying dedicated enforcement, consult with the local State Police to identify their needs for enforcement areas, protection from traffic, turnarounds, and other concerns which can be addressed in the design of the project. The State Police should be provided an opportunity to review the plans to ensure that their concerns and needs are addressed.

16.4.6.9 Approving and Documenting Reduced Speed Limits Documentation should provide a specific description of the locations, dates, and types of operations where the reduced speed limits will be imposed, as well as the justification for the reduction. However, for recurring situations, the descriptions need not be completely explicit in terms of dates and locations. The recommendation and approval will be recorded in the project records and actual 16.4.6.9 01/20/06

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implementation of the speed limits will be documented in the project records along with other records on maintenance and protection of traffic. For long-duration projects, a copy of the same documentation should be sent to the State Police, to the local sheriff, and to the town clerk of the municipality that will have judicial jurisdiction. These officials must also be notified when the reduced speed limit is terminated.

A. During Design A recommendation to impose a reduced work zone speed limit may be made by the designer during the development of the project MPT plan, by Regional Traffic or Construction staff during project development and review. Consistent treatment of work zone speed limits among projects and among Regions is essential to maintain credibility with, and compliance by motorists. It is, therefore, important that decisions to impose reduced speed limits follow established guidelines, and that standards be reviewed and approved at the appropriate level in consultation with the State Police and documented in the project records. Adequate justification must be provided based on the guidelines provided in this section, or on other factors that clearly establish the need for a reduced speed limit. Review and approval by the Regional Design Engineer and the Regional Traffic Engineer should be documented in accordance with the Regions procedures.

B. During Construction For speed limit reductions implemented during construction, action may be initiated upon recommendation of the Engineer-in-Charge, the Regional Construction Group, or the Regional Traffic Engineering and Safety Group. Adequate justification must be provided based on the guidelines in this section or on other factors that clearly establish the need for a reduced speed limit. The proposed reduced speed limit must be reviewed by the Regional Construction Engineer and the Regional Traffic Engineer and approved by the Regional Traffic Engineer before it is put into effect. Consultation with the project designer is also recommended. Final approval by the Regional Traffic Engineer should be in accordance with the Regions procedures.

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16.4.7 Work Zone Traffic Control Layouts The NYSMUTCD and the National MUTCD contain examples of generally minimum requirements for a large variety of traffic control situations which are normally found in the field, but they cannot include a layout for every possible highway work zone situation, nor do they provide adequate bases on which to bid the work. Many variables, such as location of work, road type, traffic speeds, travel volumes, roadway geometrics, vertical and horizontal alignment, pedestrians and bicyclists, and intersections affect the needs of each work zone. Since the purpose of traffic control is to make the work zone safe and disrupt the flow of traffic as little as possible, good engineering judgement must be used to choose the appropriate layout for the project and modify it to meet the requirements of a particular work zone. Modifications should comply with the principles and requirements of the NYSMUTCD. For projects that affect traffic (e.g., bridge overpasses) on the NYS Thruway or I-84, the plans should include time restrictions and details as supplied by the NYS Thruway Authority. In the interest of cost-effective design, the least expensive strategy should be investigated first. Exhibit 16-14 shows a suggested order in selecting the method to be used. The choice of strategy should be based on its economic feasibility, as related to traffic impacts, community impacts, business impacts, etc., as well as its physical possibility. The designer should consider duration of the work, location of the work, and highway type when selecting a course of action. These three factors are discussed in more detail in the NYSMUTCD, Subchapter H. Generally, the duration of the work determines the type of control devices (mobile or stationary, short-term or long-term) to be used; the location of the work (off the shoulder, on the shoulder, in the median, or in a lane) oftentimes determines the number of control devices to be used; and, the type of highway (rural, urban, expressway, arterial, one-way, two-way) usually affects the degree of modifications to typical work zone applications. Select the appropriate layout from the examples in the NYSMUTCD, Subchapter H or the Departments Work Zone Traffic Control Manual, and develop detailed MPT plans, as necessary, and in conformance with the requirements of the NYSMUTCD. In those instances when the NYSMUTCD does not have an example suitable to the project, the designer may refer to the latest edition of the National MUTCD. When modifications to NYSMUTCD examples are necessary, it is usually because higher type treatments than those shown are required. The following are examples of modifications that may be desirable and necessary to satisfy the needs found in the field. Additional Devices < Increased number of signs (take care not to oversign). < Special signs (portable variable message signs or temporary guide/destination signs). < Flashing arrow boards. < Channelizing devices reduced spacing. < Temporary raised pavement markers or wet reflective tape. < Temporary traffic signals. < Temporary barriers. < Barrier vehicles. < Vehicle arresting barriers. 01/20/06

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Impact attenuators. Gawk/glare screens. Rumble strips. Intrusion alarms. Upgrading of Devices < Larger signs with lights/flags. < Brighter and/or wider pavement markings. < Higher-type channelizing devices. < Barriers in place of channelizing devices. < A full complement of standard pavement markings in areas of high hazard. < Variable message signs. Improved Geometrics < At detours. < At crossovers. < Widened shoulders to enable staged construction. Increased Distances < Longer advance warning areas. < Longer buffer spaces. Lighting < Steady-burn lights for channelization. < Flashing lights at isolated hazards. < Illuminated signs. < Floodlights. < Temporary roadway lighting.
< < < <

The following points should be considered when designing an MPT plan for a specific field condition: Drivers may not perceive or understand one or more of the devices placed in the traffic control zone. Therefore, some extra signs or devices may be required to protect motorists and workers, however, guard against oversigning. Consideration should be given to what might happen if the motorist does not get the required information. The level of protection used and the delivery of the message should be related to the level of hazard. More emphatic messages and a higher level of protection are needed for high-hazard situations. Where possible, a recovery space (buffer zone) should be provided. Devices should be evaluated on a system basis. Consider how the entire set of devices will perform in the work zone to guide drivers and protect workers. Whenever possible, remove the traffic from the facility or make the work zone as large as possible. Large work zones provide a safer working environment and foster smoother, longer lasting and less costly pavements by allowing the use of high-quality, high-volume paving equipment resulting in fewer interruptions, and minimizing short and/or irregular placements.

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Exhibit 16-14 Suggested Steps For Selecting Traffic Control Strategy

16.4.7

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16.4.7.1 Design of Road Closures Road closures should be considered where alternate routes exist close to, and generally parallel to, the roadway to be closed, and where the alternate routes have sufficient capacity to carry the diverted traffic including special dimensioned and permitted vehicles. Where feasible detour facilities are available or where traffic conditions are otherwise suitable (low volumes of strictly local traffic), closing the roadway to public traffic should be considered. When roads are closed, a certificate must be filed with the town clerk as required by Section 104 of the New York State Highway Law. To fulfill these certification requirements, the Regional Director must file a notice of state highway closure with the town clerk of the town in which the state highway to be closed is located. When the decision is made to completely close a road for nighttime construction, the following traffic control elements are to be provided: Type III construction barricades shall be used to close a roadway or ramp in a highway construction work zone in accordance with the NYSMUTCD 292.2. Appropriate ROAD CLOSED or related signs are required, mounted on or above the barricades, as described in Part 218 of the NYSMUTCD. Flashing warning lights are to be provided on Type III barricades at the point of closure. They are not to be installed in a longitudinal display, such as at a lane closure that diverts traffic onto a ramp. Appropriate work zone and ROAD CLOSED warning signs as described in Part 238 and work zone guide signs as described in Part 254 of the NYSMUTCD are required in advance of all closures. Type B flashing, high-intensity warning lights should be considered to provide target value and to emphasize the presence of signs on freeways and in other locations where there is concern that drivers may fail to notice these signs. Vehicle-arresting barriers (VABs) should be considered for use on mainlines or entrance ramps where there is a risk of traffic circumventing the closure. Design information is presented in 16.3.2. Redundancy is essential for all closures when space permits. It may be provided with an additional set of Type III barricades located some distance beyond the primary closure and in front of VABs to alert drivers who circumvent or breech the primary closure. DETOUR signs and detour route markers, as appropriate, to provide advance warning and guidance to traffic, in accordance with the NYSMUTCD Sections 238.5 and 254.3, respectively.

16.4.7.2 Design of Lane Closures When traffic must be maintained through the project during work hours, temporary lane or shoulder closures may be necessary to provide separation between traffic and the contractor's operations. The use of traffic barriers (temporary concrete barrier, movable concrete barrier, etc.) is desirable to provide positive separation, but may not be feasible. Most lane closures that are set up and removed on a daily basis must rely on channelizing devices to mark the closed lanes. All lane and 01/20/06 16.4.7.2

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shoulder closures, whether barriers or channelizing devices are used, must adhere to the following requirements: Closures must be started at locations providing optimum visibility, i.e., before curves and crests. Closure locations should take advantage of available escape paths such as wide medians and shoulders, and avoid bridges, underpasses, and other locations without available escape paths. Closures should be located away from other conflict points such as on-ramps and intersections whenever possible. On freeways and interstates, where spot work areas are located less than 1.6 km apart, it is recommended that they be treated as a single work zone with a long lane closure. Lane closure taper lengths must adhere to the requirements of 262.22 and 292.1 of the NYSMUTCD. The standard taper length, L, must be provided as a minimum for lane closures, except where intersections or other site situations necessitate shorter tapers. For multiple lane closures, a tangent section 2L in length is preferred between adjacent lane closure tapers. Longitudinal buffer space should be provided between the downstream end of the lane closure taper and the start of the work area, to provide a margin of safety for workers and motorists. The NYSMUTCD (301.13 and Table 301-2) provide guidance for the design of longitudinal buffer space length. Any available buffer space is helpful, and should be used even if the recommended distance is not available. The longitudinal buffer space given in Table 301-2 may have to be increased to optimize visibility of the approach taper. Refer to Exhibit 16-12 for an illustration of the components of a temporary traffic control zone. For roadways with relatively high speeds and free-flowing traffic, longer tapers may help to facilitate merging. However, for slower speed roadways where traffic volumes approach congestion, increasing the taper length may prolong the merge conflict and should be avoided. Where temporary concrete barrier is used to close lanes or shoulders, the closure must first be formed using channelizing devices on the appropriate taper length. Immediately downstream of the merging taper, where the channelizing devices become parallel to the lane, an appropriate longitudinal buffer space is to be provided in advance of where the temporary barrier crosses the edge of pavement. The barrier is then introduced beyond the buffer space using the flare rate listed in 16.3.1. Refer to the National MUTCD, Figure 6H-34 and the Departments Work Zone Traffic Control Manual. Channelizing devices must be carefully aligned at intersecting ramps, gores, and other critical locations to clearly define the intended travel path for drivers. Where construction operations are restricted to a shoulder or only one lane of a three-lane roadway, consideration should be given to providing additional lateral buffer space by closing an additional travel lane adjacent to the work operation. This decision must be based on the tradeoff between traffic flow and worker safety. In addition to potentially reducing traffic speeds, the added lane closure reduces the risk of equipment or workers straying into the open lane. However, this option cannot be used where it results in unacceptable congestion and delays. Where space is available on the open-lane shoulder, traffic can be shifted further away from construction operations by locating channelizing devices on the open-lane side of the 01/20/06

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lane line. The designer should be aware of whether shoulder rumble strips (MIARDS) are located on the shoulders. Where neither of the immediately preceding options can be used to provide an adequate lateral buffer space to protect the workers, stationing a spotter to provide warnings or a barrier vehicle with truck-mounted attenuator to provide protection to workers should be considered. Arrow panels are required for lane closures on multilane highways where the preconstruction posted speed limit or the operating speed is 45 mph or higher. During nighttime construction, however, arrow panels are required for all lane closures on multilane highways regardless of traffic speed. This must be shown on the MPT plan. See 16.2.6 for additional guidance on arrow panel use. Black-on-orange single arrow signs (W1-11, W1-12) or chevron signs (W1-13, W1-14) may be used at strategic locations (i.e., intersections, lane shifts and closures, crossovers, etc.) to emphasize lane closures. Placement above and behind Type III barricades spaced periodically throughout the lane closure is especially effective. Regulatory "DO NOT PASS" signs (R4-1) may be spaced periodically throughout lane closures where traffic is restricted to a single lane and there is concern that vehicles will momentarily enter a closed lane to pass slower vehicles. These signs are to be placed on the right adjacent to the open lane, and may be placed on both the left and right, where space is available. During paving operations and other construction operations, it may be necessary to change the lane closure from left to right, or vice versa. It is often simpler to leave the original closure in place and shift traffic into the reopened lanes using channelizing devices. The shift should occur at a minimum distance of 2L downstream from the merging taper. The shift taper length must be at least 0.5L, although the use of L is encouraged. Single arrow signs (W1-11, W1-12) or chevron signs (W1-13, W1-14) should be used to mark the shift. Arrow panels are not to be used. Channelizing devices must be spaced to confine traffic to a single lane throughout the shift without allowing an opportunity to form additional lanes (i.e., channelize both sides of the lane leading up to and within the shift). When one lane closure is maintained with a lane shift used to adjust lane use, the lane to be closed should be based on site conditions and available sight distance. All other things being equal, generally, the left lane is closed because there is less traffic in the left lane and less conflict with entrance and exit ramps. It also avoids having to create temporary gores and acceleration and deceleration lanes with channelizing devices.

16.4.7.3 Ramp Control Normally on-ramp traffic has sufficient acceleration length available to merge into gaps in mainline traffic. Ramp control in a work zone should duplicate the existing configuration. However, in some cases, downstream lane restrictions may limit the available acceleration distance and compromise the safety and efficiency of the merge. Where adequate acceleration length to support a merge is not available, traffic control of the on-ramp traffic may, depending on mainline and ramp traffic volumes, consist of STOP (R1-1) or YIELD (R1-2) signs, and for very short duration work or moving work zones crossing an on-ramp, flagger control to control traffic on the ramp, not the mainline. 01/20/06 16.4.7.3

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Designers should make every practicable attempt to provide adequate acceleration length. A significant difference in speeds between mainline and entering traffic creates a safety concern. The use of STOP (R1-1) or YIELD (R1-2) signs to control on-ramp traffic contributes to a speed differential and should only be used where adequate acceleration length is not available or closing the ramp and detouring traffic is not practical for safety reasons. This is a project-specific decision and should only be done in consultation with the Regional Traffic Engineer and, as appropriate, the Regional Construction Engineer. Considerations include the cost of geometric improvements such as widening, which may facilitate adequate acceleration length, traffic volumes on both the mainline and the ramp, grades, sight distance, length of detours used if the ramp is closed, length of time the acceleration length will be restricted, the volume of truck traffic that uses the ramp, and any relevant accident history. If only the acceleration lane is to be closed, close the right lane in advance of the on-ramp and create a dedicated ramp entry lane using the closed right lane unless precluded by site-specific conditions. Also, restrict work hours to times when mainline traffic can be accommodated in the remaining open lanes upstream. Where there are three or more through lanes and work occupies the right lane, close the right two lanes in advance of the on-ramp, only if it does not cause unacceptable congestion, and create a dedicated ramp entry lane using the closed center lane unless precluded by site specific conditions. When use of a STOP (R1-1) or YIELD (R1-2) sign to control on-ramp traffic is determined to be the best alternative due to inadequate acceleration distance, consider the choice between stop and yield control. There are no commonly accepted criteria for selecting between the two, but the following are some considerations and best practices. Where the available acceleration distance is very short (less than half of the AASHTO minimum), a STOP (R1-1) sign should be considered since on-ramp traffic is unlikely to be able to accelerate to mainline speed, even if there are adequate gaps in mainline traffic. Consider eliminating the entire remaining acceleration lane to reinforce the stop condition and minimize driver confusion. A short acceleration lane may encourage drivers to attempt a merge, only to stop suddenly at the end of the lane when there is no gap in traffic and expose themselves to a rear-end collision by a following accelerating vehicle. On-ramp traffic should be brought into the mainline at as near a right angle as practicable so the drivers can best see approaching mainline traffic and accelerate into the mainline traffic flow. Avoid specifying channelizing devices on the left side of the ramp which can block the view of approaching mainline traffic. Where poor compliance with YIELD (R1-2) signs is expected, consider using STOP (R1-1) signs. Avoid forcing trucks to stop if they will be climbing an upgrade immediately downstream of the on-ramp. Where car-truck conflicts will present a significant potential for serious accidents, close the ramp or develop an alternative method of traffic control. If the acceleration distance is more than half of the AASHTO minimum, consider using a YIELD (R1-2) sign to encourage more efficient use of available gaps in the mainline flow while advising drivers not to expect normal merge conditions. Some other states use yield signs when there will be two open lanes on the mainline and stop signs when there will only be one open lane. However, this policy is most likely based on the assumption that there will be more gaps in mainline traffic when there are 16.4.7.3 01/20/06

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two open through lanes. Before basing the type of traffic control on the number of open lanes, make sure that the assumption is valid. In all cases, provide advance warning of the stop or yield condition by using STOP AHEAD or YIELD AHEAD signs with flags or warning lights and VMS units if appropriate. If there is space available, install the STOP (R1-1) or YIELD (R1-2) signs on both sides of the ramp and enhance their visibility with flags or warning lights. When using either stop or yield control, consider speed limit reductions and warning signs on the mainline in advance of the on-ramp. A 65 mph speed limit shall be reduced upstream of a stop or yield condition. A W2-8 intersection warning sign with a RAMP TRAFFIC supplemental panel beneath it may be used to advise mainline drivers of a potential intersection type conflict at a right-side on-ramp. Deployment of VMS units is also recommended. Consult the Regional Traffic Engineer for appropriate message text.

When a roadway is closed, provide warning of the closure at all on-ramps upstream of the closure following the guidance in 16.4.8.1. When the mainline is open to traffic, special considerations must be given to controlling traffic at ramps, and in some cases, it will be necessary to selectively close on-ramps or off-ramps while the mainline remains open. For facilities with existing ramp metering equipment, it may be necessary to adjust the ramp metering cycle or turn the system off when the construction operation is underway. For facilities without ramp metering, it may be beneficial to provide temporary metering during the construction operation. When paving or other operations require providing to the contractor full use of the lanes adjacent to off-ramps, it is necessary to temporarily close individual off-ramps. In such cases, it is essential to provide advance warning that the ramp is closed, and to provide information on alternate ramps or detours. This information must be provided well upstream of the decision point using large information signs or variable-message signs. In addition to advance information signs, regulatory RAMP CLOSED (R8-1) signs are required in the area of the ramp. To emphasize the closure through the ramp area, the channelizing device spacing should be 6 m.. In addition to full-road closures, on-ramp closures may be necessitated by closure of the right lane for the contractor's operations, or because restriction of all mainline traffic to the right lane does not provide adequate gaps for entering traffic to merge safely. In either case, closure of an on-ramp must be addressed in a manner similar to that for a full-road closure. When entering or exiting traffic must cross closed lanes, the travel path must be clearly defined using channelizing devices spaced at 6 m. Temporary advance signs telling motorists how far it is to the temporary off-ramp opening, e.g., EXIT/500 FT or EXIT XX/1000 FT. Temporary EXIT (G5-1) panels on portable supports are to be provided in relocated gores to direct traffic to open off-ramps. In addition to mainline VMSs, consider VMSs for on-ramps carrying high-speed, highvolume traffic to alert drivers to nighttime construction activities.

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16.4.7.4 Two-Lane, Two-Way Operations Two-lane, two-way operations (TLTWOs) occur on one roadway of a normally divided highway when traffic must be moved through or around a temporary traffic control zone. This section discusses the policy and guidance for this optional method of temporary traffic control for projects on 4-lane divided highways, e.g., rural or urban interstates or arterials. The unique operational problems inherent in a TLTWO makes it a method that may not be applicable to every situation. It is the policy of the NYSDOT to consider a two-lane, two-way operation (TLTWO) on one roadway of a normally divided highway as an alternative method of work zone traffic control.

A. Considerations: A TLTWO on one roadway of a normally divided highway is a typical procedure that requires special consideration in the planning, design, and work phases, because unique operational problems (for example, an increase in the risk of head-on crashes) can arise with a TLTWO. Some of the considerations designers should make when assessing the use of TLTWO include: Will a TLTWO provide a safety benefit to workers by removing the conflicts that occur when traffic is maintained immediately adjacent to the work? Will a TLTWO make nighttime construction safer for workers? Will operational and safety problems be caused by low-speed (#60 km/h) vehicles, creating excessive delays and encouraging illegal passing due to motorist frustration and impatience? Will emergency vehicles experience difficulties resulting from the restricted section when passing through or responding to accidents in, or downstream of, a TLTWO segment? Compare to the difficulties to be experienced if the traffic is maintained adjacent to the work. Can the work be accomplished without TLTWO? If another option is considered, will it result in an additional safety risk to temporary traffic control zone personnel? Can temporary lanes be constructed in the median? Will a TLTWO enhance the quality of construction? A TLTWO removes all traffic from the work area and allows the contractor better control of the work operation. All other things being equal, better quality work may result in extended pavement and bridge deck service lives and a reduction in the frequency and extent of future maintenance and reconstruction operations. If a TLTWO is selected, will this result in a shorter contract time? If a TLTWO is selected, will this result in restricting traffic in a reduced lane configuration longer than would a conventional staged operation? Will a TLTWO allow a contractor to perform the work more efficiently? In many cases, contractors will choose to stage their work, even if given total access (by closing a road or bridge), in order to maintain convenient access across a bridge. Will a TLTWO provide more capacity? Generally, TLTWOs will provide somewhat wider travel lanes than conventional staged construction as there is no need to be concerned about contractor work room behind the temporary concrete barrier. In 01/20/06

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some cases, the extra travel width may provide a second lane in one direction. Are there any width or height restrictions that would preclude the use of a TLTWO or the use of a shoulder or the median as a temporary lane? Wider temporary lane widths (see above) that may result with TLTWO may better accommodate wide loads and could mean the difference between allowing them on-site as opposed to detouring them off-site. What is the condition of the pavement and shoulders in the proposed TLTWO section? If traffic will be forced to drive on the shoulders due to width restrictions, is the shoulder design adequate? Is a suitable detour available that will preclude the need for on-site temporary traffic control or carry traffic in the event of emergency incidents? Will use of TLTWO cause a significant increase in the project cost? What are the characteristics of the traffic (e.g., traffic volume, demand volume, vehicletype distribution, etc.)? Traffic volumes may be too heavy, causing significant congestion and delays. Is the project located on a roadway where bicyclists and pedestrians are permitted to travel? Refer to 16.4.4.2 for guidance on providing maintenance and protection of traffic for bicyclists and pedestrians. Can traffic be controlled to minimize or eliminate the safety risk to workers when resetting channelizing devices? Is there an impact on existing drainage?

B. Design Standards (Required, mandatory, or specifically prohibitive practices.) 1. Separation of Traffic Between Crossovers. Temporary concrete barrier (TCB) or channelizing devices shall be used to separate opposing traffic throughout the length of the TLTWO between crossovers, except when the work zone is located on an urban-type street or arterial where operating speeds are low (#60 km/h) and traffic control devices, including signs and pavement markings, are provided in accordance with the NYSMUTCD, separation devices may be omitted. Separation of Traffic at Crossovers. TCB shall be used to separate opposing traffic at crossovers for all TLTWOs. TCB shall be installed at the crossover exit roadway to protect exiting traffic where fixed objects located in the median or the slope of the crossover embankment are a hazard to the exiting traffic. If there are no hazards, the TCB is not required. TCB and the excessive use of traffic control devices are not allowed as compensation for poor geometric and roadway cross section design of the crossover. Design Speed. Where it is not possible to achieve a design speed equivalent to that of the existing facility, the design speed of the crossover and TLTWO shall not be lower than 10 mph below the highest of the anticipated operating speed or the preconstruction off-peak 85th percentile speed or the posted speed limit prior to work starting. Use of any design speed below the preconstruction off-peak 85th percentile speed shall be approved by the Regional Traffic Engineer. If circumstances force a further lowering of the design 16.4.7.4

2.

3.

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES speed, consideration should be given to additional measures for reducing speed to a safe operating level approaching the crossover, such as temporary rumble strips. (See Guideline C.3.) 4. Lane Width and Shoulder Width and Depth. Lane width and shoulder width for the TLTWO and crossovers shall be provided in accordance with the requirements of Chapter 2 of this manual. The depth of paved shoulders shall provide for heavy-duty use in accordance with the Comprehensive Pavement Design Manual. 5. Channelization at Interchanges and Rest Areas. The directions of travel (exit, enter, through) at interchanges and rest areas located within the TLTWO shall be properly channelized to prevent wrong-way travel and confusion on the part of the motorist. 6. Temporary Concrete Barrier Protection. Protection against direct impact with the approach ends of TCB shall be provided in accordance with 16.3.1. 7. Warning Signs With Channelizing Devices. Two-way traffic signs (W3-3) supplemented with auxiliary mileage signs (W9-2) shall be located every 1.6 km maximum, in both directions of the TLTWO when channelizing devices are used to separate opposing traffic. (See Guideline C.10 below.) 8. Regulatory Signs With Channelizing Devices. DO NOT PASS (R4-1) signs shall be located in both directions of the TLTWO when channelizing devices are used to separate opposing traffic. 9. Roadside Protection, Signing, and Pavement Markings. Appropriate roadside protection, signing, and pavement markings in accordance with the NYSMUTCD, the HDM, and this section shall be provided for the opposite direction of traffic at obstacles and locations which do not require protection, signing, and pavement markings under normal unidirectional conditions (e.g., trailing ends of guide rail or barrier shall be converted to approach ends). 10. Winter Operations. A TLTWO shall not be left in place during the winter snow removal months except as approved by the Regional Traffic Engineer, Regional Construction Engineer, and Regional Maintenance Engineer. 11. Lane Separation. If channelizing devices are used to separate traffic, the lanes shall be a minimum of 1 m apart and full-barrier lines shall also be used. 12. Crossovers. All pavement and hazardous features and conditions must be removed and the area returned to a safe and pleasing appearance. There must be no features that mislead drivers to follow unsafe direction. Drainage must not be impeded.

C. Design Guidelines (Recommended, not mandatory practices, with deviations allowed if engineering judgement or analysis indicates the deviation to be appropriate.) 1. Length of TLTWO.

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A TLTWO should not exceed 8 km in length, except when, in the designers judgement, an existing interchange is located a reasonable distance downstream from the terminal of the TLTWO in the crossover direction, the TLTWO may be extended to terminate at that interchange. Special consideration shall be given to the effects of horizontal and vertical alignment and truck volumes on the operation and safety of the TLTWO for lengths in excess of 8 km regarding the potential for aggressive driving. Emergency Pull-Offs. Emergency pull-offs should be provided on the median side of the crossover lane (see Exhibit 16-16). The should be delineated by delineators or paved. In situations where the median-side shoulder configuration is too narrow to accommodate emergency pulloffs, they should be provided on the other shoulder. The spacing should not exceed 1.6 km on a TLTWO longer than 3 km. Design Speed. The design speed for crossovers and TLTWO should be equivalent to the design speed of the existing facility. (See Standard B.3 above.) Separation of Traffic by TCB. TCB (positive barrier) should be used instead of channelizing devices when, in the judgement of the designer, the volume of traffic, the anticipated operating speed, the volume of heavy trucks, or other traffic or roadway conditions result in a potential for unacceptable conflicts between opposing flows. Guidelines for when to consider the use of TCB are when one or more of the following conditions occur. The DDHV exceeds 1300. The anticipated operating speed $ 80 km/h. The volume of trucks exceeds 10%. Long, steep grade or sharp curve at the base of a long, steep grade. Separation of Traffic in Short TLTWOs. For short (approximately 600 m or less) TLTWOs, it may be more beneficial in terms of economics, uniformity, and consistency to use continuous TCB throughout the work zone and crossovers rather than to use channelizing devices through the TLTWO and TCB with impact attenuators (at the approach ends of the TCB) at the crossovers. Shielding of Potentially Hazardous Features. Potentially hazardous features with a high accident potential should be shielded, such as with sand barrels for point objects or with temporary guide rail or temporary concrete barrier for linear objects. The designer should determine the point-of-need for guide rail for traffic traveling in the opposite direction from which it was originally designed and provide shielding wherever necessary. The trailing end of any bridge rail, guide rail, concrete barrier, etc., should be given special consideration. Designers should show on the plans where and what length of roadside protection is required throughout the length of the TLTWO. Separation of Lane Closure Tapers and Crossovers. Tapers for lane closures should not be contiguous with crossovers. Drivers need time to acclimate to the change and adequate space is needed for the advance warning signs. The distance from the downstream end of the lane closure taper to the beginning of the crossover should be at least twice the length of the lane closure taper

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2L but no less than the length of the lane closure taper L. 8. Spacing of Channelizing Devices Used in a Longitudinal Series. Spacing of channelizing devices used in a longitudinal series to separate opposing traffic flows should not exceed a distance in meters equal to 0.3 times the speed limit (mph) or 12 m maximum, whichever is less, when used for taper channelization, and a distance in meters equal to 0.6 times the speed limit (km/h) or 24 m, whichever is less, when used for tangent channelization. Full barrier lines must also be used. 9. Spacing of Channelizing Devices at Interchanges and Rest Areas. The spacing of channelizing devices used at interchanges and rest areas located within the TLTWO should be 1/4 to 1/3 the spacing of the channelizing devices used in tangent locations. 10. Warning Signs With TCB. Two-way traffic (W3-3) signs supplemented with auxiliary mileage (W9-2) signs may be used but are not required when TCB is used to separate opposing traffic. (See Standard B.6 above.) 11. Intermittent Use of Alternate Channelizing Devices. Intermittent use of alternate channelizing devices, such as opposing-traffic lane dividers (separation devices manufactured of lightweight materials with 2-way arrows on both faces), is permitted on an experimental basis where space permits and in accordance with Special Authorization 94-12 in Appendix A of Title 17, NYCRR (NYSMUTCD). These devices may be used to break the monotony of a continuous line of primary channelizing devices, such as tubular markers. One alternate channelizing device may be installed in place of every 5th, or more, primary channelizing device. 12. Speed Limit Signs. Maximum speed limit signs should be provided in both directions of the TLTWO and located in accordance with the requirements of the NYSMUTCD Table 212-1. Where the original speed limit is 65 mph, reduce it to 55 mph due to the proximity of either temporary concrete barrier or opposing traffic. 13. Shoulders. It may be necessary to widen existing shoulders to provide the necessary lane width, especially the median-side shoulder. 14. Signs at Intersections Include provisions for KEEP RIGHT (R4-6) signs at intersections along the TLTWO. An example of a TLTWO, including crossovers and a tangent section, with separation of opposing traffic by channelizing devices, is provided as Exhibits 16-15, 16-16, and 16-17. In situations where there is a median barrier, the downstream taper in the southbound lane needs to extend only to the point beyond which the median barrier provides protection to the northbound traffic.

D. Variance From Standards When a designer determines that unique, project-specific circumstances are just cause to vary 16.4.7.4 01/20/06

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from the standards for the use of a TLTWO, the decision shall be documented in the permanent project files. The documentation should describe and provide explanations and support for features that do not comply with the TLTWO standards. Documentation is not required for variance from guidelines. Implementation of a TLTWO shall be by concurrence of the Regional Traffic Engineer and either the Regional Design Engineer for capital construction projects or the Regional Maintenance Engineer for maintenance projects or in accordance with the procedure established by the Regional Director.

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Exhibit 16-15 Example of Crossover Entrance in Two-Lane, Two-Way Operation

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Exhibit 16-16 Example of Two-Lane, Two-Way Operation

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Exhibit 16-17 Example of Crossover Exit in Two-Lane, Two-Way Operation

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16.4.7.5 Urban Arterial Work Zones Urban arterial work zones have several unique characteristics that distinguish them from rural highway or freeway work zones. The characteristics are primarily related to traffic conditions, traffic signals, geometrics, and limitations on work zone traffic control. Among the most important of the characteristics are higher speed variations, highly variable volumes, limited maneuvering space, frequent turning, crossing and lane-changing maneuvers, multiple access points, higher pedestrian volumes, frequent traffic obstructions, greater competition for driver attention, and more traffic signals. These characteristics require special consideration when preparing an MPT plan for construction activities. A study reported in Transportation Research Record (TRR) 1409 evaluated some of the unique characteristics of urban arterial work zones and developed guidelines for traffic control in this type of work zone. The following traffic control guidelines were developed by others from the results of research activities and investigations into current arterial work zone practices. The guidelines have not undergone an extensive experimentation or evaluation period in the field, but are provided here for consideration by the designer under the appropriate circumstances. Designers must consult with the Regional Traffic Engineering and Safety Group and obtain their approval of the design. Designers should include notes in the contract plans that require the EIC and the contractor to coordinate the work with the Regional Traffic Engineering and Safety Group. The traffic control guidelines include those related directly to the movement of traffic through the work zone and the traffic control devices used to control the traffic. They address intersections, lane closures, speed control, channelization, and pavement markings.

A. Signalized Intersections The overall capacity of an arterial is typically limited to the capacity of the intersections on that arterial. During construction, the capacity of signalized intersections is often reduced. Therefore, it is important that steps be taken to ensure that the traffic signals within the work zone are operating in the most effective manner possible, given the restrictions of the work zone. 1. Adjust Signal Phasing and Timing. Signal phasing and timing should be adjusted, when necessary, with each change in construction phasing, and signal operation should be checked in the field after each adjustment. The assistance of the Regional Traffic Engineering and Group should be requested. Construction activities cause a significant disruption of normal traffic patterns, and construction phasing may alter the lane arrangements at approaches to signalized intersections. Shorten Cycle Lengths. If queues due to construction activities or traffic generators are common, a shorter cycle length may be effective at minimizing queue lengths and preventing backups into the intersection, especially near railroad grade crossings. A level-of-service analysis 16.4.7.5

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES 3. should be performed to determine the optimum timing. Shift Traffic Signal Heads. The positions of traffic signal heads should be shifted to line up with lane arrangements any time lane positions are modified. Signal heads should be located in accordance with the NYSMUTCD. The typical construction phasing plan for an urban arterial work zone uses narrow lanes and shifts the positions of the lanes within the intersection. If the signal head positions are not changed accordingly, indications for left- or right-turn movements may not be visible from realigned turn lanes. Signal Control. The operation of actuated signal detectors should be checked on a regular basis. At critical intersections, temporary detection may be needed or desired (consult the Regional Traffic Engineering and Safety Group). Temporary microwave detectors are very useful for this purpose because they are pole-mounted and not susceptible to being damaged or destroyed by milling or excavation activities. They can also be easily readjusted as traffic lanes are shifted. The Regional Traffic Engineering and Safety Group should be contacted when there is a traffic signal in the plans. Any number of construction activities may disrupt or prevent the operation of traffic signal detectors. Without detection capability, an actuated signal becomes a pretimed signal by default, and the signal phasing and timings should be developed accordingly. If an existing lane is closed, especially an exclusive turning lane, either the detection of the phasing should be modified accordingly. Contact the Regional Traffic Engineering and Safety Group for guidance. Also, if lanes are shifted, vehicles may trip detectors that should not be activated or fail to trip detectors which should be activated. Accommodation of Pedestrians. The congestion and delays associated with signals in a work zone are compounded by the need to accommodate pedestrians at signals. Pedestrian push buttons should be used with actuated controllers to maximize the efficiency of signals in a work zone. Even if pedestrians are infrequent, sufficient crossing time must be provided for them. If the length of vehicular green will not adequately accommodate pedestrians, pedestrian actuation will be needed to extend the green for them, when present. The most efficient method of accommodating pedestrians is to install pedestrian push buttons to reduce the amount of unused green. Even if vehicle detection capability is lost and the signals are operated in a pretimed manner, the pedestrian phase can still operate in an actuated mode. Signal Lenses. New or temporary signals in arterial work zones should use 300 mm diameter signal lenses. The large number of construction activities, traffic control devices, other vehicles, vehicle maneuvering, and development present in urban arterial work zones creates many demands for the drivers attention. Using 300 mm signal lenses will help the driver identify new or relocated traffic signals in the work zone. Provide Left-Turn Lanes. Left-turn lanes should be provided at major signalized intersections. If they are provided for use during construction, they should be part of the completed project. The lack of a left-turn bay can significantly increase delay because of left-turning vehicles blocking a through lane while waiting for an acceptable gap. Although the 01/20/06

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addition of left-turn lanes may create some difficulties for construction scheduling and activities, the benefits associated with these lanes make it desirable to provide them at major signalized intersections where left-turning vehicles are present. If it is not possible to construct a left-turn lane, it may be necessary to restrict or prohibit the leftturn movement in the interest of reducing congestion. The Regional Traffic Engineering and Safety Group should be consulted if left-turn capacity is expected to be a recurring problem.

B. Maintain Traffic Signal Equipment Maintain traffic signal equipment requirements A, B, and C are standard pay items in the Standard Specifications. Variations in Regional Maintenance capabilities and local contractor capabilities, the maintenance needs of different intersections, and the decision by the Department to furnish microcomputers which operate with State-supplied software led to the development of several traffic signal equipment maintenance items to allow the designer flexibility in selecting a maintenance item appropriate for the specific needs of each location within the contract. Outlined below are recommendations concerning the use of the various Maintain Traffic Signal Equipment items. If different item numbers are to be used for different intersections within the project, a table should be included in the plans defining which item will be used at each intersection. 1. Maintain Traffic Signal Equipment (Requirement A). Use this item on projects that are on either restricted highways or highways that are not restricted. It must be used at locations where the signal controller is not a State-supplied microcomputer. Under this item, the contractor must maintain the indicated existing, relocated, modified, and newly installed traffic signals as per the contract specifications, for the duration of the contract. 2. Maintain Traffic Signal Equipment (Requirement B). Use this item for the maintenance of existing or relocated traffic signals where a new Statesupplied microcomputer is to be installed. Under this item, the State will assume operation and maintenance responsibility for the entire signal following the successful completion of electrical testing of the contractors installation as prescribed in the Standard Specifications. This item minimizes the contractors maintenance responsibility and should only be used where the Departments signal crews have the resources and interest in assuming maintenance responsibility. 3. Maintain Traffic Signals Equipment (Requirement C). Use this item to provide maintenance for existing or relocated signals where a Statesupplied computer is in place before the contract begins. This item could also be used for 01/20/06 16.4.7.5

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES new computer installations. Under this item, the Contractor must maintain the existing signal, with the exception of the four items listed in the Standard Specifications (all are related to the microcomputer itself), for the duration of the contract. The State is responsible for the four items excluded from contractor maintenance. At relocated, modified, or newly installed signals, the State is responsible for the four items after the Contractors installation has performed successfully in the required electrical tests. This item was designed to allow the Department signal crews to maintain the microcomputerrelated items with which contractors were formerly inexperienced. Since this item was developed, contractors have gained familiarity with the microcomputer items. 4. Maintain Traffic Signal Equipment (Off-State System) Special Specification Item 619.1605--15. Use this item for highways that are not on the State Highway System. Under this item, the contractor must maintain existing and newly installed traffic signal equipment.

The designer should consult with the Regional Traffic Engineering and Safety Group before selecting one or more of the above items for use on a given project.

C. Intersections The large number of intersections associated with urban arterial work zones introduce many difficulties related to work zone traffic control. Most of these difficulties are related to vehicle maneuvering and the intersection geometrics. 1. Street Name Signs. Large street name signs (construction signs with minimum Series D lettering) with block numbers should be provided at major signalized intersections, if possible. These street signs should be mounted overhead (on existing signal mast arms or span wire) to increase their visibility. (A structural analysis or span-wire analysis will be necessary.) When construction begins, many of the navigational aids, such as street signs, business signs, and addresses, that drivers use are removed or become less visible. Locating street signs overhead at signalized intersections will improve the visibility of street name signs. In some cases, it may be useful to provide advance or midblock guidance, e.g., MAIN ST./300 FT. Driveway and Intersection Radii. As large a turning radius as possible should be maintained at driveways and intersections. Making it easier for vehicles to turn in and out of intersections and driveways by increasing the turn radius to reduce the potential for encroaching on adjacent lanes may help reduce accidents. This should be based on the type and size of vehicles to be accommodated and their turning radius templates. If turns cannot be accommodated, consider prohibiting turns by those vehicles. Driveway access should be maintained to the maximum extent practicable to avoid adverse impacts on residences and commercial properties.

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D. Lane Closures Although lane closures have a significant impact on traffic flow, they are a necessary part of many construction projects. The detrimental effects of lane closures include the creation of queues that block intersections and driveways, the compounding of peak-period traffic congestion, and an increase in erratic lane changing. 1. Arrow Panels. Major arterials typically have high speeds and heavy volumes - conditions well suited to the use of an arrow panel for lane closures. Arrow panels shall be used on highspeed and/or high-volume arterials in the same manner as for freeway lane closures. Solar-powered arrow panels are preferred for their elimination of noise and fumes in commercial and residential areas. Location of Lane Closures. Lane closures should be set up so that the queue will not block signalized intersections upstream of the lane closure. If the lane closure is located too close to a signalized intersection, the queue may back up into the intersection and prevent cross-street traffic from entering the intersection. Sufficient distance should be provided between the lane closure and the intersection so that the queue will not block cross-street traffic. If this cannot be done, the lane closure should be extended upstream of the intersection. This will allow for platooning rather than jockeying for position just beyond intersection work area. Lane closures should be located on a tangent section of roadway, if possible, making them more visible to approaching drivers, allowing them to change lanes farther in advance of the merge point. Where possible, the lane closure should be located so that there are no intersections, driveways, or temporary median crossovers in the taper area or within 60 m to 90 m of the beginning of the taper. Other alternatives include posting signs, e.g., DO NOT BLOCK SIDE ROAD (R9-4) or providing flaggers or police officers to keep traffic from blocking the intersection. Signing for Lane Closures. Signing for a lane closure should be located upstream and downstream of a signalized intersection if the lane closure is less than 460 m downstream of a signalized intersection and arterial traffic volumes are high. Where drivers may not be able to see the lane closure or signing for a lane closure when it is located close to a signalized intersection. The higher traffic density associated with departure flow from a signalized intersection eliminates many lane-changing opportunities downstream of the intersection. Placing the lane closure signing in advance of the signalized intersection gives drivers the opportunity to change lanes before reaching the queue at the intersection. Signing should also be provided on the cross street approaching the intersection to advise drivers that they are going to encounter construction. ROAD WORK AHEAD signs (W8-1) should be used for approaching lanes and END ROAD WORK signs (G11-2 ) should be used for retreating lanes.

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Speed restrictions should be avoided, if possible. If they are necessary, they should be carefully selected, recognizing that it may be necessary to supplement them with other more positive means of controlling driver behavior. 1. Speed Limits. Speed limits should be selected to be consistent with site conditions. The normal arterial speed should be maintained in the urban arterial work zone, if possible. If speed restrictions are necessary, they should be carefully selected with the recognition that additional measures may be needed to slow traffic. Refer to 16.4.7. Enforcement Areas. An enforcement area should be provided for police activities. The space restrictions associated with arterial construction may reduce the ability of police to enforce traffic laws. Police are hesitant to issue citations if a safe area to do so is not available.

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F. Channelization The spacing of channelizing devices has some unique implications in urban arterial work zones. At speeds found on many arterials, vehicles can travel between the devices at standard spacing and drive on the wrong side. Drivers may cross the line of channelizing devices to make an illegal turn, to pass an area of congestion, or because they are confused. Reduce the spacing to one-half the standard spacing to discourage drivers from crossing into the work space. In addition, place channelizing devices transversely across the closed lane between driveways and side streets.

G. Pavement Markings The relocation of traffic lanes requires existing markings to be removed or covered and temporary markings to be placed. However, it is difficult to completely remove obsolete pavement markings. Short of placing an overlay over old pavement markings, there is no method that will obliterate permanent pavement markings without leaving a scar. Raised pavement markers, in conjunction with pavement markings, should be used to enhance lane delineation in potentially hazardous areas. Black-mask covering tape placed over the pavement markings will conceal them or hydro-blasting may be effective in removing them. Raised pavement markers can be easily placed and removed, and after removal, the remains of the markings do not provide as visible an indication of the former lane lines as other types of markings. Raised pavement markers have greater visibility in periods of wet weather at night, but they are not suitable alone, especially during daylight hours. They provide a tactile indication to the driver when the vehicle begins to change lanes but may be a problem for motorcyclists and bicyclists. Alone, they do not provide adequate guidance through curves, and are more easily destroyed by vehicles, especially on curves. Refer to 16.2.8 in this chapter for further guidance in raised pavement markers. Wet reflective tape can be specified as an 16.4.7.5 01/20/06

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alternative to raised markers.

16.4.7.6 One-Lane-Road Traffic Signals at Work Zones Refer to Chapter 11 of this manual for design guidance for one-lane-road traffic signals.

16.4.7.7 Detours A detour is a temporary rerouting of road users onto an existing highway in order to avoid a temporary traffic control zone. When on-site traffic control methods are not appropriate, detours may be required. Construction operations which sometimes require detours are: Bridge replacements. A significant raising of the existing highway profiles while utilizing the same, or nearly the same horizontal alignment. Construction of grade separations at highway crossings. Reconstruction work on bridge approach slabs. Combination of fill widening and profile. Culvert replacements for culvert spans of 2.4 m or greater. Miscellaneous work that requires trenching across the highway for long periods of time. Other work requiring profile changes at frequent intervals along the segment of roadway being improved. Bridge rehabilitation where there is not enough width to adequately maintain traffic under staged construction.

A. Considerations for Detours When a route is proposed for selection as a detour, it should be inspected to determine if it is adequate, e.g., the horizontal and vertical alignment and structural condition to carry the additional traffic. Consideration should be given to the percentage of trucks using the highway and to whether or not the detour route is restricted to certain types of vehicles. If a proposed route does not have the capacity or capability to handle the expected traffic volumes, it should be adequately improved or dropped from consideration. The information obtained should include a detailed surface condition report and recommendations for reinforcement or modification of the proposed route and recommendations for traffic control and signing on the proposed route. An example of a form that may be used when establishing a detour is provided in Appendix 16A, Exhibit 16A1. There are many considerations to be made by the designer when evaluating detour routes. The following list is not all-inclusive, nor are all items applicable to all detours.

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES State highway or local road. Cross section shape (normal or rounded crown). Lane and shoulder widths. Mainline and intersection horizontal and vertical geometry and sight distances. Pavement/shoulder structure and condition; need for repairs. Weight and height restrictions on the detour route. Minimum design criteria. Duration of the detour (short-term or long-term). Length of the detour vs. length of road to be closed from the beginning to the end of the detour. Determine existing pavement markings and signing for upgrading to conform to NYSDOT standards. Existing level of traffic control (signing, signals, pavement markings, etc.). Speed limit on the detour route. Travel time on the detour route. Peak-hour traffic volumes (local + detoured); heavy-truck volumes. Level of service. Accident rates and potential problem areas. Capacity restrictions/analysis. Ability to handle trucks(geometric restrictions) and over-dimensioned permitted vehicles. Commuter transfer facilities (e.g., bus stops, park-and-ride lots). Local traffic generators (events, employment centers, etc.). Adjacent or nearby projects. Structural condition of bridges and pavement on the detour route. Pedestrian and bicyclist access and accommodation. Roadside hazards and safety issues (steep slopes, drop-offs, fixed objects, clear zone, condition and location of guide rail). Emergency services access. Railroad crossings. Neighborhood characteristics. Economic impacts on businesses. Effects on school bus routes. Use by farm machinery. Environmental effect of any necessary construction.

The Regional Traffic Engineering and Safety Group should be consulted for assistance. A problem omission is failure to consider the need to modify the existing signing along the detour. A survey of existing signs along the detour, the approaches to the detour, and within the closed section of the roadway (especially if it is open to local traffic) is necessary. The information gathered should be incorporated into the detour signing plan. This is most important for destination and information signs and route marker assemblies. If, for instance, the distance to a destination is based on the closed route, the sign must be modified to reflect the distance along the detour. Existing route marker assemblies along the 16.4.7.7 01/20/06

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detour must also be modified with the addition of DETOUR (G-11) route markers. Traffic generators located within the closed section should also be considered. Informational and directional signing should be provided for travelers whose destinations are located within the closed section. Examples of such destinations might include colleges, state/local parks, stadiums, race tracks, etc. Road closures and detours may have distinct advantages and disadvantages, as shown in Exhibit 16-18. The designer should investigate each of these issues and others specific to the particular project during the initial evaluation of off-site detours. Contact the Regional Traffic Engineering and Safety Group or local authorities for accident locations and numbers for on-system detours or off-system detours, respectively. Detours require considerable traffic control, especially with high-speed freeway traffic. Drivers should be provided with enough information in advance of and throughout the detour to allow them time to make decisions and to help them determine how to return to the original roadway. Reasonable advance notice should be provided to highway users when a highway or bridge is to be closed and traffic detoured. It is recommended that 1-2 weeks be allowed. The message can be passed on by traffic reports, television and radio spots, etc. Portable (and stationary, if available) variable message signs should be used in most cases. The Highway Law requires that designated detour routes be signed. Refer to the MUTCD for examples of detour signing on designated detours. Similarly, local businesses within a closed section of highway may be affected by loss of traffic when detour routes are employed. If possible, this problem should be minimized by taking care in scheduling and/or by providing temporary generic business signing, however, a roadside business has no legal claim to a given volume of passing traffic. When considering a detour over a locally owned road, the detour construction cost will be limited to the basic work items normally considered under Section 619 of the Standard Specifications or pavement repairs that are needed for the detour to function for the life of the construction contract. This would include the installation, maintenance, and removal of items such as signs, pavement striping, etc. Special features such as pedestrian access and emergency services, if necessary, may also be included as legitimate project charges. Any substantial capital improvements requested by the municipality that are not absolutely necessary to make the detour work for the duration of the contract must be paid for by the municipality under a Betterment Agreement. However, if the municipality is not satisfied with the proposed detour improvements, they can deny use of their road(s) by the State.

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Exhibit 16-18 Advantages and Disadvantages of Road Closures and Detours ADVANTAGES 1. Conflicts between traffic and the work activity are eliminated. 2. Driver avoids congestion in the work zone. 3. Safer for the workers. 4. Shortens the construction schedule. 5. May provide permanent improvements to the detour route. DISADVANTAGES 1. Longer driving time. 2. Higher user costs. 3. Lower level of service on the detour route. 4. Higher traffic volumes and accident rates on the detour route. 5. Driver confusion caused by unclear and infrequent signing. 6. Disruption to local business traffic and emergency vehicles. 7. Costly upgrading may be necessary to prepare the detour for increased traffic. 8. Not usually possible except on lowvolume roads.

B. Establishing a Detour When it is determined that a state highway must be closed and local road detours are needed to reroute traffic during project construction/reconstruction, the owner of the local road is contacted and the following procedure is followed. For proposed detours which require improvements/repairs to handle increased traffic, refer to EI 82-39, Example 14-5, Detour Resolution, revised May 1982. The resolution or letter should clearly state that the Department will maintain the detour road during the period of use per Section 619, excluding snow and ice control. An Official Order for temporary takeover of the local road by the State must then be issued. To fulfill the requirements of Section 42 of the Highway Law, the designer must prepare a draft official order for the closure of a highway as prescribed in the Manual of Administrative Procedures (MAP) 2.5-1-1, Official Orders, and include any necessary supporting documentation such as detailed descriptions of the property, maps, the section to be closed, and the temporary detour route. It must be cleared by all affected Regional Units and submitted to the Regional Director for concurrence, after which it is to be sent to the Office of Operations for final approval and issuance to the Town Clerk. The construction contract documents must specify the necessary improvements/repairs to be made to the detour during the period it is a temporary State highway, in accordance with Standard Specifications Section 619. The official order can be conveniently filed concurrently with the Notice of Restricted Highway filing for the contract to the same recipients. Where no detour improvements are needed to handle traffic, the construction contract documents must specify the erection and maintenance of necessary detour signs, to meet the requirements of Section 104 and Section 10, Subdivision 19 of the Highway Law. While no

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Official Order is required, the designer should obtain a detour resolution. Refer to EB 83-023 for an example Detour Resolution. It should state the Departments intent to use the local road detour as written concurrence from the local jurisdiction, and make it clear to the local jurisdiction that the Departments maintenance responsibility on the detour road will be limited to the detour signs only. When detour routes are used, signing should be sufficient to direct motorists back to the route from which they were detoured, i.e., detours must maintain the continuity of the closed route. Detour directional signing and confirmatory signing should conform to Sections 254 and 255 of the MUTCD. When State highways are utilized for project detours, maintenance of the detour will be performed by State forces, except that the contract documents must specify the Contractor is responsible for the necessary erection, maintenance, and removal of detour signs. It is sometimes desirable and sometimes necessary to close single-lane ramps for paving or other work operations since it can generally be done in just a few hours. Designated (signed) detours should always be provided when the closed ramp serves to interchange traffic between numbered touring routes, i.e., when some of the traffic may be using the route numbering system to navigate. Sufficient advance notice must be given since the designated detour exit may precede the closed exit. Variable message signs are ideal for these short-term closures.

16.4.7.8 Diversions A diversion is a temporary rerouting of road users onto a temporary highway or alignment placed around the work area. Figures 6H-7 in the National MUTCD and 302-10 in the NYSMUTCD illustrate a work-site diversion for bridge and culvert replacements on a conventional highway. Diversion radii should be determined using Figure 231-1 in the NYSMUTCD. Ideally, the speed used to determine the radii should be the same as the existing speeds at the site (usually the regulatory speed limit can be used). Where right of way constraints or excessive costs preclude the use of the existing speed, a lower speed may be acceptable. To determine an acceptable speed, consult the Traffic Engineering and Safety Group. For high-speed roadways, a 10-mph or 15-mph reduction may be acceptable. For low-speed roadways, a 5-mph or 10-mph reduction may be acceptable. Because the superelevation of the curves at each end of the detour will be dependent on the cross slope of the existing highway, those curves may need to be flatter than the center curve where the desired superelevation can be designed. The tangent lengths along the diversion will vary depending on site or right of way constraints. Generally, a minimum length of 30 m should be provided. In extreme cases, it may not be possible to achieve any tangent. Lane widths along the diversion should be determined using the appropriate lane width table in 01/20/06 16.4.7.8

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Chapter 2 of this manual. Diversion shoulder widths should be at least 1.2 m to accommodate pedestrian and bicycle traffic. Lesser widths my be acceptable if separate facilities for pedestrian and bicycle traffic are provided. The Regional Landscape Group should be consulted. If a temporary bridge is required (as opposed to a temporary culvert), a tangent section will be required in the center curve where the temporary bridge is constructed. The length of the tangent should generally be twice the length of the existing bridge or 30 m minimum. The Regional Structures Group should be consulted. Diversion geometry should be approved by the Regional Traffic Engineering and Safety Group and the Regional Structures Group before right of way take lines are established.

16.4.7.8

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES 16.8 REFERENCES

16-133

Benefits and Safety Impacts of Night Work Zone Activities, 1986, Shephard, F.D., B.H. Cotrell, Jr. In Transportation Research Record 1086. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418. Design and Operation of Work Zone Traffic Control, Participant Handbook, NHI Course No. 38003 Participant Handbook, June 1996, FHWA-HI-96-037, P.A. Gibson, G. Lerch. Federal Highway Administration, Turner Fairbank Research Center, 6300 Georgetown Pike, McLean, VA 22101. Designation of Restricted Highway, draft design guidance, July 1, 2002. Design Quality Assurance Bureau, Albany, NY 12232. Developing Traffic Control Strategies, NHI Course No. 13332 Users Handbook, July 1997, FHWA-HI-97-029. USDOT, FHWA, NHI, Federal Highway Administration, 400 Seventh Street, SW, Washington, DC, 20590. Development of Work Zone Lighting Standards for Nighttime Highway Work, 1996, Ellis, R.D., Jr., S.J. Amos. In Transportation Research Record 1529. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418. Draft Engineering Instruction, Quickchange Moveable Concrete Barrier, January 25, 1995, by Safety Program Management Bureau, NYSDOT, Albany, NY 12232. Draft Moving Work Zone Typicals memo from J.J. Barnack, November 10, 1992. NYSDOT Safety Capital Projects Bureau, Albany, NY 12232. Draft Policy and Guidelines for Variable Message Signs for NYSDOT, July 13, 2000. Traffic Engineering and Highway Safety Division, Albany, NY 12232. Engineering Bulletin 02-047 Quality Assurance of Work Zone Maintenance and Protection of Traffic. Engineering Directive 99-002 Work Zone Intrusion Countermeasures. Engineering Instruction 75-062 Section 619, Standard Sheets, and Specifications. Engineering Instruction 82-039 State Highway Closure and Detour Maintenance. Engineering Instruction 85-041 Restricted Highway Designation. Engineering Instruction 89-015 Policy for Construction Zone Pavement Markings. Engineering Instruction 89-019 Addendum to EI 89-015.

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Engineering Instruction 89-022 Maintenance and Protection of Traffic: No Pavement Repair or Overnight Closures. Engineering Instruction 89-023 Short-Term Pavement Markings. Engineering Instruction 89-031 Obtaining EIC Input on Design Plan Quality. Engineering Instruction 90-003 Maintenance and Protection of Traffic: Delineation, Channelization, and Drop-Off Protection. Engineering Instruction 91-001 Method of Traffic Maintenance During Construction. Engineering Instruction 91-002 Work Zone Construction Sign. Engineering Instruction 92-039 Vehicle Arresting Barrier - Net Type. Engineering Instruction 93-013 Traffic Control Plans - Safe Work Site Access. Engineering Instruction 93-018 Flashing Arrow Boards - Use and Procedures. Engineering Instruction 95-003 Requirements for Maintenance and Protection of Traffic During Nighttime Construction. Engineering Instruction 95-005 Lighting for Nighttime Operations - Special Specification. Engineering Instruction 95-032 Construction Work Zone Speed Limits - Guidelines and Documentation. Engineering Instruction 96-001 Temporary Rumble Strips for Construction Work Zones. Engineering Instruction 96-020 Construction Zone Pavement Markings. Engineering Instruction 96-027 Nighttime Construction. Engineering Instruction 99-013 Constructibility Review. Engineering Instruction 99-033 Time-Related Contract Provisions. Engineering Instruction 99-034 Short-Term Pavement Markings. Engineering Instruction 00-016 Fines Doubled for Speeding in Work Areas Signs. Engineering Instruction 00-017 Class A Containment System Guidance. Engineering Instruction 01-013 Solar-Charged Flashing Arrow Boards.

16.8

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Traffic

for

Engineering Instruction 01-020 Context Sensitive Solutions (CSS) Engineering Instruction 03-039 Temporary Rumble Strips for Construction Work Zones. Engineering Instruction 03-047 Fines Doubled for Speeding in Work Zones Signing. Engineering Instruction 05-014 Motorcycle Safety Measures on Milled Pavements - Design Guidance. Engineering Instruction 05-031 Design Guidance for Portable, Variable-Message Signs. Feasibility of Portable Traffic Signals to Replace Flaggers in Maintenance Operations, February 2000, G.S. Daniels, S. Venglar, D. Picha. Texas Transportation Institute, The Texas A&M University System, College Station, TX, 77843-3135. Federal Aid Policy Guide, 1991, Federal Highway Administration, 400 Seventh Street, SW, Washington, DC, 20590. Guidelines and Recommendations to Accommodate Older Drives and Pedestrians, 2001, FHWA-RD-01-015, L. Staplin, K. Lococo, S. Byington, D. Harkey. Office of Safety R&D, Federal Highway Administration, 6300 Georgetown Pike, McLean, VA, 22101-2296. Guidelines for Placement of Shadow Vehicles memo from T.C. Werner, March 14, 1991. NYSDOT Traffic Engineering & Safety Division, Albany, NY 12232. Guidelines for the Use of Portable Traffic Signals in Rural Two-Lane Maintenance Operations, February 2000, G.S. Daniels, S. Venglar, D. Picha. Texas Transportation Institute, The Texas A&M University System, College Station, TX, 77843-3135. Guidelines for the Use of Truck-Mounted Attenuators in Work Zones, 1991, J.B. Humphreys, T.D. Sullivan. In Transportation Research Record 1304. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418. Highway Policies and Procedures Manual, Maryland Department of Transportation, State Highway Administration, Office of Highway Development, Highway Design Division, 7491 Connelly Drive, Hanover, MD 21076. Highway Capacity Manual 2000. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418.

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Implementation of Work Zone Speed Control Measures, 1986, S.H. Richards, C.L. Dudek. In Transportation Research Record 1086. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418. Improvements and New Concepts for Traffic Control in Work Zones, Volume 4 Speed Control in Work Zones, 1985, FHWA/RD-85-037, S.H. Richards, R.C. Wunderlich, C.L. Dudek, R.Q. Brackett. U.S. Department of Transportation, Federal Highway Administration, Office of Safety and Traffic Operations Research, Washington, DC 20590. Manual of Uniform Traffic Control Devices Millennium Edition, 2001. The American Traffic Safety Services Association (ATSSA), 15 Riverside Parkway, Suite 100, Fredericksburg, VA 22406-1022; The Institute of Transportation Engineers (ITE), 1099 14th Street, NW, Suite 300 West, Washington, DC 20005-3438; The American Association of State Highway and Transportation Officials (AASHTO), 444 North Capitol Street, NW, Suite 249, Washington, DC 20001. Nighttime Construction Issues, 2001, D.E. Hancher, T.R.B. Taylor. Paper presented at the Transportation Research Board Annual Meeting, January 2001, summarizing the findings of the Kentucky Transportation Cabinet Study KTC-00-16, Nighttime Construction Issues. Official Compilation of Codes, Rules, and Regulations of the State of New York, Title 17 Transportation Volume B, (a.k.a. the New York State Manual of Uniform Traffic Control Devices), 2001. Secretary of State, State of New York, Department of State, 41 State Street, Albany, NY 12231. Policy on Moveable Concrete Barrier, June 25, 2001, by NYSDOT Region 11, Long Island City, NY 11101. Procedure to Minimize Motorists Costs and Inconvenience, Bureau of Design and Environment, BDE Procedure Memorandum 99-35, November 1, 1999. Illinois Department of Transportation, 2300 South Dirksen Parkway, Springfield, IL 62764. Recommended Practices for Use of Traffic Barrier and Control Treatments for Restricted Work Zones, 1994, NCHRP Report 358, H.E. Ross, Jr., R.A. Krammes, D.L. Sicking, K.D. Tyer, H.S. Perera. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418. Road Design Guide, 1996, Task Force for Roadside Safety of the Standing Committee on Highways Subcommittee on Design. American Association of State Highway and Transportation Officials, 444 North Capitol Street, NW, Suite 249, Washington, DC 20001. Roadside Design Manual, Appendix A. Virginia Department of Transportation, Location and Design Division, 1221 East Broad Street, Richmond, VA 23219. Roadway Design Manual, New Jersey Department of Transportation, 1035 Parkway Avenue, PO Box 600, Trenton, NJ 08625. 16.8 01/20/06

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Speed Limits in 65 mph Work Zones - Signing Requirements memo from T.C. Werner, August 31, 1995. NYSDOT Traffic Engineering and Highway Safety Division, Albany, NY 12232. Standard Drawing TM525, Oregon Department of Transportation, Traffic Management Section, 355 Capitol Street NE, Salem, OR 97301-3871. Standard Specifications, Construction and Materials, January 2, 2002. NYSDOT, Albany, NY 12232. Supplemental Directive, Supplement No. 1: Speed Limits in Maintenance and Construction Work Zones, September 23, 1993, by NYSDOT Traffic Operations Bureau, Albany, NY 12232. Traffic Control Guidelines for Urban Arterial Work Zones, 1993, H.G. Hawkins, Jr., K.C. Kacir. In Transportation Research Record 1409. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418. Traffic Engineering Manual, Minnesota Department of Transportation, Office of Traffic Engineering, Mail Stop 725, 2nd Floor, 395 John Ireland Boulevard, Saint Paul, MN 551551899. Transportation Management for Major Highway Reconstruction, Special Report 212, Proceedings of the National Conference on Corridor Traffic Management for Major Highway Reconstruction, 1987. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC 20418. Work Zone Safety Traffic Control Plans for Special Situations memo from K. Shiatte, August 16, 1989. Construction Division, Albany, NY 12232.

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APPENDIX

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APPENDIX 16A LOCAL ROAD DETOUR INFORMATION FORM Exhibit 16A-1 Detour on Local Road - Example

16A-1

DETOUR ROUTE ON LOCAL ROAD FOR S.H. NO. ____________ Region No. ________ 1. Local route no. __________ Municipality &County ____________________ 2. Reason for detour _________________________________________________ 3. Total length of detour (including portions of other S.H.s if used). _____________ 4. Mileage of S.H. No. ______ closed. ___________________________________ 5. Designation and mileage of each road, and mileage of each surface type of road used as detour. ___________________________________________________ ________________________________________________________________ 6. General and minimum width of each surface type. ________________________ ________________________________________________________________ 7. Will adverse weather affect the detour? ________________________________ If so, an additional sheet for an alternate road should be prepared. 8. List all structures on detour indicating those limited to less than 20 tons. Also list limited clearances. ________________________________________________ ________________________________________________________________ ________________________________________________________________ 9. Will an additional detour be needed for this project? ______________________ 10. Who will maintain the detour? ________________________________________ 11. Approximate date the detour will become effective. _______________________ 12. If the detour is in a city of village, give the names of streets used, the type, and the mileage. ____________________________________________________ _______________________________________________________________ 13. Proposed detour, including questionable structures, should be inspected by the Regional Maintenance Engineer and the responsible local official. Comments: ______________________________________________________ ________________________________________________________________ 14. Attach a detailed description and sketches of the detour.
Adapted from MnDOT Traffic Engineering Manual

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APP 16A

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MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES Chapter 16 Index Subject Page

Activity area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-36,16-39,16-40,16-46,16-66,16-70,16-71 Advance warning area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-66,16-105 Arrow panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1716-19,16-51,16-52,16-109,16-125 Barrier flare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-42,16-43 Barricade . . . . . . . . . . . 16-10,16-17,16-20,16-21,16-23,16-24,16-44,16-48,16-49,16-51,16-73, . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-107,16-109 Buffer space . . . . . . . . . . . . . . 16-9,16-20,16-22,16-36,16-51,16-66,16-68,16-70,16-71,16-100, . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-105,16-108,16-109 Channelizing devices . . . . . . . 16-8,16-9,16-18,16-2016-25,16-28,16-36,16-39,16-4116-43 . . . . . 16-45,16-5116-53,16-71,16-100,16-104,16-105,16-10716-111, . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-11316-116,16-126 Cone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-2016-22,16-24,16-28,16-3616-38,16-74 Delineator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-24,16-25,16-32,16-74,16-115 Detour . . . . . 16-11,16-12,16-20,16-26,16-3116-33,16-6016-63,16-7416-77,16-79,16-82, . . . . . . . . . . . . . . . . . . . . . . 16-86,16-87,16-105,16-107,16-111,16-113,16-12716-131 Diversion . . . . . . . . . . . . . . . . . . . . . . 16-9,16-26,16-60,16-62,16-87,16-90,16-95,16-131,16-132 Drum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-12,16-2016-24,16-28,16-49,16-84 Enforcement area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-66,16-71,16-91,16-102,16-126 Final pavement marking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-2616-34 Flagger station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-3616-38 Highway work zone - component parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-69 Interim pavement markings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-20,16-25,16-3116-33 Lane closure . . . . . . . . 16-4,16-9,16-11,16-1716-19,16-24,16-26,16-31,16-32,16-4516-47, . . . . . . . . . . . . 16-49,16-52,16-67,16-85,16-87,16-88,16-91,16-98,16-100,16-102, . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-10716-109,16-115,16-116,16-121,16-125 Multiple speed zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-90 Nighttime construction . . . 16-1,16-3,16-11,16-19,16-22,16-23,16-46,16-61,16-63,16-73,16-88, . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-107,16-109,16-111,16-112 Oversize vehicle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-61,16-81,16-82 Pavement marking materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-28,16-32 Pavement marking . . . . . . . . . . . . . . 16-8,16-20,16-2616-35,16-39,16-56,16-60,16-80,16-85, . . . . . . . . . 16-86,16-92,16-93,16-105,16-113,16-114,16-121,16-126,16-128 01/20/06 Chapter Index

MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES Pavement edge drop-off protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-25 Permitted vehicle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-81,16-107,16-128 Portable, variable-message sign . . . . . . . 16-14,16-15,16-76,16-82,16-85,16-91,16-102,16-104 Raised pavement marker . . . . . . . . . . . 16-24,16-28,16-3016-32,16-34,16-35,16-104,16-126 Ramp . . . . . . . . . . . . . . . . . . 16-10,16-12,16-2216-24,16-48,16-49,16-62,16-67,16-73,16-76, . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-83,16-98,16-10716-111,16-131 Restricted highway . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-90,16-61,16-9216-94,16-123,16-130 Road closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-9,16-24,16-107,16-129,16-130 Sign . . . . . . . . . . . . . 16-816-19,16-24,16-36,16-37,16-3916-41,16-44,16-48,16-51,16-53, . . . . . . . . . . . . . . . . . . . 16-56,16-57,16-60,16-61,16-62,16-66,16-67,16-71,16-7316-80 . . . . . . . . . . . . . . . . . . . 16-8216-86,16-88,16-88,16-9116-102,16-104,16-105,16-107, . . . . . . . . . . . . . . . . . . . 16-10916-111,16-11316-116,16-124,16-125,16-12816-131 Speed control methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-100,16-101 Speed reduction . . . . . . . . . . . . . 16-56,16-61,16-89,16-90,16-91,16-9416-96,16-100,16-101 Speed limits . . . . . . . . 16-1,16-4,16-10,16-17,16-19,16-52,16-62,16-71,16-8916-100,16-102, . . . . . . . . . . . . . . . . . 16-103,16-109,16-111,16-113,16-116,16-126,16-128,16-131 Staged construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-62,16-86,16-105,16-112,16-127 Taper - downstream . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-68,16-70,16-71,16-116 - lane-closure . . . . . . . . . . . . . . . . . . . . . . . . . 16-17,16-18,16-98,16-108,16-115,16-116 - lane-width . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-68,16-70 - merging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-67,16-68,16-70,16-108,16-109 - one-lane, two-way . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-68 - shifting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-68,16-70 - shoulder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-68,16-70 Temporary pavement marking . . . . . . . . . . . . . . . . . . 16-2616-31,16-3316-35,16-80,16-85 Temporary concrete barrier . . . . . . . 16-22,16-24,16-25,16-42,16-43,16-49,16-51,16-74,16-76, . . . . . . . . . . . . . . . . . . . . . . . . 16-91,16-107,16-108,16-11216-116 Temporary rumble strips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1,16-56,16-59,16-114 Termination area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-66,16-71 Traffic control devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-8 Traffic signal equipment - maintain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-123,16-124 Traffic space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-66,16-70 Transition area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-9,16-20,16-36,16-66,16-67 Tubular marker . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-2016-22,16-116 Vehicle storage space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-66,16-71 Vertical panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-2016-22,16-24

Chapter Index

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Warning lights . . . . . . . . . . . . . . . . . . . . . . 16-17,16-18,16-24,16-25,16-48,16-56,16-107,16-111 - barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-41 - Type A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-12,16-24,16-41 - Type B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-24,16-41,16-107 - Type C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-24,16-41 Warning sign . . . . . . . . . . . . . 16-916-14,16-1716-19,16-39,16-56,16-57,16-66,16-76,16-79 . . . . . . . . . . . . . 16-80,16-82,16-89,16-9516-98,16-107,16-111,16-11416-116 Work space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-36,16-66,16-67,16-70,16-71,16-100,16-126 Work Zone Traffic Control Manual . . . . . . . . . . . . . . . 16-1816-20,16-51,16-52,16-104,16-108

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HIGHWAY DESIGN MANUAL

Chapter 17 Bicycle Facility Design

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CHAPTER 17 BICYCLE FACILITY DESIGN Contents 17.1 17.2 17.3 17.4 Page

INTRODUCTION ..........................................................................................................17-1 OBJECTIVES ..............................................................................................................17-1 DESIGN APPROVAL DOCUMENTS ..........................................................................17-2 DESIGN OF FACILITIES FOR BICYCLISTS ..............................................................17-4 17.4.1 Bicycle Facilities Design Policy ........................................................................17-4 17.4.2 Definitions.........................................................................................................17-4 17.4.3 Minimum Standards and Guidelines.................................................................17-5 17.4.4 Roadway Improvements...................................................................................17-6 17.4.5 Shoulders .........................................................................................................17-6 17.4.6 Wide Curb Lanes..............................................................................................17-7 17.4.7 Bicycle Lanes ...................................................................................................17-9 17.4.8 Bicycle Routes................................................................................................17-13 17.4.9 Bicycle Paths ..................................................................................................17-13 17.4.10 Supplemental Bicycle Facilities ....................................................................17-16

17.5

RECREATIONAL WALKWAYS AND SHARED-USE PATHS .................................17-20 17.5.1 Access for Persons with Disabilities ...............................................................17-20 17.5.2 Design Considerations ...................................................................................17-20

17.6 17.7 17.8

CONSTRUCTION ISSUES ........................................................................................17-22 MAINTENANCE OF BICYCLE FACILITIES .............................................................17-22 REFERENCES ...........................................................................................................17-23

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CHAPTER 17 BICYCLE FACILITY DESIGN

LIST OF EXHIBITS Number 17-1 17-2 17-3 17-4 17-5 17-6 17-7 Title Page

Wide Curb Lane ...................................................................................................17-13 Wide Curb Lane with On-Street Parking ..............................................................17-13 Bike Lane .............................................................................................................17-15 Bike Lane with On-Street Parking ........................................................................17-15 Typical Bicycle and Automobile Movements at Intersections...............................17-16 Bicycle Lanes Approaching Right-Turn-Only Lanes.............................................17-17 Safety Railings along Bicycle and Shared-Use Paths..........................................17-24

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BICYCLE FACILITY DESIGN 17.1 INTRODUCTION

17-1

Bicycling is a reasonable, legitimate and increasingly significant mode of transportation in New York State. Bicyclists of all ages and capabilities use the State's streets and highways. Therefore, it is the Department's policy to consider bicyclists as an integral part of our intermodal transportation systems. By improving our ability to move people and goods in the most efficient means possible, we help to realize the Department's air quality, mobility, safety and cost effectiveness goals. Despite the importance of bicycling, many existing streets and highways do not adequately provide for this mode of travel. Therefore, the scoping and design approval documents for projects that are used by bicyclists should identify their needs, the objectives for meeting those needs, the design criteria, and all feasible alternatives. Designers are responsible for assuring project designs provide for safe, convenient and cost effective bicycle travel consistent with the objectives and design criteria developed during project scoping or preliminary design. It is important that the cost effectiveness of all proposed facilities be taken into consideration when a project is being designed. For example, facilities specifically for bicycling may not be needed on low speed or low volume roadways such as some local streets and rural roads, as well as on all highways where bicycling is not permitted. However, there is a potential decrease of safety, convenience and travel efficiency as traffic volumes and speeds increase on facilities where significant numbers of motor vehicles and bicycles must share travel ways and shoulders that do not include appropriate provisions for the anticipated users.

17.2 OBJECTIVES This chapter provides design guidance for bicyclist facilities that are to be included in Department projects in order to meet needs identified during project scoping or preparation of the design approval documents. Minimum design standards and guidelines are included or referenced to assist in the selection and design of facilities.

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17-2 17.3

BICYCLE FACILITY DESIGN DESIGN APPROVAL DOCUMENTS

Accommodation of bicyclists should be considered at the earliest scoping phases of every project. The failure to do so may have significant impacts on project costs, schedule, right-ofway needs and highway geometrics if it is not determined that accommodations are needed until detailed design has begun. Furthermore, FHWA policy (23 CFR 652.5) requires that the safe accommodation of bicyclists should be given full consideration during the planning, design and construction phases of Federal-aid highway projects. The Department has determined that this policy also applies to 100% state-funded projects. Design phases I - IV are intended to build upon the work accomplished during scoping for the ultimate purpose of selecting a preferred alternative and to obtain design approval. This process is documented in the Design Approval Document. In some instances, this expanded information and analysis may identify previously unknown project-related facts that may warrant reconsideration of the project scoping decisions. That is, there may be occasions where the project needs, objectives, design criteria, and/or feasible alternatives established during the scoping stage may require reassessment. In such instances it may be necessary to reconvene the scoping team, Regional Bicycle and Pedestrian Coordinator and other affected parties to establish a new consensus on scoping decisions, including, if necessary, a new schedule and cost estimate. Refer to the Project Development Manual Chapter 3 for further guidance on how to proceed. Information that is not directly available for scoping or design documentation may be obtained through use of methods such as: Observation. Discussions with local governments and planning organizations. Public informational meetings. Accident reports. Questionnaires. Community organizations addressing the needs of persons with disabilities, bicyclists and pedestrians.

Professional judgment must be exercised to assure that potentially conflicting information is satisfactorily reconciled. The Regional Bicycle and Pedestrian Coordinator should also be consulted for additional information and assistance. The following factors should have been considered during project scoping and discussed in the scoping documents. An appropriate discussion of these factors should be included in the bicycling conditions and needs sections of the Design Approval Document 1. Existing and expected land use patterns and generators of bicycle traffic: a. Land use - residential, business/commercial, mixed commercial/residential, industrial, recreational, educational, agricultural and open space.

17.3

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b. Specific bicycle traffic generators - major employment centers, schools, parks, shopping centers, residential neighborhoods, medical centers, colleges and universities, bus stops, transit stations, recreation areas, etc. 2. Existing and anticipated bicyclist characteristics: a. Bicyclist use - weather conditions, time of day, holidays, school schedules and similar factors should be considered and noted when taking counts or characterizing use (i.e., infrequent, occasional, frequent, heavy, etc.). b. User groups - i.e., commuters, students, children, adolescents, tourists. c. Trip purpose- utilitarian (shopping/errands; commuting to work, school or place of recreation) or recreational (visiting friends; neighborhood riding; or touring.) d. Frequency of use - daily, weekends, seasonal (as in tourist areas). 3. Existing site accommodations and characteristics: a. The location of existing bicycle facilities, shoulders and worn paths. b. The location of incomplete bicycle facilities that adjoin or are located within the right-of-way. c. Existing bicycle facility signs. d. The physical condition of the existing bicyclist facilities. e. Any site constraints or structural features that enhance or reduce feasibility of constructing bicyclist facilities. f. Existing right-of-way and availability of right-of-way. g. Existing parking facilities, surface conditions, drainage, pavement markings, street lighting, and signage. 4. Existing local government and/or Regional transportation plans which identify existing or proposed bicyclist facilities. 5. Bicyclist accident history. Specific features that address the project's needs, objectives and design criteria are discussed for each alternative included in the feasible alternative(s) section of the Design Approval Document. Similarly, the scoping and Design Approval Documents should clearly document decisions that specific features to accommodate bicycle traffic are not needed. The Department's minimum standards and guidelines for bicyclist facilities are included or referenced in this chapter. If the minimum standards cannot be fully satisfied, the designer should provide a brief explanation in the Design Approval Document. The information provided in the Design Approval Documents should be similar to that given for justification of nonstandard features (see Chapter 2, Section 2.8 and Chapter 5, Section 5.1 of this manual).

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17-4 17.4

BICYCLE FACILITY DESIGN DESIGN OF FACILITIES FOR BICYCLING

Bicyclists have the same rights and responsibilities as the operators of motor vehicles, except as provided in Article 34 of the State of New York Vehicle and Traffic Law. When designing highway projects, it is essential to consider physical improvements for bicycles just as for other vehicles in the traffic mix. Therefore, all state highways should be designed and constructed to safely accommodate known and anticipated bicycle traffic consistent with the needs identified during project scoping or during preliminary design. If the scoping and Design Approval Documents indicate that bicycle facilities are needed, but cannot be provided, an explanation should be provided in the Design Approval Documents. Special consideration should be given to routes that have been mapped by MPOs, or have been identified in other local or state bicycle transportation plans. Also, special consideration should be given in areas near schools and residences. Significant numbers of children may require special signage that will alert others to their presence.

17.4.1 Bicycle Facilities Design Policy Highways and streets where bicyclists are permitted should provide for safe and convenient bicycling. However, not every highway or street requires the provision of specific bicycle facilities in order to improve bicycling conditions. The project scoping and design approval documents should clearly identify where facilities for bicyclists are needed and should be provided. These needs can usually be met through the use of wide curb lanes, bike lanes and/or paved shoulders of adequate width.

17.4.2 Definitions Bicycle facilities - A general term denoting improvements and provisions made by public agencies to accommodate or encourage bicycling. These include bicycle parking facilities and shared roadways. Bicycle lane - A portion of a roadway which has been designated by striping, pavement markings and signing for the preferential use of bicyclists. Bicycle path - A path that is physically separated from motor vehicle traffic by an open space or barrier and may be in the highway right-of-way or an independent right-of-way. Bicycle route - A system or network of roads, streets, paths or ways that are open to bicycle travel and that have been designated by the jurisdiction(s) having authority with appropriate directional and informational route markers (with or without a specific bicycle route number). Established bicycle routes should provide for continuous routing between logical termini. Shared roadway - A roadway which may or may not be designated and marked as a bicycle route, but which is open to both bicycle and motor vehicle travel and upon which no bicycle lane is designated. Examples may include roads with wide curb lanes and roads with shoulders. 17.4.2 03/30/06

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Wide curb lane - The right-most through traffic lane that has a minimum usable width of 3.6 m.

17.4.3 Minimum Standards and Guidelines The current edition of the AASHTO Guide for the Development of Bicycle Facilities establishes the minimum requirements for the design and construction of bicycle facilities on Department projects. This is consistent with the provisions of 23 CFR 652.13 which establishes the AASHTO Guide as FHWA's standards for construction and design of bicycle facilities. The FHWA's manual Selecting Roadway Design Treatments to Accommodate Bicycles (Publication No. FHWA-RD-92-073) provides guidance about the types and recommended widths of typical on-road bicycle facilities that may be constructed to address needs identified in project Design Approval Documents. The report uses five criteria to help select the most appropriate type and width of facility for a particular project. The criteria are: 1. 2. 3. 4. 5. Motor vehicle traffic volume. Average motor vehicle operating speed. Traffic mix of automobiles, trucks, busses and/or recreational vehicles. On-street parking. Sight distance.

Six tables were developed based on the criteria. They provide bicycle facility type and width recommendations for urban and rural roadway sections for two different types of "design bicyclists" (i.e., experienced or advanced bicyclists and basic adult or young bicyclists). Advice regarding use of the report can be obtained from the Regional Bicycle and Pedestrian Coordinator and/or from the Regional landscape architectural staff. The report is not a standard, nor is it a comprehensive guide to the design of bicycle facilities. It is intended to provide a rational and consistent method for determining appropriate widths for accommodating bicyclists on roadways. As many of the report's conclusions and recommendations are based upon the author's professional judgements, the report should be used as guidance only and should not be used as the only reference for decision making where its guidelines cannot be met. Under some circumstances, the tables provided in the report recommend shoulder, wide curb lane and/or bicycle lane widths that are wider than the Department's or FHWA's standard widths. In those situations designers should use the Department and FHWA standards presented or referred to in this chapter.

17.4.4 Roadway Improvements Many existing highways were not designed with bicycle travel in mind. However, there are usually reasonable ways in which they may be improved to more safely accommodate bicycle traffic. Therefore, roadway conditions should be examined during scoping and design whenever highways are being constructed, reconstructed or resurfaced. The need for drainage grates, railroad crossings, pavements, traffic control devices, railings and other roadway adaptations that are responsive to bicyclists' requirements should be discussed in the scoping and design 03/30/06 17.4.4

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BICYCLE FACILITY DESIGN

approval documents. These documents should discuss any decisions made regarding whether or not improvements that would better accommodate bicycling are incorporated into projects. Roadway improvements that enhance bicycling can be implemented in many highway projects. When the project scoping and design approval documents identify the need for bicycle facilities, design alternatives that provide roadway improvements such as adequate shoulders, wide curb lanes or bicycle lanes should be developed and considered. Designers should consult with the Regional Bicycle and Pedestrian Coordinator; and refer to the current AASHTO Guide for the Development of Bicycle Facilities, the information provided below, and other sources identified in this chapter. For specific guidance related to drainage grates, railroad crossings, pavement surfaces and traffic control devices, designers should refer to the current AASHTO Guide for the Development of Bicycle Facilities.

17.4.5 Shoulders Shoulders that are well designed for bicycling will also have maintenance, safety and other benefits that affect other highway users. AASHTO defines paved shoulders, together with the adjacent travel lane, as shared-use facilities on roadways where bicycling is permitted. When the scoping or Design Approval Documents indicate a need to design shoulders on a project to specifically accommodate bicycling, the shoulder width should be a minimum of 1.2 m. The designer should also consult with the Regional Bicycle and Pedestrian Coordinator, Regional landscape architectural staff and the Regional Traffic Engineer; and should refer to the current AASHTO Guide for the Development of Bicycle Facilities and FHWA's Selecting Roadway Design Treatments to Accommodate Bicycles for guidance. When a project involves a roadway that is also an existing or planned bicycle route and that includes long, steep grades, the designer should consider providing additional width on the downhill shoulders. Bicyclists traveling downhill frequently will reach high rates of speed and may find that narrow shoulders (1.2 m or less) are unusable when debris and litter have accumulated on them, or bicyclists may not trust unseen shoulder conditions ahead. These factors may cause bicyclists traveling downhill on the shoulder to weave out into the travel lane in order to assure a smooth, sound, riding surface. This potential problem may be alleviated if the travel lane is wide enough to accommodate the expected bicycle and motor vehicle traffic, or if at least a 1.8 m wide shoulder is provided on downgrades exceeding 5% and that are more than 1 km in length. In urban areas, a 4.2-m wide curb lane (including curb offset) is desirable. Designers should refer to Section 17.4.8 for a discussion of bicycle routes. The recommended shoulder widths on projects designed specifically to accommodate bicycling may exceed the minimum shoulder widths shown in the NYSDOT Standards for Non-Freeway Resurfacing, Restoration and Rehabilitation Projects (3R Standards) dated July 1, 1992. Widths in excess of the minimum widths outlined in the 3R Standards should only be provided where needs for specific provisions to accommodate bicycling have been identified in the scoping or preliminary design phase.

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BICYCLE FACILITY DESIGN 17.4.6 Wide Curb Lanes

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Wide curb lanes are shared-use facilities where motor vehicles and bicycles are both accommodated in a wider travel lane. AASHTO's Guide for the Development of Bicycle Facilities states a usable pavement width of 4.2 m is desired. The Guide also indicates that where this width cannot be achieved, the curb lane should have, at a minimum, 3.6 m of usable pavement. Usable pavement width is from curb face to the center of the lane stripe, or from edge line to the center of the lane stripe, but adjustments need to be made for drainage grates, parking, and longitudinal joints between pavement and gutter sections (see Exhibit 17-1). Where an edge stripe is used on a wide curb lane, the stripe should be placed as close as practicable to the curb face. However, where this has the potential for encouraging the undesirable operation of two motor vehicles in one lane, it may be preferable to place the edge stripe at the edge of the travel lane, provided that a 1.2-m wide "shoulder" space (approximate) would remain between the curb face and lane stripe. For more information on wide curb lanes and the placement of edge stripes, the designer should refer to the current AASHTO Guide for the Development of Bicycle Facilities and FHWA's Selecting Roadway Design Treatments to Accommodate Bicycles. In addition, the designer should consult with the Regional Bicycle and Pedestrian Coordinator, Regional landscape architectural staff and Regional Traffic Engineer. The minimum widths given for wide curb lanes in this chapter or recommended in Selecting Roadway Design Treatments to Accommodate Bicycles may be greater than the minimum widths shown in Chapter 2, Section 2.7 of this manual or NYSDOT's Standards for NonFreeway Resurfacing, Restoration and Rehabilitation Projects (3R Standards) dated July 1, 1992. Widths in excess of the minimum widths outlined in Chapter 2 or the 3R Standards should only be provided where needs for specific provisions to accommodate bicycling have been identified in the scoping or preliminary design phase. If curb lane widths greater than 4.2 m are proposed, the use of bike lanes (see Section 17.4.7) should be considered in order to prevent the undesirable operation of two motor vehicles in one lane. For information related to bicycle-safe drainage grates, consult Chapter 8, Section 8.7.4 of this manual and FHWA's Bicycle Safe Grate Inlet Study. Wide curb lanes may offer the following advantages: Provide additional maneuvering room for motorists and bicyclists sharing the lane. Normally provide motorists entering the highway with better visibility of bicyclists since the additional space allows bicyclists to ride further from the curb. As a result they are more likely to be within motorists' cone of vision. Accommodate shared bicycle/motor vehicle use with little or no impact on roadway capacity for vehicular traffic. Reduce both the real and perceived operating conflicts between bicycles and motor vehicles.

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Exhibit 17-2 illustrates the preferred method of providing shared travel lanes where there is onstreet parking.

Exhibit 17-1 Wide Curb Lane

Exhibit 17-2 Wide Curb Lane with On-Street Parking

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BICYCLE FACILITY DESIGN 17.4.7 Bicycle Lanes

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Bike lanes are intended to promote the orderly flow of traffic by establishing specific lines of demarcation between areas reserved for bicyclists and lanes occupied by motor vehicles. This effect is supported by bike lane signs and pavement markings. Bike lanes can increase bicyclists' confidence that motorists will not stray into their path of travel if the bicyclist remains in the bike lane. Likewise, with more certainty as to where bicyclists will be, passing motorists may not feel as though they must move out of their lane to assure they will not hit bicyclists. Bicycle lanes can be especially useful for inexperienced and youthful riders. These riders tend to travel at lower speeds and may benefit from the additional space to travel in. Bicycle lanes offer designated and visible spaces for bicyclists and can be a significant factor in route choice. Bicycle lanes may be incorporated into a roadway when the need to do so is identified in the project scoping and design approval documents. Bicycle lanes are uniformly wide portions of roadways designated by signing, striping and other pavement markings for preferential use by bicyclists (see Exhibits 17-3 and 17-4). Bicycle lanes help to provide for more predictable movements by both bicyclists and motorists (see Exhibit 17-5). When the project scoping and design approval documents identify the need or desirability of bicycle lanes, designers should refer to the current AASHTO Guide for the Development of Bicycle Facilities and FHWA's Selecting Roadway Design Treatments to Accommodate Bicycles for information on the use and recommended width of bicycle lanes. Designers should also consult with the Regional Pedestrian and Bicycle Coordinator, Regional landscape architectural staff and Regional Traffic Engineer and should consider the following: Two-way bicycle lanes on one side of a highway are not acceptable because they promote riding against the flow of motor vehicle traffic. This practice is specifically identified as an illegal operation of a bicycle in the Vehicle and Traffic Law. Bicycle lanes should not be placed where angled parking is provided. Exhibit 17-5 presents examples of pavement markings for bicycle lanes at intersections. In establishing the length of the bicycle lanes, consideration must be given to the point of conflict between bicyclist and motorist (i.e., where right turning motorists must cross a bicyclist's path). The conflict point should be located where there will be the least differential in speed. As bike lanes approach intersections, they should be dropped at the beginning of a right turn lane. However, right turn lanes should be wide enough to accommodate bicyclists until they are able to safely cross the right turn lane to get into the through bicycle lane. The length of the merging space should be approximately 60 m. Where there are numerous left-turning bicyclists, separate turning lanes, as indicated in Part IX of the Federal MUTCD, should be considered.

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17-10

BICYCLE FACILITY DESIGN The design of bicycle lanes should also include appropriate signing and pavement markings at intersections to reduce the number of conflicts. General guidance for pavement marking of bicycle lanes is contained in the NYSMUTCD.

Exhibit 17-3 Bike Lane

Exhibit 17-4 Bike Lane with On-Street Parking

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17-11

Exhibit 17-5 Typical Bicycle and Automobile Movements at Intersections

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BICYCLE FACILITY DESIGN

Exhibit 17-6 Bicycle Lanes Approaching Right-Turn-Only Lanes

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BICYCLE FACILITY DESIGN 17.4.8 Bicycle Routes

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Bicycle routes are distinguished by their designation and signing as preferred routes through high demand corridors. The surface treatments and lane widths are especially important to assure the usability of designated bicycle routes. In addition to providing a continuous route to destinations, signed bicycle routes should be consistent with an established plan. Bicycle routes are frequently mapped and locally advertised for bicycle commuting and touring, or as preferred routing through congested areas. Before a roadway (or existing bicycle facility such as a bike path) is signed as a bicycle route as part of a Department project, the designer should always consider including improvements such as minimum bicycle facility widths (where they are less than the minimum), safe drainage grates and railroad crossings, smooth pavements and bicycle responsive traffic control devices. The need for, or existence of, a signed bicycle route will be identified in the project scoping and design approval documents. The establishment of a signed bicycle route will usually be based on the following criteria: The MPO, village, town, city or county having jurisdiction for each segment of the bike route has mapped the route as a part of a comprehensive bicycle plan. The route provides through and direct travel in bicycle-demand corridors. Surface imperfections have been corrected such as adjusting utility covers to grade, and installing bicycle safe drainage grates (see Chapter 8, Section 8.7.4 of this manual). The route will be periodically maintained by the maintaining authority at a rate that manages the accumulation of dirt, broken glass and other debris at the sides of the road. The lane and/or shoulder widths along the project are consistent with Sections 17.4.5 through 17.4.7, where applicable.

In order to provide improved safety, it may be desirable to remove on-street parking, or restrict it to hours when bicycling is least likely, especially in areas of critical width. However, these alternatives require an analysis of other project needs and coordination with local elected and enforcement officials, etc. Refer to the current AASHTO Guide for the Development of Bicycle Facilities and Appendix B of the Design Procedure Manual for additional information and guidance on the provision of bicycle routes.

17.4.9 Bicycle Paths A bicycle path is physically separated from motorized vehicular traffic by an open space or barrier and is either within the highway right-of-way or within an independent right-of-way. Bicycle paths should have minimal cross flow of motor vehicles. The need for bicycle paths will be identified in the project scoping and/or design approval documents. Bicycle paths can meet transportation needs by providing commuting bicyclists with 03/30/06 17.4.9

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a shortcut through a residential neighborhood (e.g., a connection between two cul-de-sac streets) or by providing bicycle access to areas that are otherwise served only by limited access highways closed to bicycles. New bicycle paths are usually constructed by the Department only when bicyclists' needs can not be provided for on the roadway. Bicycle paths are normally constructed only when other governmental entities have requested them and are willing to maintain them, and when one or more of the following conditions are met: The bicycle path serves a transportation use (a recreational loop trail located entirely within a park is an example of a path that does not serve a transportation use). An existing bicycle path is severed or dislocated by the work of a Department project. The bicycle path is an essential environmental requirement mitigating impacts of a Department project. The bicycle path is being constructed at another agency's request and that agency has made the funding arrangements. Providing a bicycle path would be more economical than providing facilities for bicycling on a roadway and assurance can be obtained that the bicycle path will be maintained year round. The potential for use by others (pedestrians, etc.) should also be considered during design to assure the facility will adequately accommodate the intended use as a bicycle path.

FHWA concurrence must be obtained relative to the transportation purpose of every federal-aid bicycle path project. Furthermore, no federal-aid project can sever or destroy an existing major route for nonmotorized traffic without FHWA concurrence of alternative route provisions, as required by 23 CFR 630.114(i). Design Approval Documents should provide appropriate discussions of these issues. Where bicycle paths are proposed, the designer should refer to the current AASHTO Guide for the Development of Bicycle Facilities for information regarding the following: Separation between path and roadways Bicycle path and roadway intersections Path width and clearance guidelines Restriction of motor vehicles Design speed and curve radii Grades Horizontal/Vertical alignment and superelevation Sight distance Railroad crossings

In addition to AASHTO's guidance, the designer should consider the following: Paved, all-weather surfaces are preferable to crushed aggregate, sand, clay or stabilized earth. Unpaved paths should be developed using the shared-use path guidelines in

17.4.9

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Section 17.5. Unpaved bicycle paths provide a limited level of service, as they may cause instability problems for bicyclists with narrow tired bikes. These riders will often avoid unpaved paths when there is an adjacent roadway. Two-way bicycle paths should be at least 3 m wide. The edges of narrower paths quickly deteriorate as a result of weathering and wear by maintenance, police and emergency service vehicles. While bicycle paths are not necessarily designed as shared-use paths, they should desirably be 3.6 m wide when there is the expectation of unintended use by pedestrians and others. Consideration should also be given to providing additional width where there are steep grades. One-way bicycle paths should not be constructed unless they are clearly signed to indicate the direction of travel and a parallel path in the opposite direction is clearly marked, within sight and easily reached. Additionally, there should be assurance that one way travel will be enforced. When a bicycle path will closely parallel a roadway where bicycling is permitted, the designer should consider the use of "Share the Roadway" signs to alert motorists to the fact that bicyclists may also be using the road. When a bicycle path is provided immediately adjacent to a roadway, it may be necessary to provide a safe barrier between the roadway and path. The selected barrier should be of a type that will minimize injury if a bicyclist using the path accidentally hits it (i.e., the barrier does not have protruding edges). If a bicycle path is placed adjacent to a roadway with an existing guide rail, it may be necessary to provide protection for bicyclists from striking the back side of the guide rail. Acceptable options for barriers located 2 m or closer to the edge of a bicycle path are heavy post (timber) with blocked out corrugated guide rail or a suitable type of concrete median barrier. The latter has a smooth back side with no protrusions that helps to minimize injury to bicyclists if they hit it. When timber posts are used with blocked out corrugated guide rail, the edges should be beveled to achieve a 30 mm chamfer to blunt the edges. Also, a continuous run of 50 mm x 300 mm timbers should be provided on the backside of the timber posts (however, theft should be considered). When a barrier will be more than 2 m from a bicycle path, the barrier may be selected based on highway/motor vehicle considerations provided the deflection distance of the barrier does not extend into the path. See Chapter 10, Section 10.2.2 of this manual for further guidance.

In some instances, it may be necessary to provide design features to warn of dangerous conditions or to reduce bicyclists' speed. These features may be used where there are steep grades, sharp curves, where visibility is limited, or at intersections with roadways or pedestrian facilities. These features include, but are not limited to, pavement striping and surface treatments, signing and vertical elements such as bollards. If vertical

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BICYCLE FACILITY DESIGN elements are used, they must be visible during low light conditions to help assure adequate stopping sight distance and should be used in conjunction with signing and/or striping to help warn bicyclists.

17.4.10 Supplemental Bicycle Facilities

17.4.10.1 Bicycle Parking Facilities Bicycle parking facilities may be provided as is appropriate and convenient at well lighted locations when a municipality, agency or other public entity will agree to maintain them. Parking facilities should be durable; offer protection from theft, damage and weather; and be consistent with the maintaining entity's standard designs. Types of bicycle parking facilities: 1. Long-term parking: Bicycle parking facilities at places such as transit stations and park and ride facilities should consist of long term rental or leased bicycle lockers and/or attended storage areas. 2. Short-term parking: Public libraries, recreation areas and downtown retail areas or streets are examples of locations where appropriate short-term parking facilities should be considered. Short-term parking areas should be convenient and near building entrances or highly visible areas for safety and bicycle security. If bicycle parking is not properly designed and located, bicyclists will use trees, railings and other appurtenances. This practice can damage facilities and create obstructions for pedestrians. In addition, this may result in bicycles being damaged by motor vehicles. Bicycle racks, and short-term rental lockers are usually adequate for these locations. Bicycle racks should be constructed of sturdy material and be difficult to dismantle. They should provide opportunities to lock both the frame and wheels with a U-lock type lock as well as a lock and chain combination. Bicycle lockers should be constructed of durable materials not readily subject to vandalism and weather. Care should be given in selecting the location of racks, lockers and other bicycle facilities to help ensure that bicycles will not be damaged by motor vehicles, stolen, vandalized, etc. Bicycle parking facilities should not interfere with pedestrian flow and should provide users easy access to their parked bicycles.

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BICYCLE FACILITY DESIGN 17.4.10.2 Signing and Pavement Marking

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Guidance on signing and pavement marking can be found in the NYSMUTCD and in the current AASHTO Guide for the Development of Bicycle Facilities. The Regional Traffic Engineer should also be consulted.

17.4.10.3 Lighting Lighting should be considered where significant levels of night riding can be expected, especially near colleges, and along commuter routes. Lighting may help to alleviate possible bicycle/motor vehicle conflicts at intersections. Lighting contributes to a safe bicycling environment by illuminating the area so that the bicyclist may see the roadway or bike path alignment, surface conditions and obstacles. Lighting may also help to alleviate safety and security concerns in some areas. All lighting decisions should be consistent with the Traffic Engineering and Safety Division's "Policy on Highway Lighting". The designer should also consult Chapter 12 of the Highway Design Manual for guidance on lighting issues.

17.4.10.4 Restrictions to Motor Vehicle Traffic Unauthorized motor vehicles are banned from bicycle or shared-use paths. This is a federal-aid requirement of 23 CFR 652.7(b)(3)(ii). Barriers should be provided. However, barrier designs should accommodate entry by emergency and maintenance vehicles. The barriers used should be consistent with the setting of the path and with the maintaining entity's standards where possible or applicable. Any barriers that are used should be visible to bicyclists both during daylight and at night. Avoid placing barriers where sight distance is limited or use advance pavement markings and/or signs to warn bicyclists. To allow access to paths by adult tricycles and bicycle trailers, a spacing between barriers of 1.5 m should be used. A wider spacing may not prevent access by motor vehicles and a narrower spacing may present a hazard to less proficient bicyclists. Appropriate exclusion signs should also be considered. Refer to the NYS MUTCD for information regarding the use of exclusion signs.

17.4.10.5 Rest Areas Provision of rest areas should be considered on long, uninterrupted bicycle and shared-use paths. Locations should be identified during project scoping and preliminary design, and should be integrated with other transportation facilities where appropriate. For guidance, refer to the current AASHTO publication, A Guide for Transportation Landscape and Environmental Design.

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Bridge railing heights on bicycle paths and shared-use paths should be a minimum of 1.4 m. Railing heights at other locations along bicycle and shared-use paths where railings are considered necessary or appropriate should also be 1.4 m (see Exhibit 17-7). There are no specific warrants for installing railings other than on bridges. Designers should exercise professional judgment and should consider the steepness and height of drop-offs adjacent to paths, their lateral distance from the path, their surfaces (e.g., rock slopes, etc.), whether they are on the outside of horizontal curves (especially at down grades), etc. Railing heights on highway bridges that also include bicycle lanes or designated bicycle routes should also be 1.4 m. Designers should also consider using 1.4 m high railings on highway bridges that do not have bicycle lanes or designated bicycle routes, but do have more than occasional bicycle traffic, especially if a significant amount of that use comes during concentrated periods of time (e.g., bridges that are popular for bicycle commuting or are often used for group rides, etc.). Railings designed to provide protection for bicyclists should not have vertical balusters that could snag bicycle pedals. Railing designs comprising horizontal rails without (or with setback) balusters may be used in these instances. For additional information on railings, the designer should consult the Regional landscape architectural staff, the Regional Structures Engineer, the current Bridge Detail Sheets and the current NYSDOT Standard Specifications for Highway Bridges.

17.4.10.7 Drainage Grates All drainage grates should be of a design that does not catch a bicycle wheel when the grate is crossed. For guidance on bicycle safe drainage grates, FHWA's Selecting Roadway Treatments to Accommodate Bicycles and Bicycle Safe Grate Inlet Study, Volumes 1-4 should be consulted, as well as Chapter 8, Section 8.7.4 of this manual.

17.4.10.7

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BICYCLE FACILITY DESIGN Exhibit 17-7 Safety Railings along Bicycle and Shared-Use Paths

17-19

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17-20 17.5

BICYCLE FACILITY DESIGN RECREATIONAL WALKWAYS AND SHARED-USE PATHS

The most common recreational walkways and shared-use paths encountered and altered as part of Department projects are pedestrian/bicycle paths, facilities associated with trail head parking, segments of hiking trails, fishing access sites and similar facilities. The Department's minimum recommended width for shared-use paths is 4 m.

17.5.1 Access for Persons with Disabilities Specific accessibility standards for recreational facilities, including recreational walkways have not been adopted. However, it is established that the ADA affects these kinds of facilities. In general, recreational walkways and shared-use paths must be made as accessible as feasible. The current ADAAG requirements should be considered as minimum requirements for design. Departures from ADAAG's minimum requirements should only be made where it is infeasible or inappropriate to strictly apply them. Considerations include the nature and extent of development surrounding a recreational walkway or shared-use path (i.e., urban, suburban, rural, undeveloped or wilderness), distance between access points, nature of the terrain, etc. Regional landscape architectural staff or the Landscape Architecture Section of DQAB should be contacted for advice and current information about the status of any accessibility related regulatory requirements.

17.5.2 Design Considerations Recreational walkways and shared-use paths should be designed to accommodate the users identified in the project scoping and Design Approval Documents. Whenever possible, shareduse paths that are intended to accommodate pedestrians and higher speed users (bicyclists, inline skaters, etc.) should be designed to minimize the potential for conflicts. Where separate facilities are not feasible, a shared-use path should incorporate additional width, signing, and possibly striping to minimize conflicts. For example, the designer should consider widening the walkway or path where conflicts between pedestrians, bicyclists, in-line skaters, joggers, etc. are most likely to occur, such as at sharp curves, the bottom of downgrades and other areas where visibility may be limited. Recommendations regarding the use of warning signs and pavement markings for these instances may be found in the NYS MUTCD. Consideration should also be given to designing shared-use paths to accommodate emergency and maintenance vehicles in areas where their access may be needed. Designers must also consider establishing barriers to prevent the use of unauthorized motor vehicles. This is a federal-aid requirement of 23 CFR 652.7(b)(3)(ii). See Section 17.4.10.4 for guidance. All-weather paved surfaces are usually preferable to crushed aggregate, sand, clay or stabilized earth where they serve a relatively large number and wide variety of users (i.e., bicyclists, in-line

17.5.2

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BICYCLE FACILITY DESIGN

17-21

skaters, pedestrians, etc.). However, there has been a recent increase in the use of wider tire bicycles, such as mountain and hybrid bikes. Therefore, nonpaved shared-use paths may be alternatives in lightly developed or undeveloped areas where the scoping documents indicate that use of the path is expected to be relatively light. Bicycle speeds on unpaved paths are normally lower than on paved paths, and as a result, may cause fewer conflicts between bicyclists and pedestrians. The materials or surfaces usually preferred for unpaved paths are stabilized earth or ground limestone depending on anticipated use and local availability. The Regional Geotechnical Engineer should be consulted for recommendations. If a shared-use path is provided immediately adjacent to a roadway, it may be necessary to provide a barrier type that will minimize injury if someone using the path accidentally hits it. 1. Acceptable options for barriers located 2 m or closer to the edge of the shared-use path are: heavy post (timber) with blocked out corrugated guide rail or a suitable type of concrete median barrier. The latter has no protrusions and a smooth back side that helps to minimize injury if a path user hits it. When timber posts are used with blocked-out corrugated guide rail, the edges should be beveled to achieve a 30 mm chamfer to blunt the edges. Also, on the backside of the timber posts, a continuous run of 50 mm x 300 mm timbers should be provided (however, theft should be considered). 2. When a barrier will be more than 2 m from a path, the barrier may be selected based on highway/motor vehicle considerations provided the deflection distance of the barrier does not extend into the path. See Chapter 10, Section 10.2.2 of this manual for further guidance. On shared-use path bridges and other locations along shared-use paths that accommodate bicycles, railing heights should be a minimum of 1.4 m (see Exhibit 17-5). For additional information on the various kinds of railings that may be appropriate along shared-use paths, the designer should consult Chapter 18 of this manual, the Regional landscape architectural staff, Regional Structures Engineer and the current NYSDOT Standard Specifications for Highway Bridges. One-way, shared-use paths that are less than the recommended minimum width of 4 m and that are separated by distance, a roadway or by a visual barrier, should be avoided. Compliance with the intended direction of traffic will normally be mediocre at best and the incidence of conflicts will increase with reduced width. Designers should refer to Section 17.4.10 for information about the following supplemental bicycle facilities that may be included in shared-use path projects: 1. 2. 3. 4. 5. 6. Bicycle parking facilities. Signing and pavement marking. Lighting. Restrictions to motor vehicle traffic. Rest areas. Drainage grates. 17.5.2

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BICYCLE FACILITY DESIGN

For further guidance on the design of shared-use paths that are intended to accommodate bicycling, the designer should reference the current AASHTO Guide for the Development of Bicycle Facilities.

17.6

CONSTRUCTION ISSUES

FHWA regulations (23 CFR 652.5) require that provision for safe accommodation of bicyclists be given full consideration during construction. HDM Chapter 16, Section 16.4.4.2 contains a discussion on the maintenance and protection of bicycle traffic during construction. Work zone traffic control diagrams for bicyclist accommodation can be found at: http://www.dot.state.ny.us/traffic/workzone/pedaccdiag.html.

17.7

MAINTENANCE OF BICYCLE FACILITIES

The Department of Transportation generally does not maintain bike paths, bicycle parking facilities, recreational walkways, or shared-use paths. Therefore, if these facilities are to be built, they usually must be approved by the municipality or agency that will be responsible for their maintenance. The governmental entity that will assume the maintenance responsibility for these facilities must pass a resolution and enter into a Memorandum of Understanding or other agreement with the State. This should be discussed with the involved entity during the project scoping phase or as early in the design phase as possible. An original signed resolution or other appropriate agreement must be received by the Design Quality Assurance Bureau, PS&E Section, by Phase Vl of the design, for bicycle paths, bicycle parking facilities, recreational walkways, or shared-use paths to be included in the project. Refer to Chapter 14 of this manual for an example municipal resolution. Delays in the receipt of the necessary resolutions may result in a delayed project letting.

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BICYCLE FACILITY DESIGN 17.8 REFERENCES

17-23

1. A Policy on Geometric Design of Highways and Streets, 1994, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, DC 20001. 2. Americans With Disabilities Act Accessibility Guidelines for Buildings and Facilities, December, 1993, Landscape Architecture Bureau, New York State Department of Transportation, State Campus, Albany, NY 12232. 3. Bicycle Safe Grate Inlet Study, Federal Highway Administration, Washington, DC 20590 Vol. 1, Hydraulic and Safety Characteristics of Selected Grate Inlets on Continuous Grades, Report No. FHWA-RD-77-24, June, 1977. Vol. 2, Hydraulic Characteristics of Three Selected Grate Inlets on Continuous Grades, Report No. FHWA-RD-78-4, May, 1978. Vol. 3, Hydraulic Characteristics of Three Selected Grate Inlets in a Sump Condition, Report No. FHWA-RD-78-70, September, 1978. Vol.4, Hydraulic Characteristics of Slotted Drain Inlets, Report No. FHWA-RD-79-106, February, 1980. 4. Bicyclist and Pedestrian Safety and Accommodation, NHI Course No.38061. Publication No. FHWA Hl-93-021, August 1993, US Department of Transportation, Federal Highway Administration, Washington, DC 20590. 5. Geometric Design Policy for Bridges, March 1996, Structures Design and Construction Division, New York State Department of Transportation, State Campus, Albany, NY 12232. 6. Guide for the Design of High Occupancy Vehicle and Public Transfer Facilities, 1983, American Association of State Highway and Transportation Officials, Suite 225,444 North Capitol Street, N.W., Washington, DC 20001. 7. Guide for the Development of Bicycle Facilities, 1991, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, DC 20001. 8. Guide for Transportation Landscape & Environmental Design, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, DC 20001. 9. New York State Manual of Uniform Traffic Control Devices, July, 1983, Traffic Engineering and Safety Division, New York State Department of Transportation, State Campus, Albany, NY 12232. 10. New York State Uniform Fire Prevention and Building Code, 1995, New York State Department of State, 162 Washington Avenue, Albany, New York 12231.

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17-24

BICYCLE FACILITY DESIGN

11. Policy on Highway Lighting, December, 1979, Traffic Engineering and Safety Division, New York State Department of Transportation, State Campus, Albany, NY 12232. 12. Pedestrian and Bicycle Facility Scoping Guide, New York State Department of Transportation, Albany, NY 12232. Selecting Roadway Design Treatments to Accommodate Bicycles, Pub. FHWA-RD-92073, January 1994, US Department of Transportation, Federal Highway Administration Research and Development, Washington, DC 20590. Standard Specifications for Highway Bridges, 1994, Structures Design and Construction Division, New York State Department of Transportation, State Campus, Albany, NY 12232. Code of Federal Regulations, Title 23, 1995, for sale by the U.S. Government Printing Office, Superintendent of Documents, Washington, DC 20402. Highway Capacity Manual, Special Report 209, 1994, Transportation Research Board, National Research Council, 2101 Constitution Avenue, N.W., Washington, D.C., 20418.

13.

14.

15.

16.

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HIGHWAY DESIGN MANUAL

Chapter 18 Pedestrian Facility Design

Revision 49

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CHAPTER 18 PEDESTRIAN FACILITY DESIGN Contents Page

18.1 INTRODUCTION .............................................................................................................18-1 18.2 CHAPTER OBJECTIVES ...............................................................................................18-1 18.3 POLICY ...........................................................................................................................18-1 18.4 DEFINITIONS .................................................................................................................18-2 18.5 PROCEDURAL REQUIREMENTS .................................................................................18-4 18.5.1 18.5.2 18.5.3 18.5.4 18.5.5 Pedestrian Generator Checklist .......................................................................18-4 Pedestrian Data Acquisition .............................................................................18-7 Pedestrian Traffic Forecasting .........................................................................18-8 Pedestrian Level of Service..............................................................................18-8 Pedestrian Facility Documentation .................................................................18-11

18.6 PEDESTRIAN FACILITY DESIGN ...............................................................................18-14 18.6.1 18.6.2 18.6.3 18.6.4 18.6.5 18.6.6 18.6.7 18.6.8 Pedestrian Facility Design under Americans with Disabilities Act (ADA) .......18-14 Use of Shoulders as Pedestrian Facilities......................................................18-20 Pedestrian Paths ............................................................................................18-21 Guidelines for Installing Sidewalks.................................................................18-21 Walkway Design .............................................................................................18-25 Placement within the Right of Way.................................................................18-29 Pedestrian Facility Design Elements ..............................................................18-31 Pedestrian Facility Appurtenances .................................................................18-32

18.7 PEDESTRIAN CROSSINGS.........................................................................................18-34 18.7.1 18.7.2 18.7.3 18.7.4 18.7.5 18.7.6 18.7.7 18.7.8 18.7.9 18.7.10 18.7.11 Pedestrian Street Crossing Dynamics............................................................18-35 Intersection Types ..........................................................................................18-36 Curb Ramps ...................................................................................................18-43 Detectable Warnings ......................................................................................18-46 Curb Radii/Intersection Extension ..................................................................18-48 Pedestrian Refuge Islands and Medians........................................................18-49 Stop Line Placement ......................................................................................18-50 Marked Crosswalks ........................................................................................18-51 Pedestrian and Vehicular Traffic Signals ......................................................18-54 Intelligent Transportation Systems .................................................................18-56 Unauthorized/Unsafe Pedestrian Crossings ..................................................18-56

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CHAPTER 18 PEDESTRIAN FACILITY DESIGN

18.8 ELEVATION CHANGES ...............................................................................................18-57 18.8.1 18.8.2 18.8.3 18.8.4 18.8.5 18.8.6 Stairs ..............................................................................................................18-57 Ramps ............................................................................................................18-59 Landings.........................................................................................................18-59 Handrails ........................................................................................................18-60 Protective Rails ..............................................................................................18-62 Elevators ........................................................................................................18-64

18.9 RECREATIONAL WALKWAYS, SHARED USE PATHS, TRAILS, AND OUTDOOR RECREATION ACCESS ROUTES .......................................................................................18-65 18.9.1 Access for Persons with Disabilities..............................................................18-65 18.9.2 Use of Existing Sidewalks as Shared Use Paths ..........................................18-65 18.10 BUS STOPS & TRANSIT STATIONS .......................................................................18-67 18.11 PARKING ...................................................................................................................18-68 18.12 SPECIAL SITUATIONS .............................................................................................18-68 18.12.1 18.12.2 18.12.3 18.12.4 Main Streets ...............................................................................................18-68 Central Business/Walking Districts .............................................................18-69 School Walking Zones ................................................................................18-69 Designing for Disaster Preparedness .........................................................18-69

18.13 PEDESTRIAN FACILITY CONSTRUCTION .............................................................18-70 18.14 PEDESTRIAN FACILITY MAINTENANCE ...............................................................18-71 18.15 REFERENCES ...........................................................................................................18-72

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CHAPTER 18 PEDESTRIAN FACILITY DESIGN

LIST OF EXHIBITS

Number
18-1 18-2 18-3 18-4 18-5 18-6 18-7 18-8 18-9 18-10 18-11 18-12 18-13 18-14 18-15 18-16 18-17 18-18 18-19 18-20 18-21 18-22 18-23 18-24 18-25 18-26

Title

Page

Pedestrian Generator Checklist ..........................................................................18-6 Relationship between Walkway Width and Pedestrian Volume ..........................18-9 Pedestrian Level-of-Service ..............................................................................18-10 Guidelines for Locating Sidewalks in Developed Areas ....................................18-23 Passing Space ..................................................................................................18-25 Crosswalk Surface Treatment ...........................................................................18-27 Walking Surface Permitted Change in Level.....................................................18-28 Walking Surface Permitted Openings ...............................................................18-28 Sidewalk Placement within the Right of Way ....................................................18-30 Best Practices for Pedestrian Crossing Design at Intersections .......................18-34 Crossing Distances, Speeds and Time .............................................................18-36 Crossing Opportunities at T Intersections.......................................................18-37 Multiple-Threat Crash........................................................................................18-41 Advance Stop Bar .............................................................................................18-41 Locations Where Driveways Cross Sidewalks ..................................................18-42 Curb Ramp Design............................................................................................18-45 Curb Radii/Intersection Extension .....................................................................18-48 Stop Bar Placement ..........................................................................................18-50 Typical Crosswalk Markings..............................................................................18-52 Recommendations for Installing Marked Crosswalks and Other Needed Pedestrian Improvements at Uncontrolled Locations ..........................................................18-53 Recommended Locations for Accessible Pedestrian Signals ...........................18-55 Recommended Riser Height/Tread Width Ratios .............................................18-58 Stair Nosings .....................................................................................................18-59 Acceptable Hand Rail Shapes...........................................................................18-61 Maximum Bottom Rail and Baluster Spacing for Handrails...............................18-62 Spacing of Balusters on Protective Rails ..........................................................18-63

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PEDESTRIAN FACILITY DESIGN 18.1 INTRODUCTION

18-1

Pedestrian facilities, which are facilities specifically intended to accommodate people walking, generally include crossings, refuge islands, pedestrian signs and signals, information technology systems (ITS), sidewalks, other walkways, curb ramps, public transit loading zones, gradeseparation structures, call boxes, and street furniture. According to the 2000 Census, 30% of New York State residents do not own an automobile and 20% have a disability. Estimated pedestrian AADT was nearly 20 million trips (not including transit and car-linked walk trips) in New York State which supports a multibillion dollar sidewalk-based economy. As the population ages, an increasingly larger proportion of the States population will rely on pedestrian accommodation and public transit as their primary means of transportation. Accessible design is the foundation for all pedestrian design, and facilities need to be planned, designed, operated, and maintained for use by all people. Pedestrians should be afforded the ability to safely travel between pedestrian traffic generators such as homes, places of work, stores, schools, post offices, libraries, parks, etc. Safe and accessible pedestrian infrastructure provides the means for making this mode of transportation feasible. Pedestrian connections are also the critical transitions between different modes of transportation. Federal Highway Administration (FHWA) policy (23 CFR 652.5), the AASHTO Policy on Geometric Design of Highways and Streets and the AASHTO Guide for the Planning, Design, and Operation of Pedestrian Facilities encourage designers to provide for pedestrians during project planning, design, and construction of transportation facilities. 18.2 CHAPTER OBJECTIVES The first objective of this chapter is to provide the procedural requirements for determining if pedestrian facilities are warranted and should be incorporated into Department projects. The second objective is to provide the guidance necessary to design, construct, and maintain these facilities in accordance with current guidelines and standards. 18.3 POLICY Current Department policy is consistent with federal policy and design guidance and states that: NYSDOT must makepedestrians integrated elements of our intermodal transportation system. It is Department policy to consider the accommodation of pedestrians, including persons with disabilities, during the earliest scoping stage of Department projects. Considerations of pedestrian needs should include, at a minimum, a presumption that pedestrians will be accommodated, unless pedestrian access is prohibited by law, deemed unfeasible based on anticipated use, and/or an absence of need is determined. This aligns with FHWA policy (23 CFR 652.5) which requires that the safe accommodation of pedestrians and persons with disabilities should be given full consideration during the planning, design, and construction phases of federalaid highway projects. The Department has determined that this policy also applies to all projects, regardless of the fund source, including 100% state-funded projects. 03/30/06 18.3

18-2 18.4 DEFINITIONS

PEDESTRIAN FACILITY DESIGN

For consistency in all Department projects, the following definitions will be used. The definitions marked with an asterisk are consistent with definitions established in the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities (ADAAG). The ADAAG contains the standards that are used for the design of accessible pedestrian facilities on all Department projects. * Alteration - A change to a building or facility that affects or could affect the usability of the building or facility or part thereof. Alterations include, but are not limited to: remodeling, renovation, rehabilitation, reconstruction, historic restoration, resurfacing or changes or rearrangement of the structural parts or elements. Normal maintenance activities or changes to mechanical or electrical systems are not alterations unless they affect the usability of the building or facility by pedestrians. Note: Most Department projects involving pedestrian facilities are alterations for the purpose of ADAAG interpretation. Resurfacing is an alteration. As described in ADAAG, "new construction" would include a new street or highway on a new location. *Blended Transition Connections between the pedestrian access route and the street that have a running slope of 5% or less. Central Business/Walking District Central Business/Walking Districts are characterized by high development densities, usually have a high transit mode share, large peak-period surges in pedestrian traffic volumes, limited street capacity, and up to 90% or more of all on-street mode share consists of pedestrian traffic movement. Detectable warnings - A walkway surface treatment that is detectable by visually impaired persons or persons with low vision. Detectable warnings consist of a standard pattern of small truncated domes located at closely spaced intervals. The detectable warnings provide a tactile cue that is noticeable by cane or underfoot at the boundaries between pedestrian walkways and vehicular ways. Intelligent Transportation System (ITS) The application of modern technology and management systems to address multi-modal transportation needs, in particular to enable the more efficient operation and management of the transportation system. Logical Termini Logical termini are rational end points for a transportation improvement. Most common termini are points of traffic generation, especially intersecting roadways. According to FHWA regulations, logical termini shall have independent utility or independent significance, i.e., be useable and be a reasonable expenditure even if no additional transportation improvements in the area are made. Multiple-Threat Crash A situation that may occur in multilane road configurations where there is a pedestrian crossing. The driver in the first travel lane stops for a pedestrian, but blocks the visibility of the pedestrian to a driver in the second travel lane. Pedestrian Accommodations Pedestrian accommodations are facilities specifically intended for pedestrian use. (See pedestrian facilities definition.) 18.4 03/30/06

PEDESTRIAN FACILITY DESIGN

18-3

Pedestrian Access Route (PAR) The portion of the public right of way that serves as an accessible route. (* Accessible route is a continuous, unobstructed path connecting all accessible elements and spaces of a building or facility.) The PAR refers to elements such as sidewalks, plazas, crosswalks, ramps, curb ramps, blended transitions, median islands, elevators, etc. It does not, necessarily, encompass the full width of sidewalks or other pedestrian ways but refers to that part, compliant with the most current best practices and/or standards adopted by the U.S. Department of Transportation, which in effect, provides a continuous accessible means of passage. Standards for pedestrian access routes address clear width, cross slope, grade, surface, changes in level, and other characteristics. Pedestrian Generators Pedestrian generators in this document refer to places where pedestrians orginate (residences, nursing homes, etc.) and places where pedestrians travel to (stores, schools, etc). * Pedestrian Facilities - Any features or elements used by disabled or able-bodied pedestrians to move from one point to another including sidewalks, crossings, refuge islands, pedestrian signs and signals, curb ramps, stairs, and general pedestrian areas such as plazas, public transit loading zones, and grade- separation structures. Pedestrian facilities also include call boxes, street furniture, etc. Pedestrian Path Pedestrian facility designed to facilitate pedestrian movement along a corridor where pedestrian facilities are warranted, but where sidewalks adjacent to the road are not feasible. Sidewalk A smooth, paved, stable and slip-resistant, exterior pathway intended for pedestrian use along a vehicular way separated with a curb offset. Structural Impracticability Structural impracticability may apply in new construction, when the unique characteristics of the existing terrain prevent the incorporation of certain accessibility features. Technical Infeasibility Technical infeasibility may occur during an alteration of a building or a facility, when existing conditions prevent the incorporation of certain accessibility features. For example, if the structural conditions would require removing or altering a load-bearing member that is an essential part of the structural frame; or because other existing physical or site constrains prohibit modification or addition of elements, spaces, or features that are in full compliance with the minimum requirements for accessibility.

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18.5 PROCEDURAL REQUIREMENTS FHWA regulations require that whenever a State highway is to be constructed, reconstructed, or rehabilitated or when the Department engages in any other public improvement project, the Project Developer should determine whether the existing pedestrian accommodations: Are adequate. Are readily accessible to persons with disabilities. Require reconstruction. Require rehabilitation. Warrant the construction of new facilities.

The Americans with Disabilities Act (ADA) requires that new and altered facilities be accessible to and usable by persons with disabilities. The following procedures for pedestrian accommodation apply to all projects that are classified as new construction, reconstruction, bridge replacement, bridge rehabilitation, signal requirement contracts, safety, 3R, or 2R, as well as locally administered projects and work undertaken by Department Maintenance forces that are similar to the preceding project types. 18.5.1 Pedestrian Generator Checklist The Pedestrian Generator Checklist (see Exhibit 18-1) is a tool to be used by the Project Developer in coordination with the Regional Bicycle and Pedestrian Coordinator during project scoping. The checklist highlights the importance of evaluating the potential for pedestrian activity at the project location and observing adjacent land use. The Pedestrian Generator Checklist focuses on the existence of pedestrian generators/destinations rather than on existing pedestrian activity since the lack of facilities may be the root cause of the lack of pedestrian activity. When generators of pedestrian activity are present and there is a probable use, Department policy is to accommodate pedestrians. Probable use has been defined as a mix of pedestrian generators and destinations within 800 m. A Pedestrian Generator Checklist is required for all projects listed under Section 18.5. A Pedestrian Generator Checklist is also required for Highway Work Permit projects having highway mitigation such as lane widening or intersection improvements. This checklist should be completed during project scoping. All completed Pedestrian Generator Checklists should be submitted to the Regional Bicycle and Pedestrian Coordinator for review. Projects with one or more Yes answers on the checklist indicate a potential need for pedestrian accommodation, and the Project Developer should meet with the Regional Bicycle and Pedestrian Coordinator to determine if there is a need to accommodate pedestrians. The completed Pedestrian Generator Checklist should be included as an appendix to the Project Scoping Report and Design Report.

18.5.1

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PEDESTRIAN FACILITY DESIGN Information for the checklist may be obtained through use of methods such as:

18-5

Observation. Discussions with local governments and planning organizations. Public informational meetings. Accident reports. Questionnaires. Community organizations addressing pedestrian needs, including persons with disabilities.

Professional judgment must be exercised to assure that potentially conflicting information is satisfactorily reconciled. The Regional Bicycle and Pedestrian Coordinator and/or regional landscape architectural staff should also be consulted for additional information and assistance.

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18.5.1

18-6

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Exhibit 18-1 Pedestrian Generator Checklist P.I.N.: Project Location:

PEDESTRIAN GENERATOR CHECKLIST Note: The term Agenerator@ in this document refers to both pedestrian generators (where pedestrians originate) and destinations (where pedestrians travel to). A check of yes indicates a potential need to accommodate pedestrians and coordination with the Regional Bicycle and Pedestrian Coordinator is necessary during project scoping. Answers to the following questions should be checked with the local municipality to ensure accuracy. Is there an existing or planned sidewalk, trail, or pedestrian-crossing facility? 1. YES NO Are there bus stops, transit stations or depots/terminals located in or within 800 m of 2. YES NO the project area? Is there more than occasional pedestrian activity? Evidence of pedestrian activity 3. YES NO may include a worn path. Are there existing or approved plans for generators of pedestrian activity in or within 4. YES NO 800m of the project that promote or have the potential to promote pedestrian traffic in the project area, such as schools, parks, playgrounds, places of employment, places of worship, post offices, municipal buildings, restaurants, shopping centers, or other commercial areas, or shared-use paths? Are there existing or approved plans for seasonal generators of pedestrian activity in 5. YES NO or within 800 m of the project that promote or have the potential to promote pedestrian traffic in the project area, such as ski resorts, state parks, camps, amusement parks? Is the project located in a residential area within 800 m of existing or planned 6. YES NO pedestrian generators such as those listed in 4 above? From record plans, were pedestrian facilities removed during a previous highway 7. YES NO reconstruction project? Did a study of secondary impacts indicate that the project promotes or is likely to 8. YES NO promote commercial and/or residential development within the intended life cycle of the project? Does the community=s comprehensive plan call for development of pedestrian 9. YES NO facilities in the area? 10. Based on the ability of students to walk and bicycle to school, would the project YES NO benefit from engineering measures under the Safe-Routes-To-School program? Eligible infrastructure-related improvements must be within a 3.2 km radius of the project. Note: This checklist should be revisited due to a project delay or if site conditions or local planning changes during the project development process.

Comments:

Regional Bicycle and Pedestrian Coordinator: Project Designer:

18.5.1

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PEDESTRIAN FACILITY DESIGN 18.5.2 Pedestrian Data Acquisition

18-7

The following factors should be considered during project scoping and discussed in the Project Scoping Reports and Design Reports. 3. Existing and expected land-use patterns and generators of pedestrian traffic: Land use residential, business/commercial, mixed commercial/residential, industrial, recreational, educational, agricultural, and open space. Specific pedestrian traffic generators residences, major employment centers, schools, parks, shopping plazas, malls, neighborhoods, health care facilities, colleges/universities, recreation areas, etc. Transportation options that may require pedestrian linkage- bus stop locations, transit corridors and terminals, park-and-ride lots, parking garages, etc. 3. Existing and anticipated pedestrian characteristics: User groups i.e., commuters, students, shoppers, tourists, children, adolescents, elderly persons, and persons with disabilities. Trip purpose utilitarian (shopping/errands; commuting to work, school or place of recreation) or recreational (visiting friends, neighborhood riding, or touring.) Frequency of use daily, weekends, seasonal (as in tourist areas), peak time. Slower walking speeds due to aging population, increasing distractions (e.g., cell phone use, headphones, etc.), general decline in fitness, etc. 3. Existing site accommodations and characteristics such as: Locations of walkways/worn paths and their relation to pedestrian generators/ destinations. The location of incomplete walkways that adjoin or are located within the right of way, and their relation to pedestrian generators and destinations. Locations where pedestrian facilities do not exist and their relation to pedestrian generators and destinations. Existing pedestrian facility signs. The physical condition of the existing pedestrian facilities (including existing conditions that limit access for people with disabilities, such as sidewalk lifts or other deteriorated situations). Any site constraints or structural features that reduce feasibility of constructing pedestrian facilities (including facilities providing access for people with disabilities). Existing right of way and availability of right of way. Existing surface conditions, drainage, pavement markings, crosswalks, pedestrian signals, street lighting, signage, kiosks, and channelization. 4. Local or regional transportation plans which identify existing or proposed pedestrian facilities. 5. Pedestrian accident history, including causes and site context (roadway description and surrounding land use). Pedestrian accident history should include actual recorded incidents and local feedback on perceived safety. The absence of an accident history does not necessarily indicate a safe and accessible condition exists for pedestrians. Information may be gathered from local highway supervisors, local police, residents, or business owners. For more information on pedestrian data acquisition, see Reference 27, listed in Section 18.15. 03/30/06 18.5.2

18-8

PEDESTRIAN FACILITY DESIGN

18.5.3 Pedestrian Traffic Forecasting In most projects, careful application of the Pedestrian Generator Checklist, as described in Section 18.5.1, will be sufficient for determining the need for pedestrian facilities to accommodate existing, latent, seasonal, and projected future pedestrian traffic. However, pedestrian traffic forecasting may be necessary in areas of high pedestrian volumes and/or special-use areas, e.g., central business/walking districts, colleges, amusement parks, etc., to provide the necessary information to determine the appropriate treatment(s) and design of pedestrian facilities. For more information on pedestrian traffic forecasting, refer to HDM Chapter 5, Section 5.2.1.1 or consult with the Regional Bicycle and Pedestrian Coordinator or Main Office Pedestrian and Bicycle Program. 18.5.4 Pedestrian Level-of-Service For high-density main streets, and central business/walking districts with very high pedestrian traffic volumes, it may be necessary to determine the Pedestrian Level-of-Service (LOS) for sidewalk, crosswalk, transit-related stairwells and ramps. Due to the high likelihood of noncompliance of pedestrian facilities, and very constrained access, a pedestrian LOS of E or less is not acceptable for pedestrian facilities at either existing or build-out development scenarios. Refer to Exhibits 18-2 and 18-3 and HDM Chapter 5, Section 5.2.2.1 for more information on Levelof-Service.

18.5.4

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PEDESTRIAN FACILITY DESIGN Exhibit 18-2 Relationship between Walkway Width and Pedestrian Volume

18-9

Hourly Design Flow (Pedestrians/hour)

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18.5.4

18-10

PEDESTRIAN FACILITY DESIGN

Exhibit 18-3 Pedestrian Level-of-Service

LOS A 2 Pedestrian Space >5.6 m /p Flow Rate 16 p/min/m At a walkway LOS A, pedestrians move in desired paths without altering their movements in response to other pedestrians. Walking speeds are freely selected, and conflicts between pedestrians are unlikely. LOS B Pedestrian Space >3.7-5.6 m2/p Flow Rate >16-23 p/min/m At LOS B, there is sufficient area for pedestrians to select walking speeds freely, to bypass other pedestrians, and to avoid crossing conflicts. At this level, pedestrians begin to be aware of other pedestrians, and to respond to their presence when selecting a walking path. LOS C Pedestrian Space >2.2-3.7 m2/p Flow Rate >23-33 p/min/m At LOS C, space is sufficient for normal walking speeds, and for bypassing other pedestrians in primarily unidirectional streams. Reverse-direction or crossing movements can cause minor conflicts, and speeds and flow rate are somewhat lower. LOS D Pedestrian Space >1.1-2.2 m2/p Flow Rate >33-49 p/min/m At LOS D, freedom to select individual walking speed and to bypass other pedestrians is restricted. Crossing or reverse-flow movements face a high probability of conflict, requiring frequent changes in speed and positions. The LOS provides reasonably fluid flow, but friction and interaction between pedestrians is likely. LOS E Pedestrian Space > 0.75-1.4 m2/p Flow Rate >49-75 p/min/m At LOS E, virtually all pedestrians restrict their normal walking speed, frequently adjusting their gait. At the lower range, forward movement is possible only by shuffling. Space is not sufficient for passing slower pedestrians. Cross- or reverse-flow movements are possible only with extreme difficulties. Design volumes approach the limit of walkway capacity, with stoppages and interruptions to flow. LOS F Pedestrian Space 0.75 m2/p Flow Rate varies p/min/m At LOS F, all walking speeds are severely restricted, and forward progress is made only by shuffling. There is frequent, unavoidable contact with other pedestrians. Cross- and reverse-flow movements are virtually impossible. Flow is sporadic and unstable. Space is more characteristic of queued pedestrians than of moving pedestrian streams.

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PEDESTRIAN FACILITY DESIGN 18.5.5 Pedestrian Facility Documentation 18.5.5.1 Projects that do not Warrant Pedestrian Accommodation

18-11

During project scoping, it may be determined that pedestrian facilities are not needed for a particular project. When such a determination is made, it should be documented in the Project Scoping Report/Design Report. One of the three exceptional circumstances listed below should be stated in this documentation: 1. The project exists on a road where pedestrians are prohibited by law. It has been determined that there is no need to provide a pedestrian crossing from adjacent pedestrian facilities. 2. The cost of establishing pedestrian facilities would be excessively disproportionate to the need or probable use. 3. The project exists in an area where sparsity of population or other factors indicate the absence of a need for pedestrian facilities. Note 1: Typically, excessively disproportionate is defined as exceeding 20% of the cost of the larger transportation project, but it should be determined on a project-by-project basis. Consensus should be reached between the project designer and the Regional Bicycle and Pedestrian Coordinator as to the reasonableness of providing pedestrian facilities within that particular project. Note 2: Project designers shall consider pedestrian movement during construction activities, even when a permanent facility is not warranted. If permanent facilities are warranted, then a temporary sidewalk should be provided. If permanent facilities are not warranted, occasional pedestrian traffic must still be safely maintained during construction. In no case shall pedestrian conditions during construction be less safe than the pre-construction condition. This may require the inclusion of a fully accessible temporary sidewalk. See the Work Zone Traffic Control Diagrams for pedestrian accommodation at: http://www.dot.state.ny.us/traffic/workzone/pedaccdiag.html . 18.5.5.2 Projects That Warrant Pedestrian Accommodation If pedestrian accommodation is warranted, the manner in which this will be accomplished should be discussed in the Design Approval Document. Specific features that address the projects needs, objectives, and design criteria are discussed for each alternative included in the feasible alternative(s) section of the Design Approval Document. Pedestrian facilities should be commensurate with the project type. For example, within a signal requirement contract, the pedestrian accommodation may be as simple as a leading pedestrian interval or all-red phase. Project limits should be established to carry pedestrian facilities to logical termini. Sidewalks should not usually end midblock. If there is evidence of travel to/from a pedestrian generator that is located within close proximity, the project designer should determine if it is feasible to extend pedestrian facilities to that generator. When accommodation of pedestrians is warranted, but there are extenuating circumstances that prevent doing so, then a nonconforming feature explanation is required and should be documented 03/30/06 18.5.5.2

18-12

PEDESTRIAN FACILITY DESIGN

as described in the Highway Design Manual, Chapter 5, Section 5.1. The Regional Bicycle and Pedestrian Coordinator should agree with the nonconforming feature explanation that documents the reason(s) for the omission of pedestrian facilities. The existence of districts or properties that are on or eligible for the National Register of Historic Places in the project area is not a justified reason to preclude new accessible pedestrian facilities in an area where such facilities are warranted. Pedestrian safety and accessibility are legitimate transportation concerns. Instead, project designers should work with the State Historic Preservation Office as outlined in ADAAG to determine the most appropriate placement and material for the warranted pedestrian facility. When it is decided that existing pedestrian facilities require reconstruction or substantial rehabilitation but the work cannot reasonably be accomplished as part of a project under consideration, the Region should identify the need for the work on its existing facilities transition plan. (See 28 CFR Part 35 Nondiscrimination on the Basis of Disability in State and Local Government Services, Section 35.150). If the pedestrian facility is owned by a municipality or other government entity, the municipality or other entity should be advised in writing that they are responsible for the accessibility of the facility and that they should consider adding the necessary improvements to their facility transition plan. 18.5.5.3 Meeting Minimum Standards and Guidelines When the need to accommodate pedestrians is determined to exist, facilities intended for them should be designed, constructed, and maintained in accordance with current regulations, guidelines, and standards. The Departments minimum standards and guidelines for pedestrian facilities are included or referenced in this chapter. Departure from pedestrian accommodation standards should be described as nonstandard features per Highway Design Manual Chapter 2, Section 2.6.16. Nonstandard pedestrian facilities need approval as nonstandard features in accordance with Highway Design Manual Chapter 2, Sections 2.6.16 and 2.8. The following references provide nationally accepted standards for pedestrian facilities. The Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities (ADAAG) (www.access-board.gov) are the primary regulatory standards that govern the design and construction of all pedestrian facilities in all Department projects. It is important to note that whenever facilities for persons with disabilities cannot fully meet the standards outlined in the ADAAG, a determination of each structural impracticability or technical infeasibility must be thoroughly documented in the permanent project record. See Section 18.6.1.2 for further information. This information will support the brief explanation that should be included in the Project Scoping and Design Reports as noted above. AASHTO Guide for the Planning, Design and Operation of Pedestrian Facilities.

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PEDESTRIAN FACILITY DESIGN AASHTO, A Policy on Geometric Design of Highways and Streets (Green Book). Manual on Uniform Traffic Control Devices http://mutcd.fhwa.dot.gov.

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Official Compilation of Codes, Rules and Regulations of the State of New York, 17 NYCRR Transportation, Volume B ( New York State Manual of Uniform Traffic Control Devices).

The Regional landscape architectural staff should be consulted for current ADAAG requirements. Also refer to Section 18.6.1.2 for additional guidance about structural impracticability and technical infeasibilities.

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18.5.5.3

18-14 18.6

PEDESTRIAN FACILITY DESIGN PEDESTRIAN FACILITY DESIGN

This section will provide project designers with information on how to design for pedestrian accommodation. It is not intended to cover all topics of pedestrian facility design. Rather, there are lists of references which will provide more in-depth information. Attributes of good highway design that should be thoughtfully and seriously considered when accommodating pedestrians are summarized below. Circulation The roadway should serve the needs of all users, including pedestrians. Balance Roadway features should work in concert balancing the needs of all users. Connectivity The roadway should provide connectivity/reasonable trip distances. Safety Pedestrians using sidewalks and street crossings should not feel threatened by vehicle traffic. Accessibility Sidewalks and crossings should be fully accessible to all users. Traffic Engineering Elements Physical/operational elements account for all users. Landscape Development Street furniture, vegetation, and aesthetic treatments should contribute to user safety, comfort and security.

For additional information see Reference 12 listed in Section 18.15 References. 18.6.1 Pedestrian Facility Design under the Americans with Disabilities Act (ADA) The Department has a duty to construct, maintain, monitor, and update, any facility it owns or maintains to meet the most current ADA standards. The Rehabilitation Act of 1973 (Section 504) requires nondiscrimination in all federally assisted programs, services, and activities. This means the programs, services, and facilities must be available to and usable by persons with disabilities. The Americans with Disabilities Act (ADA) requirements for federal, state, and local governments extend and increase the requirements in Section 504 of the Rehabilitation Act. The ADA requirements are more stringent and require public facilities to be accessible regardless of the funding source. The ADA is a civil rights law that requires nondiscrimination in the provision of public programs and facilities. Title II of the ADA requires state and local governments to make their programs accessible. The provision of opportunities for pedestrian travel is considered a program. Therefore, where pedestrian facilities are provided, access must be provided for persons with all kinds of disabilities, including access to intersections, regardless of their configuration. To accomplish this, the ADA requires effective communication with persons with disabilities, and in order to meet this requirement, state and local governments must respond to requests from disabled persons.

18.6.1

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PEDESTRIAN FACILITY DESIGN

18-15

The U.S. Department of Justices ADA implementation regulations barring discrimination in state and local government services (28 CFR Part 35) require that a public entity shall furnish appropriate auxiliary aids and services where necessary to afford an individual with a disability an equal opportunity to participate in, and enjoy the benefits of, a service, program, or activity conducted by a public entity. In determining what type of auxiliary aid and service is necessary, a public entity shall give primary consideration to the requests of the individual with disabilities (28 CFR 35.149 and 35.150). All pedestrian facilities designed, constructed, or altered, must meet or exceed the minimum requirements for design, construction, and alteration established in ADAAG. However, if full compliance is technically infeasible on alterations, the alteration must provide accessibility to the maximum extent possible. Refer to Section 18.4 for the definition of an alteration. ADA regulations require that sidewalk curb ramps must be constructed or reconstructed to meet current standards when any work, including roadway resurfacing or similar activities, involves work at intersections where sidewalks lead to street crossings. The connecting lengths of sidewalk between intersections must also be carefully examined for condition, accessibility, and continuity to determine the need for reconstruction, maintenance, or rehabilitation. These sections of sidewalks may not be required to be included in the scope of the resurfacing project, but should be included in the Regional Transition Plans which should have a reasonable estimated date for completion. Routine maintenance is the responsibility of the town, village, or city where the sidewalk is located. Refer to Section 18.14 for additional information about municipal maintenance responsibilities. When traffic signal installation or similar work involves demolition and reconstruction of a sidewalk, curb, curb ramp, or any other pedestrian facility that will be retained, the pedestrian facility must be replaced, reconstructed, or constructed to conform to the current accessibility standards. When a project involves the reconstruction of one side of an intersection, the Department is required to ensure that all pedestrian facilities within the intersection meet current ADA standards. ADA regulations also require that when private entities construct pedestrian facilities on the public right of way, the permit process should ensure that within the right of way, all elements and features of the pedestrian facility meet the accessibility requirements.

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18.6.1

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PEDESTRIAN FACILITY DESIGN

18.6.1.1 Additional Design Considerations for Persons with Special Needs In addition to mandated design requirements for persons with disabilities, the following are design considerations for areas where there are significant numbers of persons with special needs. A. Older Persons For projects that occur in areas where there are nursing homes, senior citizen housing, medical facilities, etc.: Minimize pedestrian crossing distances. Utilize a slower walking speed for signal timing at pedestrian crossings. Provide refuge islands. Provide pedestrian lighting to improve pedestrian visibility. Provide high visibility marking/delineation of crosswalks. Minimize complex vehicular turning movements. Increase sign retroreflectivity and letter size. Enhance traffic control devices with large indications. Use repetition and redundancy in signing.

For further information see Reference 3 in Section 18.15. B. Visually Impaired Persons The use of detectable warnings is the current practices for accommodating blind and visionimpaired pedestrians at intersections such as roundabouts and channelized turn lanes. Accessible pedestrian signals (APS) and other traffic control devices are typically installed at conventional intersections upon request of an individual or groups of individuals who would benefit by their existence. Federal regulations direct that pedestrian safety considerations, including installation of APS at street crossings be included, where appropriate. However, an interim product from NCHRP Project 3-62 recognizes that the types of APS used in the United States are not entirely adequate. The results of the project, when completed, are expected to form the basis for better guidance regarding the use of APS. The National MUTCD Section 4E.06 states, The installation of accessible pedestrian signals should be based on an engineering study, which should consider the following factors: Potential demand for accessible pedestrian signals. A request for accessible pedestrian signals. Traffic volumes during times when pedestrians might be present. The complexity of intersection geometry (from the pedestrian point of view).

18.6.1.1

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PEDESTRIAN FACILITY DESIGN The following is the recommended practice:

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The ADA requires effective communication with persons with disabilities and it requires state and local governments to respond to requests for accessible pedestrian crossings from pedestrians who are blind or vision-impaired. These ADA requirements are acknowledged in the National MUTCD Section 4E.06. Proactively assure there is outreach and dialogue with blind and vision-impaired persons and organizations that represent them during the Departments public involvement process for projects that may include roundabouts and/or channelized turn lanes. 28 CFR 35.160(a) requires that (a) public entity shall take appropriate steps to ensure that communications with members of the public with disabilities are as effective as with others. Decisions to employ pedestrian crossing features (e.g., beneficial geometric designs, traffic control devices (i.e., APS, flashing beacons, etc.), and way-finding techniques) to assist blind and vision-impaired pedestrians should result from effective communications with individuals, groups, or organizations and should be based on the following: A request or requests from blind or otherwise vision-impaired individuals and/or organizations that represent them. The frequency or likelihood of use by blind or vision-impaired pedestrians. The proximities to transit stops, government offices, medical facilities, places of employment, shopping, places that provide services to blind and/or other vision-impaired persons. Motor vehicle traffic conditions (e.g., volumes, speeds, vehicle mix, peaks, lulls, etc.), proximity to other accessible crossings, need for an individual requestor to cross. Special, unique, or unusual conditions such as motorists inability to clearly see pedestrians who are waiting to cross at intersections (e.g., obstructions, curved approaches, parking lanes) It is beneficial to involve an orientation and mobility specialist who teaches blind and other vision-impaired pedestrians how to find and use more difficult crossings such as roundabouts and channelized turn lanes. These people are usually familiar with traffic control devices, auxiliary aids, and other related services that benefit blind and vision-impaired persons. (Orientation and mobility specialists can be located by contacting organizations representing the blind and vision-impaired community or by contacting local centers for disabled persons.)

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18.6.1.1

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PEDESTRIAN FACILITY DESIGN

Pedestrian facility features that benefit pedestrians who are blind or are visually impaired include: Accessible text messages (larger print and raised text). Accessible audible pedestrian signals. Guide strips for way-finding. Physical barriers to prevent hazards in work zones. Provide pedestrian lighting. Utilize visual contrast in a consistent manner.

For further information see Reference 12 listed in Section 18.15 References. 18.6.1.2 Technical Infeasibility/Structural Impracticability Regional landscape architectural staff can provide current advice regarding site-related situations that may be the basis for exceptions to the technical provisions of the ADAAG standards. A finding of structural impracticability (new construction) or technical infeasibility (alterations) must be made relative to each feature or element the designer believes can not be constructed in full compliance with the current accessibility standards. As an example, if the minimum width of a walkway cannot be attained and a finding of site structural impracticability or technical infeasibility is made, the walkway cross slope and surface requirements must still comply with the appropriate ADAAG provisions. No blanket provisions for structural impracticability or technical infeasibility exist. Structural impracticability and/or technical infeasibilities should be identified as soon as possible. All structural impracticabilities and technical infeasibilities must be identified and documented in the design approval documents as discussed in HDM Chapter 2, Section 2.8.3. The designer must document that a pedestrian facility or element cannot meet the minimum requirements of the accessibility guidelines due to a specific structural impracticability or technical infeasibility. However, the design must ensure that each affected element is made accessible to the maximum extent feasible. See ADAAG Section 4.1.6 (1)(j). 18.6.1.3 Commercial or Public Buildings When projects affect pedestrian access from the public highway or from walkways along the public highway to adjacent commercial or public buildings or facilities, the Departments obligations are as follows: 1. If a walkway, ramp, or stairway to a principal entrance of an existing commercial or public building or facility has to be removed in its entirety or requires structural alterations due to the necessary completion of the Departments project and no other accessible route exists to that principal entrance, then the removed or altered walkway, ramp, or stairway must be replaced by an accessible route, meeting the ADAAG requirements for new construction, to the extent that it is technically feasible. If another accessible route to a principal entrance does exist, the walkway, ramp, or stairway may be replaced in kind or may be eliminated if the property owner agrees and if this alternative is consistent with the Building Code. In-kind replacements must otherwise meet 18.6.1.3 03/30/06

PEDESTRIAN FACILITY DESIGN applicable Department and Building Code requirements.

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2. If grade changes require the addition of one or two steps to an existing stairway, the steps can be added without significantly affecting the accessibility of the entrance but the added steps must have riser and tread dimensions that match the existing stairway (note that this only applies if steps can be added without altering the structure of the existing stairway). Designers are cautioned that if work on a stairway is done off the right of way, a release must be obtained. Commercial property owners may be especially concerned about the potential of making their businesses less accessible. 3. If all, or portions of, a walkway or stairway to any nonprincipal entrance of a commercial or public building or facility are removed or structurally altered, the walkway or stairway may be replaced or altered in kind, consistent with applicable building code requirements. However, replacement stairways constructed by the Department must also meet the ADAAG requirements for stairs and the other requirements of Section 18.8.1. 18.6.1.4 National Register of Historic Places The Department of Transportation must comply with the ADAAG accessibility requirements when dealing with districts or properties that are on or are eligible for the National Register of Historic Places. Full technical compliance with ADAAG is required unless such compliance would threaten or destroy the historic resource. In accordance with Section 106 of the National Historic Preservation Act, if the State Historic Preservation Officer (SHPO) or Advisory Council determines that compliance with the ADA will threaten or destroy the historic significance of the facility, the alternative requirements in ADAAG Section 4.1.7(3) may be used. These minimum requirements call for at least one accessible route or one accessible entrance. Access is still required. It should be clear that the imperative is to provide accessible public facilities, including those that involve historic resources. Not providing access is not an easily justified option. Continued changes to cultural and historic landscapes are to be expected. Widening sidewalks to meet Department standards, providing curb ramps, extending sidewalk systems, and making slight elevation changes to make adjacent facilities accessible usually should not, in and of themselves, have an adverse effect on the historic setting. Removing and replacing deteriorated walkway materials should not threaten or destroy the historic significance of the resource. 18.6.1.5 Reestablishing Pedestrian Routes to Private Residences ADA law does not apply to one- or two-family private residences, NYS Building Code does. The pedestrian route off of the public right of way and to a private residence may be replaced in kind, as long as it meets current building codes requirements and the Departments applicable stairway and railing standards. Project designers should also analyze each site to determine the most accessible solution. If several solutions for a particular situation are comparable in cost and meet building code and Department requirements, the homeowners preferences should be considered. Information about the Departments stair and handrail standards can be found in Section 18.8.1. 03/30/06 18.6.1.5

18-20 18.6.2

PEDESTRIAN FACILITY DESIGN Use of Shoulders as Pedestrian Facilities

When accommodation of pedestrian travel is warranted, then pedestrian facilities should be provided. The preferred facility for pedestrian travel along a road is a sidewalk. When the context of the project is such that sidewalks are not a feasible solution, the project designer must consider other pedestrian facility options. For example, if the project occurs on a high-speed, rural highway where the introduction of a curb is not acceptable, the pedestrian facility can be located along, but not immediately adjacent to the highway facility hence removing the need for a curb. See Section 18.6.3 for more information on Pedestrian Paths. Shoulders are not substitutes for a well-designed pedestrian facility. However, there may occasionally be a need to design shoulders as walkways where roadside space is constrained. For example, this has occurred along sidewalks where relatively short segments of shoulders were designed as public walkways to bypass obstacles, such as existing retaining walls or slopes where sidewalks could not be constructed. In such a situation, ADAAG requires that accessible design standards be used to design the segments of the shoulders that are intended to serve as walkways. This means that these segments of the shoulder must meet the ADAAG 2% maximum cross slope requirements. This conflicts with the normal 6% shoulder cross slope and may result in technical infeasibilities where the cross slope of the traveled way exceeds 2% (i.e., the insides of curves). Designers are reminded that Section 1156 of the Vehicle and Traffic (V&T) Law states When sidewalks are not provided any pedestrian walking along and upon a highway shall when practicable walk only on the left side of the roadway or its shoulder. Therefore, when shoulders will be used as pedestrian facilities, the designer should decide whether it is practicable for pedestrians to walk facing traffic or if provisions should be made for them to walk in either direction along one side of the road. The decision should be based on safety, e.g., the ability to cross the road safely, and other considerations. If pedestrians are expected to walk facing traffic, 1.2 m wide accessible shoulders may be sufficient and appropriate pedestrian crossings should be provided to access the shoulder along the opposite side of the roadway. When pedestrians may walk in either direction, the accessible shoulder width should be 1.525 m. Pedestrians are permitted to use the shoulders of most State highways, with the exception of interstates, parkways, and other similar controlled-access highways where they are specifically prohibited. Shoulders do not have to meet ADAAG standards when scoping and other studies indicate that sidewalks and/or other pedestrian facilities are not warranted.

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PEDESTRIAN FACILITY DESIGN 18.6.3 Pedestrian Paths

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Pedestrian paths are pedestrian facilities designed to facilitate pedestrian movement along a corridor where pedestrian facilities are warranted, but where sidewalks are not feasible or are inappropriate. Pedestrian paths differ from sidewalks in that they are not immediately adjacent to the roadway and do not require a curb. Pedestrian paths may also allow for the temporary completion of a pedestrian facility system until sidewalks can be constructed. Pedestrian paths are generally set back from the road and separated by a ditch, green area, or street plantings. These paths can be constructed along, but not immediately adjacent to a roadway or in another logical location. The alignment of a pedestrian path is more flexible than a sidewalk system. However, where pedestrian paths cannot be separated from roadways by at least 1.525 m, a suitable barrier should be considered. Factors that should be considered in making judgments regarding barrier need or type include: Is a barrier necessary to protect path users from motor vehicle encroachments? Is a barrier necessary to prevent path users from encroaching on the roadway?

Pedestrian paths used to complete a pedestrian system follow the same design requirements as sidewalks. That is, they must conform to the same surface treatment, cross slope, grade, and width requirements of the ADAAG discussed in Sections 18.6.5. If designed as a shared-use path, there are additional design standards used in order to accommodate multiple-user types. Refer to HDM Chapter 17, Section 17.5. 18.6.4 Guidelines for Installing Sidewalks The Department should design sidewalks as parts of projects whenever they are determined to be necessary and consistent with needs identified in the Project Scoping Report, Final Design Report, and the guidelines in this chapter. The Department shall ensure that sidewalks necessitated by highway work permit related projects are constructed under the terms of the work permits. Designers should provide sidewalks when adjacent land use includes pedestrian generators and destinations within close vicinity to one another, and/or where municipal or Regional/Metropolitan Planning Organization (MPO) transportation studies indicate the need for pedestrian facilities. The need for sidewalks should be documented in all Project Scoping Reports and Design Reports (see Section 18.5). In general, sidewalks are recommended along streets or highways (where pedestrians are permitted) in developed or developing areas, even where pedestrian activity may appear light. Specific pedestrian volume warrants for sidewalks along streets and highways are not established and actual counts may not reflect the demand for pedestrian facilities. Rather, the Project Developer should look for the potential of pedestrian traffic, using the Pedestrian Generator Checklist discussed in Section 18.5.1.

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18.6.4

18-22

PEDESTRIAN FACILITY DESIGN

No absolute criteria exist that define exactly where a sidewalk should be located or where it should begin or end. Designers should use their professional judgment, the Pedestrian Generator Checklist, the logical terminus principle, and the guidance presented in Exhibit 18-4. It should be noted that pedestrian facilities constructed under the terms of highway work permits should have logical termini to the extent practicable. Land developers, however, should not be required to purchase additional property in order to terminate pedestrian facilities at commercial entrances, streets, other sidewalks, etc. Sidewalks should be terminated by an accessible route connecting the sidewalk to the roadway shoulder or an existing pedestrian facility. Existing, deteriorated, or nonaccessible sidewalks (those not meeting the minimum requirements of current ADAAG standards) should be rehabilitated or replaced. Incomplete, but warranted, pedestrian facility systems should be made complete and should have logical termini. Existing but unnecessary sidewalks should be eliminated. However, if they are left in place, they must be accessible. The Design Report should document any decision to remove an existing sidewalk.

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PEDESTRIAN FACILITY DESIGN Exhibit 18-4 Guidelines for Locating Sidewalks in Developed Areas
Providing Sidewalks on New Streets

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Type of Area (land use, roadway functional classification, or density of dwelling units) Commercial, Industrial, and public service (all streets) Residential (along major and minor arterials) Residential (along collectors)

Providing Sidewalks on Existing Streets

Developed sides of these streets Developed sides of these streets Developed sides of these streets.

Developed sides of these streets Developed sides of these streets Developed sides of these streets. Preferred on both developed sides to prevent unnecessary crossings. If that is not feasible, sidewalks may be built only along one side of the roadway. The sidewalk should be built along the area with more pedestrian generators and destinations. Desirable on both developed sides to prevent unnecessary crossings, but needed on at least one side if vehicle traffic will exceed 400 vehicles/day. The sidewalk should be built along the area with more pedestrian generators and destinations. Needed on one side of these roadways if vehicle traffic exceeds 400 vehicles/day. The sidewalk should be built along the side with more pedestrian generators and destinations.

Residential neighborhood streets with detached residences less than 30 m apart

Developed sides of these streets

Residential neighborhood streets with detached residences an average of 30 m to 60 m apart

Residential local roadways with residences further than 60 m apart (see note 4.)

Desirable on both developed sides to prevent unnecessary crossings, but needed on at least one side if vehicle traffic exceeds 400 vehicles/day. The sidewalk should be built along the area with more pedestrian generators and destinations. Needed on one side of these roadways when vehicle traffic will exceed 400 vehicles/day. The sidewalk should be built along the side with more pedestrian generators and destinations.

1. Sidewalks frequently extend from the building face to the curb in heavily developed urban areas where structures are continuous and attached. Where sidewalks will be replaced or reconstructed in such areas, designers should pay attention to doorway and basement entrances, stairs, roof drains, utilities, trees, street furniture, snow storage space, etc. Clearance next to the face of buildings is generally recommended to be 0.5 m. ADAAG and the regional landscape architectural staff should be consulted early in the project design. Detailed grading plans with spot elevations and slopes may be useful in areas with limited space and building entrances. 2. Identifying nearby land use, such as schools, parks, shopping centers, and other commercial properties and their associated pedestrian traffic, will help determine whether sidewalks are needed on both sides of the street. See discussion on Pedestrian Generator Checklist Section 18.5.1 and Pedestrian Traffic Forecasting Section 18.5.3. 3. Sidewalks should be provided along both sides of roads, streets, and arterials where pedestrian access is needed or desired to schools, universities, office complexes, commercial establishments, post offices, transportation terminals and transit stops. The designer should discuss this with the regional landscape architectural staff or the Regional Bicycle Pedestrian Coordinator to determine the best sidewalk placement. 4. Professional judgment must be used to determine appropriate locations to begin and/or end sidewalks as development becomes less dense. Sidewalks should have logical termini.

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18.6.4

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PEDESTRIAN FACILITY DESIGN

18.6.4.1 Sidewalks on One Side of Street A sidewalk on one side of the street may be an adequate solution in certain situations, but is generally not recommended when both sides of the street are developed. This type of system causes pedestrians to cross streets more frequently, hence increasing their level of exposure to potential conflicts with vehicular traffic. Pedestrians may cross where drivers of vehicles do not expect them, but rather where it is more convenient for the pedestrian to access the sidewalk. For example, a pedestrian originating from a residence on the side of a road without pedestrian facilities may opt to cross midblock rather than travel along the roadway to reach an intersection in order to cross and access the sidewalk. The Vehicle and Traffic law requires pedestrians to walk facing traffic. This will create multiple crossings in residential areas to access the sidewalk when the pedestrians intended destination is to the right of their origin. 18.6.4.2 Public Concerns about Sidewalk Construction There will be occasions when pedestrian facilities are warranted, but to retain a certain atmosphere, they are not desired by residents, local officials, or other agencies. Two examples are along a rural or suburban highway where the community wants to retain a rural atmosphere regardless of local density and development patterns and in historic districts where the introduction of a curb and sidewalk may appear to affect the historic district. (See National Register of Historic Places, Section 18.6.1.4) Pedestrian safety and accessibility need to be considered under these circumstances. True contextual design will take into account all of these needs and work towards a solution that best meets the needs of stakeholders. Project designers should work with the community and/or the State Historic Preservation Office to determine how to best accommodate the needs of pedestrians while retaining the desired sense of place. Some solutions may be to provide pedestrian facilities along, but not immediately adjacent to the roadway (see Pedestrian Paths, Section 18.6.3), or may be to choose appropriate materials for the construction of the sidewalk, as long as it meets the standards established by ADAAG. 18.6.4.3 Municipality Concerns Regarding Sidewalk Maintenance There will be occasions when a municipality opposes the establishment of sidewalks because of the cost associated with sidewalk maintenance. This is not an appropriate reason to omit the construction of sidewalks. When sidewalk construction is necessary to address identified needs for safe and accessible pedestrian travel they should be provided. Sidewalk maintenance resolutions and agreements are not prerequisites to the construction of necessary pedestrian facilities. 18.6.4.4 Phased Development of Sidewalks In areas that are beginning to develop and sidewalks are not currently warranted, it is important to plan for future sidewalks. Items to consider are right of way acquisition for future sidewalks, deciding when to install sidewalks, and who will likely be responsible to fund and maintain the sidewalks. Municipalities may require private developers to provide pedestrian facilities with their site plan. In some cases, the sidewalks may not have termini at intersections or pedestrian generators. This should be considered staged construction that will temporarily leave incomplete 18.6.4.4 03/30/06

PEDESTRIAN FACILITY DESIGN

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sidewalks along some routes. This is not inappropriate, if the municipality has documentation of an intention to add pedestrian facilities to this area, as in a master plan or some other planning document. For further discussion, refer to Reference 12 listed in Section 18.15 References. The sidewalk should transition to the shoulder with a curb ramp. 18.6.5 Walkway Design

Note: Channelization (access control) islands are not necessarily sidewalks, especially where they are isolated from sidewalk systems and are located in areas where sidewalks are not warranted. When these islands are used solely for access control, they do not need to conform to the minimum standards listed in this section. 18.6.5.1 Widths The Departments standard minimum accessible width for pedestrian access routes is 1.525 m, exclusive of the curb. On structures, the minimum dimension from the face of the bridge rails or barriers to the face of the curb is 1.7 m. These widths accommodate continuous, two-way pedestrian traffic. Designers should consider a minimum accessible 1.2 m clear width only in limited, extremely restricted circumstances where obstructions cannot be avoided, such as around utility poles that cannot be relocated, immovable topographic features, structures, etc. Walkways should be designed consistent with the Departments standard minimum accessible width of 1.525 m, even if additional right of way has to be purchased or an easement obtained. Where obtaining additional widths is a not practicable, short segments of the accessible pedestrian access route as narrow as 1.2 m may be considered. However, ADAAG requires a 1.525 m x 1.525 m minimum passing space every 61 m when walkway widths are less than 1.525 m. See Exhibit 18-5. Exhibit 18-5 Passing Space

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18.6.5.1

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PEDESTRIAN FACILITY DESIGN

Effective walkway width is not total walkway width, but rather that portion of the walkway section that is free of obstructions or impedances and actually available for pedestrian travel. Additional clearance space should be provided near doors at building entrances, street appurtenances, etc. Where parking is provided adjacent to sidewalks, space should be provided to accommodate opening car doors outside of the pedestrian access route. This can be accomplished either through a minimum walkway width of 2 m, or the use of a buffer strip along the curb. Walkways in central business/walking districts and similar locations should be designed to provide for adequate capacity to accommodate the projected and/or build-out peak pedestrian volume. Care must be taken to avoid under-designing facilities that would lead to excessive congestion or overdesigning facilities that will not have enough traffic to warrant the increased width and appear uninviting to pedestrians. Additional space along a pedestrian access route, however, provides lateral clearance along building faces, basement entrances, and similar locations and accommodates shy distance, window shopping, and deliveries to businesses, building maintenance activities, and snow storage. To see the relationship between walkway widths and pedestrian volumes for a desired level of service see Exhibit 18-2. For more information refer to Reference 16 listed in Section 18.15. Regional landscape architectural staff can provide advice regarding the practical sidewalk widths that take pedestrian volumes, desired levels of service, and spatial and cost requirements into consideration. 18.6.5.2 Cross Slope The cross slopes on sidewalks or other walkways are governed by two somewhat opposing criteria. The flatter the cross slope the more easily it can be traversed by persons in wheelchairs, those using walkers as a mobility aid, as well as other members of the community. Conversely, the slope needs to be steep enough to provide adequate drainage. Generally, a 2% cross slope will satisfy both concerns. There will be cases where design constraints such as the slope of intersecting perpendicular driveway entrances or lack of right of way make it difficult to meet the desired cross slope and still achieve a 1.525 m, or greater, accessible width. However, the cross slope on the Pedestrian Access Route within a walkway shall not exceed 2%, even after application of construction tolerances. The only exception to this is at midblock crossings where an abrupt change in the roadway slope would cause an unnecessary hazard. When a 2% cross slope cannot be met for the entire sidewalk width, a 1.2 m wide minimum continuous pedestrian access route (with the required 2% cross slope) is required. The continuous pedestrian access route should not be placed directly adjacent to buildings or curbs. The remaining sidewalk width that is traversable by able-bodied persons may vary in cross slope up to a maximum 5%. Stepped curbs, paving blocks, grassed slopes, or other appropriate surfaces that are clearly different than the sidewalks surface, may be placed adjacent to the sidewalk in order to accommodate the necessary changes in grade. Refer to Section 18.4 for the definition of Pedestrian Access Route.

18.6.5.2

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PEDESTRIAN FACILITY DESIGN 18.6.5.3 Walking Surface

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Walkways constructed on Department projects must meet the ADAAG requirements for a stable, firm, and slip-resistant surface. They should be hard-surfaced, smooth, and durable and provide for all-weather use. A. Reduced Vibration Zone The Pedestrian Access Route (PAR) should include a minimum 1.2 m Reduced Vibration Zone, particularly within crosswalks. This is a narrower route within the boundaries of the PAR that is relatively smooth and free of irregular surface features, e.g., exposed aggregate, pavers with rounded edges or chamfered edges greater than 6 mm, cobblestones, stamped concrete, and other types of rough or jointed surfaces. A reduced vibration zone minimizes the sometimes painful vibration persons using wheeled mobility aids may experience traversing rough and uneven surfaces. Examples of reduced vibration surfaces include squared edge pavers and pavers with edges chamfered 6mm or less. As a general guide, surface imprints wider and deeper than 6 mm would not be considered vibration-free. At crosswalks the Reduced Vibration Zone can be bordered with other more aesthetic surface treatments inside or outside the standard crosswalk markings. (See Exhibit 18-6.) Refer to Section 18.4.1 for discussion of Alternate Crosswalk Treatments. Exhibit 18-6 Crosswalk Surface Treatment

Photo courtesy of Pattern Paving Company

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18.6.5.3

18-28 B. Vertical Alignment

PEDESTRIAN FACILITY DESIGN

Walking surfaces are permitted to have vertical changes in level up to 6.4 mm high (see Exhibit 18-7). Changes in level between 6.4 mm and 13 mm high maximum shall be beveled with a slope not steeper than 1:2. Changes in level exceeding 13 mm shall be treated as a ramp (slope requirements, cross slope requirements, etc). Exhibit 18-7 Walking Surface Permitted Change in Level (Source ADAAG)

C. Permitted Openings In general, grates, access covers and similar surfaces should not be placed within the PAR. If it is technically infeasible to avoid placing them in the PAR, then the following conditions must be met, as shown in Exhibit 18-8: Openings shall not allow passage of a sphere more than 13 mm diameter. Elongated openings shall be placed so that the long dimension is perpendicular to the dominant direction of travel. Grates, access covers and similar surfaces shall not be located on curb ramps, blended transitions or landings. Grates, access covers and similar surfaces shall be slip resistant.

Exhibit 18-8 Walking Surface Permitted Openings (Source ADAAG)

18.6.5.3

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PEDESTRIAN FACILITY DESIGN 18.6.6 Placement within the Right of Way

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Sidewalks should be located as far as practicable from the travel lanes. The desirable width of the space between the edge of sidewalk and the back of curb or shoulder is 2.5 m or more on all but low-traffic-volume streets and roads. Wider setbacks enhance the real and perceived levels of safety associated with walking close to high-speed, high-volume roadways and improve pedestrian comfort and convenience by moving them away from wind blast, dust, noise, and water splashing. When 2.5 m is not feasible, the desirable minimum setback widths are depicted in Exhibit 18-9. The area between curbs or shoulders and sidewalks also provides: Storage space for snow. Storage space for trash and leaf collection. Areas for street trees. Areas for utilities, street furnishings and traffic signs. Space for changes in grade so that sidewalk grade variations at driveways are minimized. Space to accommodate grade differences between street and buildings while providing 2% sidewalk cross slope.

Refer to HDM Chapter 3, Section 3.2.11.1 for a detailed discussion of sidewalk setbacks and snow storage widths. HDM Chapter 10, Section 10.2.1, 10.2.2.4.B, and 10.2.2.4.C also give guidance on additional clear zone requirements which may affect sidewalk location and providing curbing with sidewalks.

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18.6.6

18-30

PEDESTRIAN FACILITY DESIGN

Exhibit 18-9 Sidewalk Placement within the Right of Way

18.6.6

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PEDESTRIAN FACILITY DESIGN 18.6.7 Pedestrian Facility Design Elements

18-31

Pedestrian facility design elements contribute to function and comfort of the pedestrian facility system. The need for pedestrian design elements should be discussed with the locality and should be designed or selected to fit within the context of the project area. Pedestrian facility design elements should be placed logically in association with their intended use. These elements should not obstruct the visibility of pedestrians or motorists approaching an intersection. These elements must be located to avoid creating obstacles for pedestrians with vision impairments and should not be located within the effective width of the pedestrian facility, nor may they extend into the pedestrian access route. In addition, the following are clearances as required by the ADAAG:

No objects shall hang lower than 2.0 m over the normal path of travel. (See Exhibit 18-9.) No object mounted on a wall or post or free standing shall have a clear, open area under it higher than 0.685 m above the ground. (http://www.access-board.gov/ada-aba/final.htm#pgfId-1006249) No object higher than 0.685 m attached to a wall shall protrude more than 100 mm. No protruding element shall reduce the clear width of the circulation path to less than 1.2 m. 18.6.7.1 Pedestrian Lighting Pedestrian lighting can improve the safety of pedestrians and increase their comfort and sense of security. Pedestrian lighting is recommended in areas of high concentration of pedestrian travel at intersections or other pedestrian crossings and in areas where there is significant dusk or nighttime pedestrian activity. The Departments Policy on Highway Lighting, and the AASHTO Informational Guide for Roadway Lighting guides the selection of locations at which fixed-source lighting should be provided and presents design guidance for their illumination. The AASHTO guide also contains a section on the lighting of tunnels and underpasses. For additional information on lighting see References 19 and 25 in Section 18.15. 18.6.7.2 Benches The availability of places to rest and congregate adds to the overall pedestrian environment. As the population is aging, an increasing number of pedestrians will be elderly persons who cannot walk long distances without stopping to rest. Project designers should consider providing benches at appropriate intervals, especially in areas near civic centers, nursing homes, and hospitals where there will likely be a relatively high concentration of elderly persons. Another option is to provide space for benches, which will be supplied by the municipality. It is appropriate to work out a maintenance agreement with the municipality for the repair or replacement of any damaged benches. Refer to the US Forest Service Recreation Area Guidelines for the scoping requirements of bench placement. Bench design should comply with the technical requirements of Section 903 of the revised ADAAG. 03/30/06 18.6.7.2

18-32

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18.6.7.3 Street Trees and Other Plantings Street trees create an aesthetically pleasing buffer between the roadway and the pedestrian facility and may contribute to traffic calming when designed appropriately. Trees and shrubs should not be placed where they will obstruct the visibility of pedestrians, bicyclists, or motorists approaching an intersection. If tree grates are necessary, they should be placed outside of the PAR. If that is not possible, the tree grates should be flush with the pedestrian facility and meet the other requirements discussed in Section 18.6.5.3 B. 18.6.8 Pedestrian Facility Appurtenances Pedestrian facility appurtenances generally refer to stationary outdoor objects such as signs, signal poles, lighting, telephones, litter containers, parking meters, fire hydrants, mailboxes, newspaper vending machines, utility poles, planters, etc., that may be located adjacent to the pedestrian access route. The functional and aesthetic quality of the street environment depends on the design, selection, and location of the appurtenances. When possible, appurtenances should be chosen for their appropriateness, size and scale, locations, and the needs and requirements of users. The designer should consider the impact that the total number of individual appurtenances used will have on the visual appearance and function of the street environment. To the extent practicable, appurtenances should be compatible with each other as well as the surrounding visual and cultural environment. Pedestrian facility appurtenances follow the same clearance restrictions as pedestrian facility elements listed under Section 18.6.7. To ensure that the street and sidewalk environments are safe, functional, and pleasant to use, designers should: Coordinate the design, selection, and location of all appurtenances with the agencies responsible for their operation and maintenance. Refer to ADAAG and the NYS MUTCD for information regarding sign heights and placement in walkways, distances that objects may protrude into accessible routes, etc. Ensure the project roadside clear area and sight distance requirements are met when selecting and locating pedestrian facility appurtenances. Develop appropriately scaled drawings (i.e., 1:250) of the work to accurately locate and coordinate the various appurtenances associated with pedestrian facilities. All walkwayrelated drainage structures, crosswalks, and curb ramps should be shown. All of these elements should be drawn to scale and carefully labeled. The drawings should be part of, or incorporated into, the contract documents.

18.6.8

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PEDESTRIAN FACILITY DESIGN The benefits of being specific in the contract plans are:

18-33

It relieves the Engineer-in-Charge of having to make specific location decisions during construction. It helps ensure that pedestrian-facility-related appurtenances will not be located in the pedestrian access route or in the curb ramps and their landings. It allows the designer to anticipate potential conflicts between all of the elements in the design. It allows consolidation of signs onto a minimum number of posts, thereby reducing visual clutter. It enhances the safety of pedestrians with disabilities by ensuring that signs, poles, and grates are not placed in, or encroach upon, the sidewalks or curb ramps and that appurtenances will not block motorists views of pedestrians at crosswalks.

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18.6.8

18-34

PEDESTRIAN FACILITY DESIGN

18.7 PEDESTRIAN CROSSINGS Intersections should be designed with the premise that pedestrians will be present (see Section 18.5.5.1 for exceptions), and will be able to cross the street safely. This requires that project limits be established so entire intersections are included. Some attributes associated with good intersection-crossing design are listed in Exhibit 18-10. Since vehicular speed is a critical aspect of pedestrian safety, traffic calming measures should be considered in areas of significant pedestrian crossings. For more information on traffic calming, see HDM Chapter 25 and References 4, 8, 12, and 28 listed in Section 18.15. Where public streets with sidewalks include opportunities for street crossings at intersections, ADA regulations require curb ramps with detectable warnings. In addition, designers should take into consideration specific pedestrian groups who may use the project site, including a predominance of children, elderly persons, or persons with disabilities. Child behavior may be unpredictable, and they may be prone to taking risks. Some elderly persons and persons with disabilities may have problems with diminished vision, reflexes, decision-making skills, and may have other physical impairments that reduce their walking speed. Exhibit 18-10 Best Practices for Pedestrian Crossing Design at Intersections Attributes Explanation Clarity, Directional, and Instructional Information (e.g., signing and audio/tactile cues as needed) Convenient Predictability Visibility It should be obvious to motorists that there will be pedestrians present; it should be obvious to pedestrians where best to cross. Pedestrians will cross where it is most convenient. The placement of crossings should be predictable. Additionally, the frequency of crossings should increase where pedestrian volumes are greater. The location and illumination of intersection crossings allows pedestrians to see and be seen by approaching traffic while crossing. The pedestrian does not have to wait unreasonably long for an opportunity to cross. The time available for pedestrians to cross accommodates users of all abilities. Provide a 1220 mm minimum path within the crossing which eliminates or minimizes rough or jointed surfaces. Conflict points with vehicular traffic are few, and the distance to cross is short or is divided into shorter segments by refuge islands or medians. The crossing is free of barriers, obstacles, and hazards, and is accessible to all users. 03/30/06

Reasonable delays Adequate Crossing Time Reduced Vibration Zone Limited Exposure Clear and Accessible Crossing

18.7

PEDESTRIAN FACILITY DESIGN 18.7.1 Pedestrian Street Crossing Dynamics 18.7.1.1 Crossing Opportunities and Path Diversion Distance

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Based on FHWA research and AASHTO guidance, 1.6 km is recognized as the maximum walking distance that most healthy/able-bodied people would be willing to undertake. However, the research also states that the majority of pedestrian trips are 0.4 km in length. Subject to good engineering judgment, 0.4 km is an appropriate average distance for accommodating most pedestrians of all abilities, outside of high-pedestrian traffic zones. In high-pedestrian traffic zones, or central business/walking districts, pedestrian crossings spaced between 100 m and 150 m apart would be reasonable and may correspond with the typical block lengths in high-pedestrian traffic zones. Suggested spacing of crossings are as follows: Central business/walking districts from 100 m to 150 m apart and based on density. Urban or suburban residential/retail areas based upon density/ land use and not to exceed 0.4 km. Low-density rural centers/seasonal use areas as needed. It is easier to find crossable gaps.

The maximum distance that people with disabilities should reasonably be expected to divert from their intended path would be between 50 m and 75 m. For more information, see Reference 12 in Section 18.15 References. 18.7.1.2 Pedestrian Crossing Speed The typical walking speed used in design for pedestrians is 1.2 m/s. However, there may be contextual situations that require the consideration of a longer crossing time (See Exhibit 18-11). Examples include pedestrian facilities serving nursing homes, elementary schools, or medical facilities. When determining the proper walking speed for crossing an intersection, project designers should consider pedestrians who may be disabled, or are age 65 years or older, and 14 years and younger. This information is available by county, from the NYS Statistical Year Book. For more information, see Reference 1 in Section 18.15. The AASHTO Policy on Geometric Design of Highways and Streets, and Guide for the Planning, Design and Operation of Pedestrian Facilities, along with the NYS and national MUTCD guidance gives designers the option of using a slower walking speed such as 0.8 to 1.1 m/s. Exhibit 18-11 provides some examples of the length of time necessary to cross various distances by different pedestrian populations.

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18.7.1.2

18-36

PEDESTRIAN FACILITY DESIGN Mobility-Impaired Crossing Time at 0.8 m/s 9 seconds 12.75 seconds 17.25 seconds 21.75 seconds 26.25 seconds

Exhibit 18-11 Crossing Distances, Speeds, and Time Crossing MUTCD Normal Older Adult Distance Crossing Time at Crossing Time at 1.2 m/s 0.9 m/s 7.2 m (2 lanes*) 6 seconds 8 seconds 10.2 m (2 lanes w/bike lanes**) 13.8 m (3 lanes w/bike lanes**) 17.4 m (4 lanes w/bike lanes**) 21.0 m (5 lanes w/bike lanes**) 8.5 seconds 11.5 seconds 14.5 seconds 17.5 seconds 11.3 seconds 15.3 seconds 19.3 seconds 23.3 seconds

* Assumes a 3.6 m vehicular lane width. ** Assumes a 3.6 m vehicular lane width, and a 1.5 meter bicycle lane width. Adapted from: Pedestrian Facilities Guidebook, Washington State Dept. of Transportation, 1997. 18.7.2 Intersection Types 18.7.2.1 Continuous Right Turns Continuous right turns are utilized to maximize vehicular efficiency through signalized intersections, including single-point urban interchanges. Continuous right turns are sometimes used in roundabouts. While this type of movement benefits vehicular level-of-service, continuous right turns are generally not recommended in areas where high pedestrian activity may occur. If continuous right turns are deemed necessary because of capacity, designers should ensure that visibility of the presence of pedestrians is maximized. Additionally, designers should consider the use of yield to pedestrian signs or pedestrian activated signals. 18.7.2.2 Single-Point Urban Interchange (SPUI) Single-point urban interchanges are desirable choices for select locations due to their efficiency. This type of intersection has the potential to be the most dangerous for pedestrians because: The configuration of the intersections is such that pedestrian crossings are longer. Vehicles approach pedestrians from behind. Vehicles travel at a greater speed. The cycle time for signals is longer, which may cause the pedestrian to cross on red.

SPUIs are not recommended for areas where high pedestrian activity may occur or in situations where higher percentages of children or the elderly may need to navigate through the interchange. 18.7.2.2 03/30/06

PEDESTRIAN FACILITY DESIGN 18.7.2.3 T Intersections

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Designers need to determine where it is appropriate or necessary to provide opportunities for pedestrians to cross through streets at T intersections and the need for signs where pedestrians may not cross the through street or road. Consideration should be given to the comfort, convenience, and safety of pedestrians, particularly persons with disabilities. Crosswalks (marked or unmarked) across through-streets cannot always be located immediately at every T intersection. However, designers should consider the spacing between intersections, location of pedestrian-traffic generators, common pedestrian travel routes, location of bus stops, postal drop boxes, etc., to determine appropriate crosswalk locations. For further information see References 3 and 28 listed in Section 18.15 References. Exhibit 18-12 Crossing Opportunities at T Intersections

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18-38 18.7.2.4 Roundabouts

PEDESTRIAN FACILITY DESIGN

Design and operational characteristics of roundabouts have the following generic characteristics that make them more conducive to pedestrian traffic activity than conventional signalized intersections. Splitter islands provide refuge for pedestrians and break up the crossing length into smaller distances. Collisions at roundabouts involve low speeds and low angles of impact, and therefore, are less likely to result in serious injury. The reduced speed minimizes speed differential and creates a more balanced operating environment for pedestrians. When Pedestrian Facilities are Warranted

A.

Accessible pedestrian facilities should be provided through roundabouts when such facilities are warranted, including, but not limited to cut-through splitter islands with detectable warnings, sidewalks and curb ramps with detectable warnings. Depending upon vehicular and pedestrian characteristics and volumes, the creation of crossable gaps may require additional design and/or signal actuation measures. In multilane roundabouts, geometric design should avoid speed differentials that may contribute to multiple-threat crashes. Design considerations for pedestrian crossings at roundabouts may include the following: Location/alignment of the splitter island. Location/alignment of the approach crosswalk. Determining the need for midblock or off-set crosswalk design. Restricting pedestrians from crossing to the central island. Type of warning or regulatory signing Design lighting to adequately illuminate the crossing and minimize back lighting of pedestrians. Optimal vehicular entry/exit deflection for maximizing safety for both pedestrians and vehicles. When Pedestrian Facilities are not Warranted

B.

According to the Vehicle and Traffic Law, pedestrians are permitted to walk facing traffic along the left side of the roadway or its shoulder. Therefore, when it is determined during project scoping that pedestrian facilities are not warranted, the occasional pedestrian may use the shoulder and walk in the direction facing traffic.

18.7.2.4

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PEDESTRIAN FACILITY DESIGN

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Cut-through splitter islands should not be included in roundabouts where pedestrian facilities are not necessary. Cut-through splitter islands should only be provided at roundabouts where a complete pedestrian system is included. C. Blind Persons and Vision-Impaired Pedestrians There are no specific current practices for accommodating blind and vision-impaired pedestrians at roundabouts and channelized turn lanes. However, accessible pedestrian signals (APS), other traffic control devices, and geometric designs are typically installed at conventional intersections upon request of an individual or groups of individuals who would benefit by their existence. Too little traffic, too much traffic, and traffic that doesnt alternately stop and go can cause problems for pedestrians who are blind or have other vision impairments. Most blind pedestrians are trained to listen for surges of traffic parallel to their direction of travel (such as occurs at stop signs and signals at traditional intersections) in order to know when they have an opportunity to cross a street. These necessary acoustic cues do not occur at roundabouts and may be absent or confusing at channelized turn lanes. To date, most guidelines related to installation of APS are related to traditional intersections. These guidelines are not generally applicable to roundabouts or channelized turn lanes. However, it may be impossible for blind and otherwise vision-impaired pedestrians to obtain usable orientation and directional information about the crossings by using acoustic and other traditional cues and way-finding techniques. In short, it can be difficult or impossible for blind and otherwise vision-impaired persons to find pedestrian crossings at roundabouts and channelized turn lanes. It can also be difficult or impossible for them to successfully determine opportunities to safely cross these roadways unless geometric designs and/or traffic controls that provide crossing location information and safe crossing opportunities are implemented. Current research is now being conducted. NCHRP Project 3-78 will identify, test, and recommend a range of geometric design and/or traffic control device treatments with a potential to improve the ability of blind and other vision impaired pedestrians to safely cross at roundabouts and channelized turn lanes. This research is not likely to be completed until sometime in 2008. See Section 18.6.1.1 for design recommendations to accommodate pedestrians who are blind or visually impaired. 18.7.2.5 Grade-Separated Pedestrian Crossings Grade-separated pedestrian crossings allow for the uninterrupted flow of pedestrian movement separate from vehicle traffic and can improve crossing safety when appropriately located and designed. Some options for grade-separated crossings include overpasses (bridges, elevated walkways) and underpasses (tunnels, below grade networks).

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18.7.2.5

18-40

PEDESTRIAN FACILITY DESIGN

There are issues of concern regarding grade-separated crossings. These crossings are quite expensive and may be visually obtrusive. Other concerns are the personal security of the users and the possibility of vandalism. There are also concerns regarding the ability to safely traverse these facilities during a mass evacuation. For more information, see References 8, 12, and 28 listed in Section 18.15. 18.7.2.6 Midblock Crossings Midblock crossings should be designed taking pedestrian, bicyclist, and motorist safety into consideration. Location and design details will depend upon the distance between signalized crossings, vehicle operating speeds, frequency and duration of crossable gaps at adjacent intersections with concurrent phasing, availability of pedestrian refuge islands, the locations of pedestrian trip generators (including transit stops), and the percentage of pedestrians who are elderly, disabled, and/or children. The project scoping reports and design reports should discuss the factors leading to a decision to install midblock crossings. NY State Vehicle and Traffic Law states that When traffic control signals are not in place or not in operation, the driver of a vehicle shall yield the right of way, slowing down or stopping if need be to so yield, to a pedestrian crossing the roadway within a crosswalk on a roadway upon which the vehicle is traveling. Where midblock crossings are used, advance pedestrian crossing signs and pedestrian crossing location signs should be provided to warn motorists of pedestrian crossing activity. In-street signing, traffic calming, or signals may also be considered. (Note: See Traffic Engineering Directive OS 05-002 for information on in-street signing). All signs, crosswalk markings, signals, or traffic calming measures shall be provided in accordance with the NYS MUTCD, and Chapter 25 of the Highway Design Manual. Designers should consult with the Regional Transportation Systems Engineer for additional guidance. In order to prevent a multiple-threat crash, it is recommended to use an advance stop bar/yield line at midblock crossings in multilane roads. A multiple-threat crash is a situation that may occur when a driver in the first travel lane stops for a pedestrian, but blocks the line of sight between a pedestrian and a driver in the second travel lane. (See Exhibit 18-13.) Use of an advanced stop bar/yield line can open up the line of sight for the driver and the pedestrian. (See Exhibit 18-14.) Information on advanced stop bar/yield line can be found in Section 3B.16 of the National MUTCD. For more information on midblock crossing see References 4, 8, 12, 22, and 28 listed in Section 18.15.

18.7.2.6

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PEDESTRIAN FACILITY DESIGN Exhibit 18-13 Multiple-Threat Crash

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Designing Pedestrian Facilities for Accessibilities Training, APBP and FHWA, 2005

Exhibit 18-14 Advance Stop Bar (note: an advanced yield marking can also be used)
Designing Pedestrian Facilities for Accessibilities Training, APBP and FHWA, 2005

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18.7.2.6

18-42

PEDESTRIAN FACILITY DESIGN

18.7.2.7 Walkway/Driveway Intersections Where a driveway crosses a pedestrian access route, the intersection surface, slope, etc., shall conform with the accessible walkway requirements established by ADAAG (see Exhibit 18-15). At these intersections, it is recommended that the driveway conform to the sidewalk elevation. When that is not feasible, the walkways downward slope to accommodate the driveway crossing should be as flat as possible, not to exceed 8.33%. The walkway surface material should continue across the driveway to indicate that the area is still the pedestrian access route and that the driveway is crossing the walkway, not the other way around. In general these intersections do not require detectable warnings. However, major driveway entrances, (i.e., those that function like streets and utilize traffic control devices) do require detectable warnings. See Section 18.7.4. For more details on walkway crossings and access design for pedestrians, see References 8, 12, and 28 listed in Section 18.15. Exhibit 18-15 Locations Where Driveways Cross Sidewalks

18.7.2.8 Pedestrian/Rail Crossings Detectable warnings are required where railroad tracks cross a pedestrian access route (PAR).

18.7.2.8

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PEDESTRIAN FACILITY DESIGN

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Ordinarily, ADAAG prohibits surface openings greater than 13 mm in the direction of travel along PARs. However, surface gaps at rail crossings are exceptions. These gaps must be at least 64 mm to safely accommodate rail car wheel flanges and, due to variations in load and wheel play, the gaps must be 75 mm or more to accommodate heavy freight trains. Research is ongoing to determine the best practice of accommodating both the railroad car wheel flanges and the pedestrian utilizing a wheel chair at Pedestrian/Rail Crossings. 18.7.3 Curb Ramps/Blended Transitions Note: Blended Transitions may be used singularly or in combination with curb ramps to connect the PAR to each pedestrian street crossing. The standards for curb ramps apply to blended transitions with the exception being the running slope of a blended transition should be 5% maximum. Guidance for the design of sidewalk curb ramps is found in the ADAAG and the 608 Series Standard Sheet Sidewalk Curb Ramp Details. In addition to the Departments standard sheets on curb ramp design, the Department of Public Service of Akron, Ohio, has developed an extensive collection of curb ramp standard construction drawings. They can be viewed at http://ci.akron.oh.us/asp/drawings/standard.asp. For more information on curb ramp design, see Exhibit 18-16 and References 8 and 12 listed in Section 18.15. The Departments standards for curb ramps are as follows: The minimum width for sidewalk curb ramps is 1.525 m. Curb ramps should be constructed with the running slope no flatter than 5% and the maximum traversable slope in the direction of pedestrian travel not to exceed 8.33%. However, in situations where the roadway itself exceeds 8.33%, the length of a parallel curb ramp does not have to exceed 4.5 m. The project designer may choose to continue the ramp at an 8.33% slope beyond the 4.5 m, or opt for a slope greater than 8.33% after the 4.5 m. Curb ramps must be provided wherever accessible routes cross curbs. Curb ramps must be installed at all corners of intersections containing sidewalks. Perpendicular curb ramps (i.e., perpendicular to the flow of pedestrian traffic) must have a level landing at the top. Grates, access covers and similar surfaces shall not be located on curb ramps, blended transitions or landings. Curb ramps require the use of detectable warnings, see Section 18.7.4. Utilities, signs, and other fixed objects may not be placed in a curb ramp, or in a manner that interferes with the use of the curb ramp. Single diagonal or depressed corner curb ramps serving two street crossing directions should be avoided in new construction and should only be considered where conditions specifically require their use.

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18.7.3

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PEDESTRIAN FACILITY DESIGN

18.7.3.1 Directionality versus Perpendicular Curb ramp design and placement should be determined by the design constraints of the sidewalk, street and intersection. The ideal design incorporates a separate curb ramp for each direction of pedestrian traffic, oriented perpendicular to the curb, and aligned with the direction of pedestrian flow. Recognizing that the ideal is not always possible, curb ramp design has some flexibility, but not at the expense of wheelchair or scooter usability. In order to design the best possible curb ramp, designers should recognize the issues behind directionality and alignment perpendicular to the curb. Directionality is important for blind persons and persons with vision impairments. When the curb ramp is aligned with both the sidewalk and the crosswalk, visually impaired pedestrians have a straight line of travel A curb ramp that is designed to be perpendicular to the curb minimizes surface warping. Surface warping is an issue as it may cause wheels on a wheelchair or scooter to lift off the surface. With one or two wheels in the air, the chair or scooter user experiences some loss of control until all four wheels make contact with the surface. This instability problem can be minimized by having the curb ramp placed at a right angle to the curb. Often, the issues of directionality and ramp alignment perpendicular to the curb are directly at odds with one another. Currently the recommendation from the Access Board encourages directionality, provided that it is not provided at the expense of wheelchair or scooter usability, that surface warping at the street/curb ramp interface is minimized, and the cross slope of the ramp does not exceed 1:50.

18.7.3.1

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PEDESTRIAN FACILITY DESIGN Exhibit 18-16 Curb Ramp Design

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Required or Design Best Practices Rationale Level landings are critical to allow Provide a level maneuvering area or Required wheelchair users space to maneuver landing at the top of the curb ramp. on or off of the ramp. Without a detectable warning, people Clearly identify the boundary between with vision impairments may not be the bottom of the curb ramp and the Required able to identify the boundary between street with a detectable warning. the sidewalk and the street. Assistive devices for mobility are Design ramp grades that are Required unstable if one side of the device is not perpendicular to the curb. in contact with the surface. Place the curb ramp within the marked Pedestrians outside of the crosswalk or unmarked crosswalk area. Required area are less likely to be seen by drivers because they are not in an expected location. Severe or sudden grade changes may The counter slope of the gutter or street not provide sufficient clearance for the at the foot of a curb ramp, landing or Required frame of the wheelchair, causing it to blended transition shall be 5% tip forward or backward. maximum. Design a ramp to eliminate the need to Maneuvering on a steep grade is turn or maneuver on the ramp surface. Required difficult and hazardous for people with mobility impairments. Gradual slopes make it difficult for Provide a curb ramp (and temporary people with vision impairments to curb ramps) with detectable warnings Required detect the presence of a curb ramp. that can be visually distinguished from the surrounding terrain. Design the ramp and the gutter with a Ramps should have minimal cross cross slope of 2.0 percent. (required) Required slope so users do not have to negotiate a steep grade and cross slope simultaneously. Water, ice, or debris accumulation will Provide adequate drainage to prevent decrease the slip resistance, and the build-up of water or debris on or at Best Practice eventually degrade the physical the bottom of the curb ramp. condition of the curb ramp surface. Maneuvering over any vertical rise Transitions from ramps to gutter and such as lips and defects can cause streets should be flush and free of Required wheelchair users to propel forward vertical changes of level. (required) when wheels hit this barrier. When wheelchair users approach a Align the curb ramp with the crosswalk curb ramp, they often build up so there is a straight path of travel from Best Practice momentum in the crosswalk in order to the top of the ramp to the center of the get up the curb ramp grade. This roadway and to the curb ramp on the alignment may be useful for the vision other side. impaired.
Adapted from: FHWAs Designing Sidewalks and Trails for Access, Part 2, September 2001.

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18-46 18.7.4 Detectable Warnings

PEDESTRIAN FACILITY DESIGN

A detectable warning is a walkway surface treatment, detectable by blind persons and persons with low vision. Americans with Disabilities Act regulations require detectable warnings to be constructed on permanent and temporary sidewalk curb ramps at street intersections, curb ramps or cut-throughs in median/refuge islands, and in-street or cross-sidewalk rail crossings and blended transitions. Detectable warnings are not limited to public streets, but are also required at stop- or yieldcontrolled entrances to commercial or public facilities where the entrances function like public streets. Detectable warnings should not be installed at relatively minor entrances such as driveways at gasoline stations or similar facilities, unless they are controlled by an official signal or sign, as the intent is to provide a warning to pedestrians that they are crossing a significant (street or street-like) vehicular passageway. The need to install detectable warnings is triggered by any of the following conditions: When curb ramps or blended transitions are constructed or altered as a part of projects undertaken by the Department. When curb ramps or blended transitions are constructed or altered as a part of projects requiring highway work permits. When curb ramps fall within project limits of resurfacing projects, or other alterations, regardless of whether done by capital construction contract, vendor-placed paving contract, NYSDOT Maintenance forces, or work performed under highway work permits.

Note: When a curb ramp is constructed or altered in a project, the curb ramp on the opposite side of the vehicular passageway needs to be upgraded with detectable warnings. When the altered or constructed curb ramp is located within an intersection, all the curb ramps within that intersection are to be upgraded with detectable warnings. Project limits need to be determined accordingly to ensure the inclusion of detectable warnings at all appropriate locations. These incidental curb ramps are not required to be reconstructed in the same fashion as the ramp which triggered the additional work, as long as they otherwise meet ADAAG requirements. The associated curb ramps can be retrofitted with detectable warnings. Detectable warnings come in a wide variety of types, materials, and installation methods. Current specifications provide for three installation methods, i.e., embedded preformed units, stamping, and surface-applied. Since, generally, the Department does not maintain sidewalks, snow removal will vary from community to community. The method of snow removal that the detectable warnings will be subject to, should be considered when specifying the methods and materials. Detectable warnings are required to contrast with the adjacent curb ramp or other applicable walkway surface (light-on-dark or dark-on-light). Dark Gray is the default color, as it provides good contrast with ortland cement concrete sidewalks and is available with most products. White or Safety Yellow are recommended colors for use on asphalt concrete or other similarly dark surfaces. When detectable warnings are installed, on or adjacent to standard concrete surfaces, other dark colors, such as black, are acceptable but must be specified in the Contract Documents. The 18.7.4 03/30/06

PEDESTRIAN FACILITY DESIGN

18-47

following colors satisfy the Materials Bureau visual contrast requirements when placed adjacent to the Departments standard ortland cement concrete sidewalks: - Dark Gray, Munsell Book Notation 10BG 3/1, Federal Standard Number 36081. - Dark Brown, Munsell Book Notation 10YR 3/2, Federal Standard Number 30097. - Dark Red, Munsell Book Notation 10R 3/6, Federal Standard Number 10076. - Dark Green, Munsell Book Notation 2.5G 3/6, Federal Standard Number 14110. Contact the Main Office Materials Bureau or Design Quality Assurance Bureau, Landscape Architecture Section, for further material guidance. For further information see Reference 9 in Section 18.15.

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18.7.4

18-48

PEDESTRIAN FACILITY DESIGN

18.7.5 Curb Radii/Intersection Extension A wide curb radius typically results in relatively high-speed vehicle turning movements and longer pedestrian crossing distances. Use of tighter curb radii will reduce turning speeds, shorten the crossing distance for pedestrians, and also improve sight distance between pedestrians and motorists. Nearby land uses and types of road users should be considered when designing an intersection so the curb radii are selected appropriately. However, if a curb radius is too small, large trucks or buses may intrude into opposing travel lanes or may ride over the curb, thereby placing pedestrians in danger. Intersection curb extensions, also known as bulb-outs, flares, neck-downs, neck-outs, pinch points, or chokers are extensions of the sidewalk at intersections or midblock crossings of roadways with on-street parking (see Exhibit 18-17). Intersection curb extensions should only be used on lowspeed streets with parking lanes. In addition, curb extensions should be designed to assure curbs do not abruptly jut out to the edge of the travel lane. For this reason, intersection curb extensions should be avoided where parking is sporadic or where alternate-side parking rules are in effect. Curb extensions should generally be at least 6 m long and as wide as the parking lane minus an appropriate curb offset for bicycle access. Designs should also reflect the turning radii of snow plows and other design vehicles. For more information on intersection curb extensions, see HDM Chapter 25 Traffic Calming. For discussion of curb radii see References 3, 12, and 28 listed in Section 18.15 References. Exhibit 18-17 Curb Radii/Intersection Extension

Photo: I 2003 Project for Public Spaces, Inc. www.pps.org All rights reserved.

18.7.5

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PEDESTRIAN FACILITY DESIGN 18.7.6 Pedestrian Refuge Islands and Medians

18-49

A pedestrian refuge island is located in or near a pedestrian crossing to aid and protect pedestrians crossing a roadway. On wide streets, a median refuge can provide a safe location for those who begin crossing too late or are only capable of walking exceptionally slow. Depending on the signal timing, pedestrian refuge islands or medians should be considered where the pedestrian crossing distance exceeds 18.3 m or 5 lanes of vehicular traffic. Pedestrian refuge islands or medians can also be used at intersections or midblock locations with shorter crossing distances, where a need has been recognized. Medians that are intended as pedestrian refuge islands must be accessible to all pedestrians, including those with disabilities. The dimensions of a pedestrian refuge island should be determined by the expected pedestrian storage and crosswalk level of service criteria. The minimum dimension in the direction of pedestrian travel of the refuge island is 1.8 m for new construction. For alterations where it is not practical to widen the median, the crossing or cutthrough width may be increased to provide additional pedestrian storage space. A median refuge should not be used to justify a signal timing that does not allow pedestrians to complete their crossing in one signal cycle. See Reference 12 in Section 18.15.

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18-50 18.7.7 Stop Line Placement

PEDESTRIAN FACILITY DESIGN

Stop lines should be placed at a sufficient distance from the crosswalk to ensure visibility is provided for both motorists and pedestrians. At controlled intersections, stop lines should be placed 1.2 m to 3.0 m in advance of and parallel to the nearest crosswalk or, if unmarked, the projection of the near edge of sidewalk. See Exhibit 18-18. On multilane roads, greater setbacks can help ensure that the motorists view of the pedestrian in the crosswalk is not screened by vehicles in adjacent lanes. Recommended practices for stop lines are discussed in references 7 and 28 listed in Section 18.15. Exhibit 18-18 Stop Bar Placement

18.7.7

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PEDESTRIAN FACILITY DESIGN 18.7.8 Marked Crosswalks

18-51

The criteria for determining how to control and/or mark street crossings at intersections are dependent on pedestrian and vehicular volumes, vehicular speed, intersection configuration, school zones, facilities and services for the elderly, and other area developments. In general, marked crosswalks have the following advantages. They may: Serve to warn and remind motorists of locations where pedestrians can be expected. Channel and limit pedestrian traffic to specific locations with appropriate sight distance. Orient pedestrians in finding their way across complex intersections. Improve pedestrian access and safety at night.

Some studies have shown that the absence of marked crosswalks may cause some pedestrians, particularly the elderly, to be more hesitant to cross the street. This hesitancy is attributed to the misunderstanding that marked crosswalks are the only legal places to cross. Marked crossings also have some disadvantages. They may: Give pedestrians a false sense of security by leading them to think that the motorist can and will stop. This is especially true on multilane highways (i.e., multiple threat). Cause disrespect for other pedestrian regulations and traffic controls when the crosswalk is perceived as unjustified, in a worn condition, is unsigned, or is poorly located.

Each crosswalk location should be individually analyzed and designed. Marked crosswalks should be considered at: Midblock crossings. Locations with pedestrian-activated signals. Established school crossings. Intersections with vehicular signals in main streets, central business/walking districts, and in other areas where significant volumes of pedestrians cross the highway. Locations in either urban or nonurban areas where there is development along both sides of a highway and where concentrated numbers of pedestrians cross the highway midblock (e.g., where a large parking lot is on the opposite side of the road from a campus, rural recreational area, or manufacturing plant). Signal-controlled entrances to commercial properties.

Note: Crosswalks are not limited to public streets, but are also recommended at stop- or yieldcontrolled entrances to commercial or public facilities. Crosswalks should not be installed at relatively minor entrances such as driveways at gasoline stations or similar facilities, unless controlled by an official signal or sign, as the intent is to provide a warning to motorists that they are crossing a pedestrian access route.

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18-52

PEDESTRIAN FACILITY DESIGN

Crosswalks should not be installed at locations, such as those with poor sight distance, which could present an increased safety risk to pedestrians without first providing adequate design features and/or traffic control devices. Adding crosswalks alone will not make crossings safer, nor will they necessarily result in more vehicles stopping for pedestrians. In most cases, marked crosswalks are best used in combination with other treatments, such as warning/regulatory or in-road signing, curb extensions, refuge islands and medians, signals, enhanced lighting, and traffic calming techniques. A variety of alternative surface treatments for crosswalks are currently available including: Surface-applied products. Inlaid thermoplastic products. Traditional concrete pavers. All surface treatments used within vehicular ways must be approved by Main Office Materials Bureau to ensure skid resistance, durability, etc. Pavers are currently prohibited by the FHWA in roads with traffic volumes greater than 8,000 AADT. Research is being conducted to develop design details to accommodate greater load capacity. If an alternative surface treatment is used within the crosswalk, it is recommended that a minimum 1.2 m Reduced Vibration Zone be incorporated. (See Section 18.6.5.3 Walking Surface.) A more textured surface can be placed bordering the Reduced Vibration Zone within the standard crosswalk markings or outside. See Exhibit 18-6. For more information on marked crosswalks, see Exhibit 18-19 and 18-20 and References 8, 12, 26, 28, and 33 listed in Section 18.15. Exhibit 18-19 Typical Crosswalk Markings

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PEDESTRIAN FACILITY DESIGN

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Exhibit 18-20 Recommendations for Installing Marked Crosswalks and Other Needed Pedestrian Improvements at Uncontrolled Locations *
No. of Lanes and Median Type Vehicle AADT < 9,000 Vehicle AADT > 9,000 to 12,000 Vehicle AADT > 12,000 to 15,000 Vehicle AADT > 15,000

Speed Limit** <50 km/h C C C 57 km/h C C C 65 km/h P P P <50 km/h C C C 57 km/h C P P 65 km/h P P N <50 km/h C P P 57 km/h C P P 65 km/h N N N <50 km/h C P N 57 km/h P N N 65 km/h N N N

2 Lanes 3 Lanes 4 or more Lanes With Raised Median 4 or More Lanes Without Raised Median

Source: Safety Effects of Marked Vs. Unmarked Crosswalks at Uncontrolled Locations: Executive Summary and Recommended Guidelines, Federal Highway Administration.
C = Candidate sites for marked crosswalks. Before installing new marked crosswalks, an engineering study is needed to determine whether the location is suitable for a marked crosswalk. For an engineering study, a site review may be sufficient at some locations, while a more in-depth study of pedestrian volume, walking speed, vehicle speed, sight distance, vehicle mix, etc., may be needed at other sites. It is recommended that a minimum of 20 pedestrian crossings per peak hour (or 15 or more disabled, elderly, or child pedestrians) exist at a location before placing a high priority on the installation of a marked crosswalk alone. P = Possible increase in pedestrian crash risk may occur if crosswalks are added without adequate design features and/or traffic control devices. These locations should be closely monitored and enhanced with other pedestrian crossing improvements, if necessary, before adding a marked crosswalk. N = Marked crosswalks alone are insufficient, since pedestrian crash risk may be increased due to providing marked crosswalks alone. Consider using other treatments where warranted, such as traffic calming treatments, pedestrian signals, various signal phasing and progressions to improve pedestrian safety, ITS and accessible signals, and other substantial improvements to provide safe pedestrian crossing. These guidelines include intersection and midblock locations with no traffic signals, stop signs or any warning/regulatory signing on the approach to the crossing. They do not apply to school crossings. A two-way center turn lane is not considered a median ** Where the speed limit exceeds 65 km/h, marked crosswalks alone should not be used at unsignalized locations.

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18-54

PEDESTRIAN FACILITY DESIGN

18.7.9 Pedestrian and Vehicular Traffic Signals Signal timing will be determined by the Regional Traffic Engineer and should be calculated to allow a pedestrian sufficient time to cross an intersection. Altering the timing of signal cycle length, phasing, progressions, and coordination to accommodate pedestrians can decrease delay for vehicle and pedestrian traffic movements. When necessary, a minimal increase in vehicular delay may be required to facilitate pedestrian crossings. Pedestrian signals are designed to direct and protect the pedestrian at street crossings. The NYS MUTCD provides both mandatory and permissive warrants. When applying the warrants, consideration should be given to any significant concentrations of young, elderly, or persons with disabilities using the project site. Pedestrian-activated signals should be considered when vehicular signal timing is not sufficient to properly accommodate pedestrians. Pushbuttons that activate pedestrian signals must be reachable from sidewalk and be located as close as practicable to the sidewalk curb ramp (see Exhibit 18-21). The pushbutton mounting height, approach dimensions, and approach surface must meet the applicable ADAAG Section 4.2 requirements regarding space allowances and reach ranges. According to ADAAG Section 4.27.4, the force required to activate controls shall be no greater than 5 lbf (22.2 N). Whenever pedestrian signals are installed, marked crossings should also be considered. See Section 18.7.8. Pushbuttons for accessible pedestrian signals should be located adjacent to, or within 255 mm of a level, all-weather surface to provide access from a wheelchair. Where there is an all-weather surface, wheelchair accessible route to the ramp, the pushbutton should be located in accordance with all the requirements as follows: Within 1.5 m of the crosswalk extended. Within 3 m of the edge of curb, shoulder, or pavement. Parallel to the crosswalk to be used. Mounted on a post or signal pole between 915 mm and 1120 mm above an accessible surface.

18.7.9

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PEDESTRIAN FACILITY DESIGN Exhibit 18-21 Recommended Locations for Accessible Pedestrian Signals

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Figure from National MUTCD, 2003, page 4E-2

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18.7.9

18-56

PEDESTRIAN FACILITY DESIGN

18.7.10 Pedestrian Intelligent Transportation Systems (ITS) Pedestrian ITS technologies facilitate access, safety, mobility, and way-finding during street crossings. The following measures are being applied by NYSDOT and NYCDOT: Accessible/Audible Pedestrian Signals - are signal devices that supplement the visual signals/cues used by sighted pedestrians to safely and independently negotiate crossings for the visually disabled (see National and NYS MUTCD). Calming Green Wave - when signal coordination, cycle duration, and green wave bandwidth are tuned to improve safety, rather than maximizing vehicular speeds and capacity (permitted under Department guidelines). Count-Down Signal - are pedestrian signals that provide information to pedestrians regarding the amount of time remaining to cross a street (see National and NYS MUTCD). Illuminated Pushbutton - provides feedback to the pedestrian that the pedestrian-actuated signal button is working, and that the signal will change (permitted under Department guidelines). In-Roadway Lighting System (IRLS) at Crossings - signals that are installed in the roadway surface to warn road users that conditions may require them to slow down or come to a stop (see the National MUTCD, and ITE In-Roadway Lighting System Manual). Leading Pedestrian Interval Signal Phasing - provides a brief (usually 3 to 5 second) exclusive signal phase that allows pedestrians to establish a presence in the intersection, before vehicular turn movements begin, and reduces vehicle-pedestrian conflicts (permitted under Department guidelines). Exclusive (all red) Pedestrian Phasing - is effective at high-pedestrian-volume locations for avoiding turn-merge, multiple threats, and trapped pedestrian conflicts. Vehicle traffic delays tend to be higher than for concurrent phasing. Scramble Pedestrian Phasing - is an exclusive pedestrian phase that permits conventional and diagonal pedestrian crossings. Scramble phasing operates well only in very special situations, since overall signal delay is significant. Split Phasing - provides a phase without turning conflicts by dividing the cycle into three (3) phases: (1) cross street is stopped, avenue goes; (2) cross street through traffic goes, turning vehicles and avenue are stopped; (3) cross street through and turning vehicles go, and avenue is stopped.

For more information on pedestrian ITS crossings, see References 4, 12, 23, 24, and 28 listed in 18.15. 18.7.11 Unauthorized/Unsafe Pedestrian Crossings When the analysis of traffic accident data and consultations with the Regional Traffic Engineer have indicated the need to discourage unauthorized or unsafe pedestrian crossings, signs, fences, bollards, or railings should be considered. The design of these devices should be consistent with the area's aesthetic quality, roadside safety, and community characteristics. Designers should consider maintenance and the potential to significantly obstruct emergency mass evacuations on foot. For more information see Section 18.12.4 and Reference 4 listed in Section 18.15 References. 18.7.11 03/30/06

PEDESTRIAN FACILITY DESIGN 18.8 ELEVATION CHANGES 18.8.1 Stairs

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As with all other features of a pedestrian circulation system, stairs that are constructed or reconstructed by the Department must meet all the applicable portions of accessibility requirements found in the ADAAG in addition to other related codes, standards, and best practices. Grading within the right of way frequently necessitates construction of stairs as well as the removal, reconstruction, or alteration of a portion of existing stairs. These are normally stairs that connect primary sidewalks along the roadway to secondary sidewalks leading to residences, public buildings or businesses. When public or commercial stairs must be reconstructed or altered, the affected stairways must be reconstructed or altered according to ADAAG. Refer to the requirements of ADAAG Sections 4.1-4.35, especially Section 4.9. The Departments practice is to construct, reconstruct, or alter residential stairways using the same standards. Homeowners and businesses occasionally request the Department to omit specific elements that must be constructed or reconstructed to comply with various related requirements. The Department cannot waive these requirements simply because property owners object. For example, handrails are occasionally a source of annoyance to some homeowners, but the Department must install them. The Department has an obligation to assure that the current or next owner of the property, or any visitor to the property, has a safe route that meets all of the applicable standards. While the designer should be sensitive to the homeowners or business owners concerns, the Department must satisfy all of the applicable requirements, including the Departments requirements pertaining to the design and construction of stairs. The Departments minimum standard width for stairs is 1.22 m clear area between stairway railings. (see NYS Building Code 1003.2.13.7.2). Many one- and two-family homes, however, have narrower stairs and sidewalks as their primary access from the highway right of way. These sidewalks and stairs may be replaced with ones at least a 915 mm wide clear distance between the stairway railings. The designer should encourage the affected property owners to consider allowing the Department to construct a wider facility (where the entire route connecting a building to the street will be reconstructed). Some codes for other than one- and two-family dwellings, including the NYS Building Code, generally require a 1.1 m minimum width between stairway railings to accommodate rescue assistance apparatus. The Department should not construct stairs with fewer than three risers. Data indicates that stairs with fewer than three risers are associated with a disproportionate percentage of stairway related injuries. Where existing stairs with fewer than three risers are to be replaced as part of a Department project, the designer should consider one of the following: Adjusting the profiles of the roadway and/or the sidewalk to eliminate the need for stairs. Constructing a ramp instead of stairs. Designing the riser heights and tread widths of replacement stairs to provide at least three risers per stairway. 18.8.1

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18-58

PEDESTRIAN FACILITY DESIGN

Exterior stairs are normally not as steep as interior stairs that are constructed where space is limited, lighting is controlled, and weather is not a factor. Exterior stairs are used in a wider variety of weather and lighting conditions than interior stairs. Unfortunately, most references concerning riser/tread ratios are for interior stairs. While there are no absolute formulae for determining the appropriate relationships between risers and treads for exterior stairs, the most commonly accepted formula recommends that the sum of the dimensions of two risers and one tread should equal 660 mm. In addition, ADAAG and the NYS Building Code require uniform riser heights on a flight of stairs in order to minimize the potential for tripping. See Exhibit 18-22. Exhibit 18-22 Recommended Riser Height/Tread Width Ratios 2R + T = 660 mm Riser Height 175 mm 155 mm 135 mm 115 mm Tread Width 310 mm 350 mm 390 mm 430 mm

Some references, including ADAAG, establish the minimum width of a tread (measured from riser to riser) on public, institutional, and commercial stairways as 280 mm. However, this dimension represents those found in interior conditions. The minimum tread width, measured riser to riser, for exterior stairs on Department projects is 310 mm. This additional width provides a safer and more comfortable footing on stairways with closed risers, especially where uneven lighting, accumulated snow and other exterior conditions may be less than ideal. Stairways with open risers may be difficult for some persons with vision related disabilities to see and/or use, especially in adverse weather and where lighting is uneven. Therefore, ADAAG does not permit stairways with open risers to be constructed on pedestrian access routes. Refer to ADAAG Section 4.9.2. Similarly, some current building codes and reference standards allow maximum riser heights in excess of 180 mm to 209 mm in residential structures. These heights are commonplace for interior spaces. While outdoors, most people will typically walk faster than they do indoors and have a longer stride. This makes high risers more difficult to maneuver. Adverse weather conditions and uneven lighting can also make exterior stairway risers higher than 175 mm difficult to maneuver. Therefore, the maximum riser height for exterior stairs on Department projects should not exceed 175 mm. Similarly, the minimum riser height on Department projects should not be less than 115 mm.

18.8.1

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PEDESTRIAN FACILITY DESIGN Exhibit 18-23 Stair Nosings (source ADAAG)

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According to ADA regulations, the radius of curvature at the leading edge of the tread shall be 13 mm maximum. Nosings that project beyond risers shall have the underside of the leading edge curved or beveled. Risers shall be permitted to slope under the tread at an angle of 30 degrees maximum from vertical. The permitted projection of the nosing shall extend 38 mm maximum over the tread.

18.8.2 Ramps All pedestrian ramps must comply with all the applicable portions of the current ADAAG. All ramps, except curb ramps, must have handrails on both sides. Any part of an accessible pedestrian route with a grade steeper than 5% is usually considered a ramp. However, a sidewalk along a vehicular way that exceeds a 5% grade, is not considered a ramp and does not have to meet the ADAAG standards for ramps. The ability of a disabled person to manage an incline is related to the incline's slope and length. Wheelchair users with disabilities affecting their arms or with limited stamina have serious difficulty using inclines. Most ambulatory disabled people and most disabled people who use wheelchairs can manage a slope of 1:16. Therefore, ADAAG requires that the least possible slope should be used for any ramp. However, the steepest slope must not exceed 8.33% (1:12). Also, the maximum rise for any run must not exceed 760 mm. In addition, level landings must be provided at the top and bottom of ramps and each ramp run and at all ramp turns. Designers should refer to ADAAG Section 4.8 for additional guidance regarding requirements for pedestrian ramps. 18.8.3 Landings Landings on stairs and ramps must meet all of the applicable requirements of the most recent ADAAG. In addition, the Department standard for the maximum vertical rise of any set of stairs

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between intermediate landings within a flight of stairs should fall within the range of 2.4 m to 3.6 m and should be evenly spaced along straight runs of stairways. Landings should be provided on ramps as discussed in 18.8.2. 18.8.4 Handrails Handrails help people steady themselves while moving along stairs and ramps. They are meant to be held onto and they act as a guide for elderly, disabled, and visually impaired persons. They can also significantly reduce the occurrence of falls and the severity of injuries associated with falls. While the current ADAAG establishes an acceptable handrail height of between 865 mm and 965 mm above the stair nosings, the Department standard is 915 mm. This height is consistent with ADAAG and other regulatory codes, including the NYS Building Code. Handrails must be constructed on both sides of every stairway and ramp that the Department builds. Handrails must meet all of the appropriate requirements of the current ADAAG accessibility guidelines, especially the requirements of Sections 405.8 and 504.6. The designer should be aware of all of the specific design features of a handrail before designing the adjacent pedestrian facilities. For example, handrail extensions at the top and bottom of stairs and ramps may not protrude into the usable, accessible width of an adjoining sidewalk. Therefore, designers should attempt to locate the stairway/walkway intersections to accommodate handrail extensions. Refer to ADAAG Sections 505.10 and 504.6. The ADAAG standards also state that the diameter or width of the gripping surfaces of a handrail or grab bar shall be 32 mm - 38 mm, or the shape shall provide an equivalent gripping surface. Flatter shapes are sometimes desired instead of the round handrails normally installed by the Department. Handrails and grab bars with a circumference or perimeter between 100 mm and 120 mm provide the appropriate "equivalent gripping surface." Alternative handrail designs should have rounded corners (see Exhibit 18-24). On stairs and ramps where vertical balusters are used in lieu of horizontal intermediate rails, the spacing must not allow the passage of a 100 mm sphere between the balusters. The spaces below the bottom rail of a handrail on a ramp must also be sized to prevent a 100 mm sphere from passing through. The space below the bottom rail of a handrail on a stairway must be sized to prevent a 150 mm sphere from passing through at any point (see Exhibit 18-25). The designer should be familiar with the needs and character of the community. The materials, sizes, and shapes of handrails should be appropriate not only for the user, but for the community in which the railing is located. It is important to understand, however, that the Department cannot waive its responsibility for providing a facility designed and constructed in full compliance with all applicable standards, including the Departments, regardless of the wishes of adjoining property owners.

18.8.4

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PEDESTRIAN FACILITY DESIGN Exhibit 18-24 Acceptable Handrail Shapes

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PEDESTRIAN FACILITY DESIGN Exhibit 18-25 Maximum Bottom Rail and Baluster Spacing for Handrails

18.8.5 Protective Rails Protective rails (referred to as guards in the NYS Building Code) are used to keep people from falling or going where they should not. Protective railings are used along drop-offs, on structures, balconies, etc. For the purpose of this chapter, railings on bridges are not included. Specific guidance and information on bridge rails should be obtained from the NYSDOT Bridge Manual and Standard Specifications for Highway Bridges by the Structures Design and Construction Division. The minimum height for protective rails is 1.07 m on any pedestrian facilities that are more than 760 mm above an adjacent surface. The height of the protective rail is measured vertically from the adjacent surface. There is no specific guidance on the use of horizontal rails versus vertical balusters on protective rail systems. However, where concentrations of small children are anticipated (e.g., playgrounds, parks, schools, and daycare centers) the designer should consider the use of balusters in place of a horizontal rail system. The Departments standard spacing between balusters on protective rails is: 18.8.5 03/30/06

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On the portion of any protective railing up to a height of 865 mm (measured from the adjacent walkway surface), the baluster spacing must not permit the passage of a 100 mm sphere. On the portion of any protective railing that extends above a height of 865 mm (measured from the walkway surface), the baluster spacing must not permit the passage of a 203 mm sphere. A 100 mm sphere must not be able to pass through the space between the walkway surface and the bottom rail.

See NYS Building Codes 1003.2.12 and 1003.2.12.2. Exhibit 18-26 Spacing of Balusters on Protective Rails

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18-64 18.8.6 Elevators

PEDESTRIAN FACILITY DESIGN

There are instances where elevators must be considered as an option for moving pedestrians vertical distances. Elevators may have to be used where combinations of stairs and ramps meeting the accessibility standards cannot be constructed or would require the use of space needed for other purposes. Elevators are typically installed only in urban areas because of the volume of people needed to justify the cost of constructing them and the necessary security and maintenance associated with them. Normally elevators would be built at transit stops or where space is limited at bridges or overpasses in densely developed areas. Security and maintenance are usually the deciding factors in determining whether or not a municipality, transit operator, or other maintaining entity will accept responsibility for an elevator. Elevators must meet all of the minimum accessibility standards outlined in ADAAG Section 4.10. Designers should consider elevators as a last option to combinations of stairs and ramps and may have to seek design assistance outside of the Department if elevators are used.

18.8.6

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PEDESTRIAN FACILITY DESIGN

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18.9 RECREATIONAL WALKWAYS, SHARED USE PATHS, TRAILS, AND OUTDOOR RECREATION ACCESS ROUTES This section does not provide guidance regarding the design of recreational walkways, shared-use paths, and trails. It is intended only to provide guidance regarding access for pedestrians and to assure access for disabled people. The most common recreational walkways, shared-use paths, and trails encountered and altered as part of Department projects are pedestrian/bicycle paths, facilities associated with trail head parking, segments of hiking trails, fishing access sites, and similar facilities. 18.9.1 Access for Persons with Disabilities Specific national accessibility standards for recreational facilities, including outdoor recreation access routes, recreational walkways, and trails have not been adopted. However, it is established that the ADA affects these kinds of facilities. In general, outdoor recreation access routes, recreational walkways, shared-use paths and trails must be made as accessible as feasible. The current ADAAG requirements should be considered as minimum requirements for design. Departures from ADAAG's minimum requirements should only be made where it is infeasible or inappropriate to strictly apply them. There are situations where it is difficult to make the shared-use paths, etc., accessible. They include:

Locations where compliance to the ADAAG would cause considerable harm to cultural, historic, or significant natural features. Locations where compliance would significantly alter the nature of the setting or the purpose of the facility. Locations where compliance would require construction methods or materials that are prohibited by federal, state, or local regulations or statutes. Locations where compliance would not be feasible due to terrain.

Refer to the US Forest Service guidelines for consideration and rationale where departures from ADAAG are necessary www.fs.fed.us/recreation/programs/accessibility. 18.9.2 Use of Existing Sidewalks as Shared-Use Paths Adapting an existing sidewalk for use as a shared-use path to accommodate bicyclists in addition to pedestrians or other users is usually undesirable. Existing sidewalks typically are not appropriate for higher speed bicycle use for the following reasons: They are normally designed for pedestrian speeds and maneuverability. Therefore, conflicts may be common between bicyclists and pedestrians walking at lower speeds, especially as they exit stores, parked cars, etc. Walkers, joggers, skate boarders, and in-line skaters can change their speed and direction almost instantaneously, leaving bicyclists insufficient time to react to avoid collisions. 18.9.2

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PEDESTRIAN FACILITY DESIGN Disabled persons who may not be able to move easily or quickly, or who may have sight and/or hearing disabilities may not perceive rapidly moving bicyclists, skate boarders, inline skaters, etc. Fixed objects such as parking meters, utility poles, sign posts, bus passenger shelters, benches, trees, fire hydrants, mail boxes, vending machines, etc., are potentially hazardous if they are struck by bicyclists or other walkway users. At intersections, motorists often are not looking for and do not expect bicyclists (who are traveling on the sidewalk at higher speeds than pedestrians) to be entering the crosswalk area. This may cause serious conflicts when motorists attempt to make a turn. Additionally, motorists exiting a driveway that intersects with a sidewalk may be unable to avoid conflicts with bicyclists, especially where sight distance is impaired by buildings, walls, fences, and/or shrubs. Significant sidewalk bicycle traffic may discourage pedestrian use of the sidewalk. This will be especially true for older or disabled people.

It is important to recognize that in areas where adequate facilities are not available to accommodate such uses as bicycling, in-line skating, etc., sidewalks are likely to be used for these purposes. However, simply providing wider sidewalks as a means of accommodating walkway users other than pedestrians will not normally contribute to their safety. Providing wider sidewalks may be reasonable where the variety of users is great but the total number of users is small. As stated above, wider sidewalks tend to encourage higher speed bicycle, in-line skater, and skate boarder use and can increase the potential for conflicts between bicyclists and motor vehicles at intersections, as well as between bicyclists, in-line skaters, skate boarders, and pedestrians or fixed objects. When other design alternatives are not feasible, e.g., at multilane roundabouts, and an existing sidewalk must be used by cyclists or designated as a shared-use path (with additional width provided), the designer should consider the following:

Use of signs requiring cyclists to dismount and walk along the sidewalk The provision of additional pavement striping and signing to alert motorists and pedestrians to the presence of bicyclists, as well as to warn bicyclists they must exercise caution. The removal or relocation of fixed objects along the shared use path so that they are less likely to be struck by bicyclists or other path users. Where possible, areas of inadequate sight distance for either motorists or pedestrians and bicyclists should be corrected.

It is inappropriate to sign a sidewalk as a bicycle path, bicycle route or shared-use path in order to discourage bicyclists from using a roadway that may otherwise be legally used by bicyclists. However, young children riding bicycles on sidewalks can be expected in residential areas. This relatively low-speed type of sidewalk bicycle use by young children is generally accepted.

18.9.2

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PEDESTRIAN FACILITY DESIGN 18.10 BUS STOPS AND TRANSIT STATIONS

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This section does not provide guidance regarding the location of bus stops. It is intended only to provide guidance regarding bus stop access for pedestrians and to assure access for disabled people. Designers should refer to Chapter 5, Sections 5.7.19.1 and Chapter 24, Sections 24.3.5 and 24.3.6 of this manual for information concerning bus stops and bus turnouts and should consult with the Regional Traffic Engineer. Bus stops are frequently constructed or reconstructed and/or improved as part of Department projects. Existing bus stops that must be removed or relocated as part of a project are usually reconstructed at Department expense. However, this depends on the specifics of any existing agreement with the transit operator. In general, when a bus stop on one side of a road is improved as a part of a project, a corresponding bus stop on the opposite side of the road should also be added, improved, or relocated to a more desirable location. If paved bus stop pads do not exist along a bus route on a project, and sidewalks are not otherwise warranted, project scoping documents should indicate coordination with the transit operator. When transit operators desire the Department to include paved bus stop pads in a project, appropriate funding arrangements must be made. Design guidance for the accessibility of bus stops and other similar facilities can be found in Section 10 of ADAAG. Coordination with transit system operators is necessary to assure that bus stop pad configurations are also compatible with the system operators' buses and operations. Specific bus routes are chosen according to criteria selected by the system operators. Therefore, coordination with transit system operators is essential to assure that bus stop pads constructed or altered as part of a Department project are located to meet the system's needs and to ensure that they comply with Section 10 of ADAAG. Bus passenger shelters at bus stops should not be located where they would reduce the effective width (1.525 m min.) of adjacent sidewalks, interfere with roadside clear area requirements, or reduce sight distance at intersections or driveways. Space should be provided for the bus system operator to install shelters of their choice after the Departments construction is completed, or the Department will install shelters meeting the system's specifications and the accessibility guidelines. The system operator should assure that their specifications are consistent with the accessibility guidelines before they are accepted for inclusion into Department projects. Appropriate funding and maintenance arrangements should be made in either case. Where bus stop pads exist or are constructed or altered, sidewalks should be constructed to connect with nearby side streets, sidewalks, street crossings, shopping center entrances, etc. Where sidewalks do not exist, or are infeasible to construct, accessible connections from bus stops shall be provided consistent with the requirements of Section 10 of ADAAG. Transit patrons need sidewalks, walkways, and street crossings to access bus stops and may need additional facilities (e.g., stairways, elevators, indoor corridors, and ramps) to access transit stations. Arterials and collectors served by transit are prime candidates for sidewalk and street crossing improvements. Safe and accessible pedestrian street crossings are essential to support the viability and utility of public transit. 03/30/06 18.10

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Bus stops and transit stations are pedestrian traffic generators, because all transit riders are pedestrians at one end of their trip and frequently at both ends. When designing projects in areas surrounding or abutting bus stops or transit stations, designers should make every effort to ensure that: Accessible sidewalks/walkways to the bus stop or transit station are provided. Accessible street crossings and signing are provided to facility entries and exits. Projects do not sever existing or the planned right of way of pedestrian facilities. Pedestrian facilities are not replaced with lower quality or more circuitous facilities.

Designers should contact the regional landscape architectural staff regarding accessibility requirements for bus stops, transit stations, and other facilities covered by the provisions of Section 10 of ADAAG. 18.11 PARKING It has been determined that providing opportunities for parking consists of a program under Program Access requirements of the ADA. Therefore, when off-street or on-street passengervehicle parking is provided as part of a Department project, the total number of accessible parking spaces provided within the project area must be consistent with the requirements of ADAAG Section 4.1.2, and the accessible parking spaces should be appropriately located and distributed. All off-street accessible parking spaces must also comply with the provisions of Section 1101.1(d)(4) of the NYS Uniform Fire Protection and Building Code as required by the NYS Vehicle and Traffic Law. For further information on parking, refer to HDM Chapter 5. 18.12 SPECIAL SITUATIONS 18.12.1 Main Streets More than 180 communities have main streets or central business districts located on the state highway system in New York State. Frequent pedestrian crossing opportunities and sidewalk connections to surrounding neighborhoods are factors essential to the economic viability of a main street. When the pedestrian circulation is incomplete or does not adequately connect between land uses, overall circulation opportunities are constrained. Beneficial main street design includes pedestrian infrastructure, signalization, and traffic calming to promote vehicular traffic speeds which do not pose real or perceived threats to pedestrian safe access. Additionally, the number of drivers passing a retail storefront is critical to their profitability. However, if drivers are moving too rapidly, they do not benefit the retailer.

18.12.1

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PEDESTRIAN FACILITY DESIGN Best practice outcomes for main street projects include meeting the following goals: Encourage drivers to drive at the desired or posted speed. Minimize conflicts between all legitimate traffic modes. Enhance curb appeal for pedestrians and drivers. Improve the aesthetic appearance of the street.

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For more information see References 17 and 21 in Section 18.15. 18.12.2 Central Business/Walking Districts While far fewer in number than main streets, central business/walking districts are very important to the economy and tourism. Design and operational strategies for central business/walking districts should be to control vehicle speeds, minimize vehicular impedance to the pedestrian, minimize pedestrian-vehicle conflicts, ensure adequate sidewalk and crosswalk capacities for accommodating peak period pedestrian traffic surges, and provide aesthetic designs that improves the human-scaled pedestrian and tourism experience (e.g., safety, comfort, and security) of the walking district. Specific measures to achieve the above mentioned strategies may include the following: Sidewalk and crosswalk capacity expansion based upon increased development densities. Establish streetscape proposals that provide design features which maximize access and safety for all pedestrians. Provide operational improvements (i.e., leading pedestrian interval, all-red or split phasing, and a 32 km speed limit where permitted) that give pedestrians priority. Establish and/or restore the local street grid system to improve pedestrian access.

For more information, see References 7 and 20 in Section 18.15. 18.12.3 School Walking Zones School walking zones typically extend 0.8 km to 1.6 km from an elementary school. Children are especially vulnerable, making streets in these zones prime candidates for sidewalk and pedestrian crossing improvements. For more information, see References12, 26 and 28 in Section 18.15. Best Practices for Safe and Accessible School Walking Zones Accommodations include: Appropriate school zone signing, marking, and flashing beacons. (Note: Flashing beacons are installed by the school districts) Local sidewalk or walkway networks that permit access to school entries or exits. Optimally sited street crossings, including marked crosswalks at controlled intersections, midblock crossings and signalization if warranted. Traffic calming. Roundabouts. 18.12.3

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18.12.4 Designing for Disaster Preparedness Mass evacuation on-foot is often the only available means for people to quickly escape crime scenes, terrorist attacks, sudden natural disasters, or to cope with other actions or incidents that may cause highway, transit and/or commuter rail systems to shut-down for an undetermined period. Successful mass movement of pedestrians photographed during the September 11, 2001, attacks on the World Trade Center, the August 2003 northeast power outage, and transit strikes show that walking is the most reliable and sustainable mode of traffic for overcoming these kinds of circumstances. From a design and operational perspective, at-grade/street-level pedestrian access has been found to be the safest design feature for expediting pedestrian traffic movements when mass evacuations occur. Practices to be avoided that may inhibit mass evacuations include: Restricting at-grade pedestrian access through larger blocks, fencing and barriers. Pedestrian structures susceptible to movement and partial or total collapse. Pedestrian tunnels susceptible to flooding and exit and/or entry obstructions. Building site and frontage design configurations that impede pedestrian traffic. Use of stairways along major pedestrian routes.

While vehicular travel lanes in urban main streets, central business and walking districts may experience surges of pedestrian traffic; the availability of adequate pedestrian facilities are still more suitable for use during more localized mass evacuations for the following reasons: Travel lanes may be clogged or obstructed with abandoned vehicles and/or debris. On-street and highway vehicular traffic may still be active during the evacuation. Driver panic and general confusion may make pedestrian use hazardous. Travel lanes may be used by or restricted to emergency, military or government uses.

When a major subregional or regional catastrophic emergency occurs, then pedestrian use of travel lanes must be included in transportation, law enforcement, emergency management, military evacuation and recovery planning for the following reasons: Major emergencies will involve pedestrian traffic surges at critical regional transportation bottlenecks. Travel lanes anticipated to carry the highest pedestrian traffic volumes should be mapped and predesignated for the quickest removal of any obstructions that might hinder rapid atgrade mass pedestrian evacuations.

18.13 PEDESTRIAN FACILITY CONSTRUCTION FHWA regulations ((23 CFR 652.5) require that provision for safe accommodation of pedestrians be given full consideration during construction. HDM Chapter 16, Section 16.4.4.2 contains a discussion on the maintenance and protection of pedestrian traffic during construction. Work zone traffic control diagrams for pedestrian accommodation can be found at: http://www.dot.state.ny.us/traffic/workzone/pedaccdiag.html.

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PEDESTRIAN FACILITY DESIGN 18.14 PEDESTRIAN FACILITY MAINTENANCE

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The Department usually constructs sidewalks on State highways in towns, villages, and cities wherever professional judgment indicates they are necessary (see Section 18.5). The Highway Law requires that villages, towns, and cities maintain sidewalks on State highways in their respective municipalities. The Highway Law also requires that villages, towns, and cities remove accumulated snow and ice as a part of their maintenance activities. 1. Section 46 of the Highway Law, requires villages to maintain sidewalks along State highways, including removing snow and ice. 2. Section 140 of the Highway Law requires towns to maintain sidewalks along State highways, including removing snow and ice. 3. Section 349-c of the Highway Law requires that cities maintain sidewalks along State highways, including removing snow and ice. Whenever the Department determines that sidewalks are necessary, the decision should be discussed with the appropriate municipal officials. The Department is to also advise the municipality that they are obligated to ensure the sidewalks are maintained and that the obligation includes removal of snow and ice. The municipality is to be formally notified about the decision to construct sidewalks and the municipalitys maintenance obligations subsequent to any discussions with them. It must be recognized that Americans with Disabilities Act (ADA) regulations require accessible pedestrian routes to be maintained. Only temporary interruptions in service or access are permitted. A sidewalk with accumulated snow and/or ice that is left in place beyond a reasonable period of time would clearly not qualify as a temporary interruption in access.

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18.14

18-72 18.15 REFERENCES

PEDESTRIAN FACILITY DESIGN

1. 2004 New York State Statistical Year Book, The Nelson Rockefeller Institute of Government, SUNY, see page 35, Figure A-8, Resident Population-Percent Over 65, and Figure A-10, page 43, Resident Population-Percent Disabled, and Tables A-1, A-4, and A-11 on pages 3, 8 and 31 to derive Resident Population - Percent 14 and under, all by County (www.nysstatistics.org/yearbook). 2. Accommodating Bicycle and Pedestrian Travel: A Recommended Approach, A USDOT Policy Statement on Integrating Bicycling and Walking into Transportation Infrastructure, USDOT and FHWA, 2000 . www.fhwa.dot.gov/environment/bikeped/Design.htm 3. A Policy on Geometric Design of Highways and Streets, 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, DC 20001. 4. Alternative Treatment for At-Grade Pedestrian Crossings: An informational report by Nazir Lalani and the ITE Pedestrian and Bicycle Task Force, August 2001, Publication No LP-629, Institute of Transportation Engineers, 1099 14th Street, NW, Suite 300 West, Washington, DC 2005-3438. 5. Americans With Disabilities Act Accessibility Guidelines for Buildings and Facilities, US Access Board, 1331 F Street N.W., No. 1000, Washington, DC 20004-1111. (www.access-board.gov). 6. An Analysis of Factors Contributing to Walking Along Roadway Crashes: Research Study and Guidelines for Sidewalks and Walkways, Publication No. FHWA-RD-01-101, February 2002, US Department of Transportation, Federal Highway Administration, Turner-Fairbanks Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296 (www.walkinginfo.org/pdf/r&d/SidewalkReport.pdf) 7. Design and Safety of Pedestrian Facilities: A Recommended Practice of the Institute of Transportation Engineers, March 1998, Publication No. RP-026A, Institute of Transportation Engineers,1099 14th Street, N.W.Suite 300 West Washington, DC 20005-3438. http://safety.fhwa.dot.gov/ped_bike/docs/designsafety.pdf 8. Designing Sidewalks and Trails for Access, Part 2: Best Practices Design Guide, Publication No. FHWA-EP-01-027, September 2001, US Department of Transportation, Federal Highway Administration, Washington, DC 20590. (www.fhwa.dot.gov/environment/sidewalk2/index.htm) 9. Detectable Warnings: A Synthesis of U.S. and International Practice, May 2000, Bentzen, Barlow, and Tabor, A US Access Board Publication, US Access Board, 1331 F Street N.W., No. 1000, Washington, DC 20004-1111 www.access-board.gov/publications/DW%20Synthesis/report.htm

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10. Draft Guidelines for Accessible Public Rights-of-Way, June 17, 2002, US Access Board, 1331 F Street N.W., No. 1000, Washington, DC 20004-1111. (www.access-board.gov/rowdraft.htm) 11. Geometric Design Policy for Bridges, March 1996, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232 12. Guide for the Planning, Design and Operation of Pedestrian Facilities, July 2004, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, DC 20001. 13. Guide for Transportation Landscape & Environmental Design, American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, DC 20001. 14. Guidebook on Methods to Estimate Non-Motorized Travel: Overview of Methods, Pub. No. FHWA-RD-98-165, July 1999, US Department of Transportation, Federal Highway Administration, Turner-Fairbanks Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296. www.fhwa.dot.gov/tfhrc/safety/pubs/vol1/title.htm 15. Guidebook on Methods to Estimate Non-Motorized Travel: Supporting Documentation, Pub. No. FHWA-RD-98-165, July 1999, US Department of Transportation, Federal Highway Administration, Turner-Fairbanks Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296. www.fhwa.dot.gov/tfhrc/safety/pubs/vol2/title.htm 16. Highway Capacity Manual, 2000, Transportation Research Board, National Research Council, 500 Fifth Street, N.W., Washington, D.C., 20001. 17. Historic Downtown Main Streets: Strategies for Compatible Streetscape Design, Oregon Department of Transportation, Transportation Building, 355 Capitol St., N.E., Salem, Oregon 97301-3871. www.odot.state.or.us/eshtm/mainstreet.pdf 18. How to Develop a Pedestrian Safety Action Plan, FHWA-SA-05-12, February 2006, US Department of Transportation, FHWA, Pedestrian and Bicycle Information Center (PBIC), Highway Safety Research Center, University of North Carolina, Box 3430, 730 Martin Luther King Jr. Blvd, Chapel Hill, North Carolina 27599-3430. www.walkinginfo.org/pp/howtoguide2006.htm 19. Informational Guide for Roadway Lighting, American Association of State Highway and Transportation Officials, Suite 249, 444 North Capitol Street, N.W., Washington, DC 20001. 20. Lower Manhattan Pedestrianization Study, November 1997, New York City Department of City Planning, 22 Reade Street, New York, NY 10007-1216, and the New York City Department of Transportation, 40 Worth Street, New York, NY 10013.

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21. Main Streetwhen a highway runs through it: A Main Street Handbook for Oregon Communities, November 1999, Oregon Department of Transportation, Transportation Building, 355 Capitol St., N.E., Salem, Oregon 97301-3871. 22. Manual of Uniform Traffic Control Devices, 2003 Edition, US Department of Transportation, Federal Highway Administration, US Department of Transportation, Federal Highway Administration, Washington, DC 20590. http://mutcd.fhwa.dot.gov 23. NCHRP 3-62: Accessible Pedestrian Signals: Synthesis and Guide to Best Practices, Final Report, May 2003, Bentzen, Barlow, and Tabor, A US Access Board Publication, US Access Board, 1331 F Street N.W., No. 1000, Washington, DC 20004-1111. www.walkinginfo.org/aps/pdf/APS-Synthesis.pdf 24. NYCDOT Thru Streets: An Innovative Approach to Managing Midtown Traffic, March 2004, New York City Department of Transportation, 40 Worth Street, New York, NY 10013. www.nyc.gov/html/dot/pdf/thrustreetsreport04.pdf 25. NYSERDA How-to Guide to Effective Energy-Efficient Street Lighting for Planners and Engineers, October 2002. www.rpi.edu/dept/lrc/nystreet/how-to-planners.pdf 26. Official Compilation of Codes, Rules And Regulations of the State of New York , Chapter V of Title 17 Transportation, Volume B ( New York State Manual of Uniform Traffic Control Devices), May 31, 2001, Published by Dept. of State, 41 State Street, Albany, NY 12231. 27. Pedestrian and Bicycle Data Collection in United States Communities: Quantifying Use, Surveying Users, and Documenting Facility Extent, Published by the Pedestrian and Bicycle Information Center for USDOT and FHWA, University of North Carolina at Chapel Hill, Highway Safety Research Center, 730 Airport Rd., CB #3430, Chapel Hill, NC 275993430. www.pedbikeinfo.org/pdf/casestudies/PBIC_Data_Collection_Case_Studies.pdf 28. Pedestrian Facilities User Guide: Providing Safety and Mobility, FHWA-RD-01-102, March 2002, US Department of Transportation, Federal Highway Administration, Turner-Fairbanks Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296. (www.walkinginfo.org/pdf/peduserguide/peduserguide.pdf) 29. Pedestrian Facility Design, NHI Course No.142045. Publication No. FHWA Hl-02-066, July 2002, US Department of Transportation, Federal Highway Administration, Washington, DC 20590. 30. Pedestrian Facilities Guidebook: Incorporating Pedestrians into Washingtons Transportation System, 1997, Washington State Department of Transportation, 310 Maple Park Avenue SE, PO Box 47330, Olympia, WA 98504-7330.

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31. Pedestrian Safety Guide and Countermeasure Selection SystemFHWA-SA-04-003, September 2004, US Department of Transportation, Federal Highway Administration, Office of Safety Programs, 400 7th Street, SW, Washington, DC 20590: online tools that provide the user with a list of possible engineering, education, or enforcement treatments to improve pedestrian safety and/or mobility-based on user input about a specific location. www.walkinginfo.org/pedsafe 32. Policy on Highway Lighting, December, 1979, New York State Department of Transportation, 50 Wolf Road, Albany, NY 12232. 33. Safety Effects of Marked vs. Unmarked Crosswalks at Uncontrolled Locations: Final Report and Recommended Guidelines, HRT-04-100, September 2005, US Department of Transportation, Federal Highway Administration, Turner-Fairbanks Research Center, 6300 Georgetown Pike, McLean, VA 22101-2296. (www.walkinginfo.org/pdf/r&d/crosswalk_021302.pdf) 34. Sketch-Plan Method for Estimating Pedestrian Traffic for Central Business Districts and Suburban Growth Corridors. In Transportation Research Record 1578, 1997, Transportation Research Board, National Research Council, 500 Fifth Street, N.W., Washington, DC 20001. (www.enhancements.org/trb/1578-06.pdf). 35. The Continuing Evolution of Pedestrian Walking Speed Assumptions, by John N. LaPlante, and Thomas P. Kaeser, ITE Journal, September 2004, Institute of Transportation Engineers, 1099 14th Street, N.W., Suite 300 W, Washington, DC 20005. 36. Vehicle and Traffic Law of NYS, NYS Department of Motor Vehicles, Empire State Plaza, Albany, NY 12228 (http://public.leginfo.state.ny.us/menugetf.cgi?COMMONQUERY=LAWS)

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HIGHWAY DESIGN MANUAL

REVISION 63

CHAPTER 19: REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES (Limited Revision)

MAY 19, 2011

Section 19.5 19.6. 19.14

Changes Updated Section 19.5 to refer to NYSDOT LRFD Bridge Design Specifications as the required design criteria. Changed software reference from NYSDOT Culvert Program to ETCulvert. Updated References.

5/19/11

CHAPTER 19 REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

Contents 19.1 19.2 19.3

Page

INTRODUCTION ................................................................................................ 19-1 SELECTION CRITERIA ..................................................................................... 19-3 PROJECT DEVELOPMENT PROCEDURES FOR BRIDGE SIZE CULVERTS . 19-4 19.3.1 19.3.2 19.3.3 19.3.4 19.3.5 Structure Type Selection ......................................................................... 19-4 Precast Arch and Arch-Topped Unit Guidelines ...................................... 19-4 Precast Frame Unit (Three-Sided Structure) Guidelines ......................... 19-5 Details/Contract Plans ............................................................................. 19-6 Quality Assurance Reviews ..................................................................... 19-6

19.4

FOUNDATIONS ................................................................................................. 19-7 19.4.1 19.4.2 19.4.3 19.4.4 Rock........................................................................................................ 19-7 Earth or Granular Soil ............................................................................. 19-7 Precast Frames, Arch-Topped Units and Arches .................................... 19-8 Wingwalls................................................................................................ 19-8

19.5

DESIGN GUIDELINES FOR BOX CULVERTS .................................................. 19-9 19.5.1 Design Method ........................................................................................ 19-9 19.5.2 Dead Load and Earth Pressure ............................................................... 19-9 19.5.3 Live Load .............................................................................................. 19-10 19.5.4 Wall Thickness Requirements ............................................................... 19-10 19.5.5 Concrete Strength ................................................................................. 19-10 19.5.6 Reinforcement Requirements................................................................ 19-11 19.5.7 Skewed Precast Units ............................................................................ 19-11 19.5.8 Detailing Requirements.......................................................................... 19-11 19.5.9 Load Rating Requirements .................................................................... 19-11 19.5.10 Span-to-Rise Ratios ............................................................................. 19-12

19.6

COMPUTER DESIGN AND ANALYSIS PROGRAM ........................................ 19-13

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19.7

DESIGN AND DETAILS OF CONCRETE CULVERTS ............................................19-14 19.7.1 19.7.2 19.7.3 19.7.4 Contract Plans ..............................................................................................19-15 Design Procedure .........................................................................................19-17 Reinforcement ..............................................................................................19-23 Headwalls/Edge Beams ................................................................................19-25

19.8

PRECAST CONCRETE CULVERTS........................................................................19-25 19.8.1 19.8.2 19.8.3 19.8.4 19.8.5 19.8.6 Contract Plans ..............................................................................................19-26 Reinforcement ..............................................................................................19-27 Design and Fabrication .................................................................................19-27 Precast Frames, Arch-Topped Units and Arches ..........................................19-27 Designer Notes for Precast Culverts .............................................................19-28 Shop Drawing Approvals...............................................................................19-28

19.9

GUIDE RAILING ......................................................................................................19-28

19.10 CUT-OFF WALL ......................................................................................................19-30 19.11 LOW-FLOW DISH....................................................................................................19-30 19.12 APRONS ..................................................................................................................19-31 19.13 SUBBASE DRAINAGE ............................................................................................19-32 19.14 REFERENCES .........................................................................................................19-34

LIST OF FIGURES 19-1 19-2 19-3 19-4 19-5 19-6 Typical Cross Sections, Cast-In-Place......................................................................19-18 Wing Walls Plan and Elevation, Cast-In-Place .........................................................19-19 Contraction & Construction Joint, Cast-In-Place ......................................................19-20 Wing Wall Plan, Culvert on Skew, Cast-In-Place......................................................19-21 Wing Wall Aprons, Cast-In-Place ............................................................................19-22 Reinforcement Diagram, Cast-in-Place ....................................................................19-24

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REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19.1 INTRODUCTION

19-1

This chapter presents the requirements for designing reinforced concrete culverts. It also provides guidance about the information to include in the contract documents, where to present the information, and details for cast-in-place culverts. The information in this chapter is intended to be used as guidelines and minimum recommendations. A list of available references needed to complete a culvert design is also provided. As with any structural engineering design, alternate design methods are available. The designer has the ultimate responsibility to provide an efficient, safe design. It is not possible to provide guidance for all conditions so guidance is provided for the typical design. Engineering judgment will need to be used for most projects. The history of the project site must always be evaluated and must be factored into each design. Each location will usually have some unique character (floods, scour, surroundings, salt water, historic character, etc.). Unique environments need to be thoroughly evaluated and all environmental requirements satisfied. Definitions (explanations of the terminology used in this chapter) follow: A culvert is defined in the Standard Specifications as any structure, whether of single- or multiple-span construction, with an interior width of 6.096 m (20 ft.) or less when the measurement is made horizontally along the center line of the roadway from face-to-face of abutments or sidewalls. Structures spanning more than 6.096 m (20 ft.) along the center line of the roadway are considered bridges. The information in this chapter applies to both culvert and bridge size culverts. While it is recognized that any structure with a span over 6.096 m is technically not a culvert, for simplicity, all structures in this chapter will be referred to as culverts. However, the procedures for designing culverts and bridges are significantly different due to the differing risks associated with the size of the structure. Safety and economic issues and technical complexity can vary significantly with differing site conditions which will dictate the size and type of the most appropriate structural solution. Bridge-size culverts (>6.096 m) warrant more complex hydraulic and foundation treatments which require the expertise of a bridge engineer. Simpler, less complex, culvert-size structures (<6.096 m) may be designed by highway engineers with minimal oversight of a bridge engineer. Any questions on whom should design a specific-size structure should be discussed with the Regional Structures Engineer.

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19.1

19-2

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

The procedure for the hydraulic analysis of culverts differs based on the span length. It is recommended that for culverts with spans over 3.65 m (12 ft.) a HEC-RAS analysis or an equally sophisticated backwater analysis be used to determine the size and shape of the culvert. For smaller culverts, an approximate analysis such as HY8 may be used with the criteria outlined in Chapter 8 of this manual. Any structure with a span greater than 6.096 m will also require a more detailed analysis. The procedures for structures with a span greater than 6.096 m is outlined in the AASHTO Model Drainage Manual with NYSDOT modifications. The NYSDOT modifications for the AASHTO Model Drainage Manual and assistance in hydraulic design procedures for structures greater than 6.096 m may be obtained from the Structures Design and Construction Division or the Regional Hydraulics Engineer. There are two types of concrete culverts: four-sided (box) and three-sided. Concrete box culverts (four-sided) typically have rectangular cross sections. An arch or arch-topped culvert is considered a box culvert if the sidewalls are built monolithic with a bottom (invert) slab. Concrete box culverts are typically used where the streambed is earth or granular soil and rock is not close enough to the streambed to directly support the structure. Three-sided concrete culverts may be rectangular in nature or a frame with varying wall and/or slab thicknesses or an arch or arch-topped structure. They have separate foundations with footings supported by rock or piles or an invert slab. The largest culverts are typically not boxes; rather they are frames or arches and are discussed in Section 19.8.4. Use of three-sided concrete culverts where rock is not at or near the streambed require pile support for the footings or some other form of positive scour protection. Three-sided concrete culverts on spread footings may be used for railroads, cattle passes, equestrian/bicycle/pedestrian/golf cart paths, and other uses that do not convey water, i.e., they do not have scour vulnerability. The clear span is the perpendicular distance between the inside face of the sidewalls. The maximum clear span recommended for a concrete box culvert is 7.3 m. The design span for nonskewed culverts is the perpendicular distance between the centerlines of the sidewalls. For culvert units with skewed ends, the design span is the distance between the centerlines of the sidewalls parallel to the skewed end. A design span for a concrete box culvert in excess of 7.5 m may prove to be uneconomical.

19.1

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REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19.2 SELECTION CRITERIA

19-3

The most appropriate type of short-span structure must be determined by the designer. The basic choices are a corrugated metal structure, concrete box culvert, concrete frame or arch, and a short-span bridge. While the site conditions are the primary deciding factor for structure selection, aesthetics and economics are also very important. Precast and cast-in-place concrete culverts are usually more expensive in initial cost than corrugated metal structures. However, concrete culverts should not be rejected as an alternative without making an engineering analysis that includes suitability to the site and life-cycle cost estimates. The advantages of concrete culverts are superior durability for most environmental conditions, greater resistance to corrosion and damage due to debris, greater hydraulic efficiency, and typically longer service life (i.e., potentially lower life-cycle costs). At sites with limited headroom, concrete culverts may be the least expensive option. Corrugated metal structures may not fit the site conditions without appreciable changes to the roadway profile due to minimum height of soil cover requirements. Smaller corrugated metal structures typically require a minimum height of soil cover of 600 mm and for some structures the soil cover increases to 1.2 m or more depending on size and shape. Concrete culverts, frames, and arches can have the least amount of cover by placing a minimum of 100 mm of asphalt pavement directly on the top slab. Corrugated metal structures will also typically require taller structures to provide adequate waterway area below design high water than concrete culverts. If a corrugated metal structure is a viable option, an engineering and cost analysis should be done. Hydraulics may dictate the need for a concrete culvert because of excessive back water, excessive water velocity, or ice and debris. When a concrete culvert is selected as the appropriate structure for the site, a precast option should be the first choice. Speed of erection, maintenance of traffic, stream diversion problems, and site constraints can be minimized when this option is chosen. Before a final determination is made to use a large concrete culvert, the use of a short-span bridge with laid-back slopes and integral abutments should be investigated. Possible advantages of a bridge may be minimized work in the stream, speed of erection, minimized interference with the existing structure foundation, and easier stage construction. For procedural steps on planning short-span bridges, see Section 3 of the NYSDOT Bridge Manual. Information on corrugated metal structures (steel and aluminum) is available in Chapter 8 of this manual. Corrugated metal structures may be more cost efficient and should be considered when there will be no major risk of corrosion such as an arch on pedestal walls where there is infrequent water contact with the metal portion of the structure. Acceptable crossing features are railroad tracks or bicycle and equestrian paths.

12/16/05

19.2

19-4

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19.3

PROJECT DEVELOPMENT PROCEDURES FOR BRIDGE-SIZE CULVERTS

19.3.1 Structure Type Selection Section 3 and Appendix 3D of the NYSDOT Bridge Manual identify the planning procedures to follow in determining appropriate structure type for short-span structures. Proper selection of the feasible structure alternatives is based on site- and project-specific parameters, including but not limited to: Vertical and horizontal clearance requirements. Available beam (top slab) depth. Maintenance and protection of traffic requirements (e.g., stage construction). Construction constraints (e.g., water diversion requirements). Foundation requirements. Environmental concerns (e.g., natural streambed). Desired aesthetic treatments (e.g., arch appearance). Geometric limitations (e.g., skew angle, R.O.W. restrictions, utilities, etc.).

Sizes that are common to more than one manufacturer should be selected, whenever possible, in an effort to obtain competitive bidding. 19.3.2 Precast Arch and Arch-Topped Unit Guidelines Aesthetics concerns may make the use of arch-shaped units desirable. The use of arch-shaped facade panels is not recommended, especially for hydraulic openings due to ice and debris problems. The amount of skew that can be fabricated varies. Some fabricators prefer to produce only 0 skew units. In cases where squaring of the unit ends would create a geometric conflict (proposed R.O.W. problems, utilities, stage construction, or site geometry), it must be clearly indicated on the contract plans as follows: DUE TO SITE RESTRICTIONS, ONLY SKEWED-END UNITS ARE ACCEPTABLE. If site constraints do not eliminate the squaring of the ends, it must be clearly indicated on the contract plans as follows: SQUARED-END UNITS MAY BE SUBSTITUTED FOR THE SKEWED-END UNITS SHOWN WITH NO CHANGE IN THE PAYMENT LIMITS SHOWN AND AT NO ADDITIONAL COST TO THE STATE. When railing or barrier is attached to the skewed headwall and site constraints do not eliminate the squaring of the ends, include the following note on the contract plans:

19.3.2

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REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19-5

IF THE CONTRACTOR PROPOSES TO SUBSTITUTE SQUARE ENDS, DETAILS OF HOW THE RAILING/BARRIER ATTACHMENT IS TO BE ADDRESSED MUST BE PROVIDED BY THE CONTRACTOR AND APPROVED BY THE ENGINEER. An arch unit is preferable whenever units are to be placed on a pedestal-type wall to create a grade separation for motor vehicles or trains, and a dry environment is mandatory. The arch shape addresses any possible ponding problem of surface drainage that a flat unit cannot address without special fabrication or field adjustment needs. Arch units are preferred in cases where fills above the precast units are 3 m (10 ft.) or more. Precast arch-topped units are currently available in spans up to 14.6 m (48 ft.). Arched units have been used as liners for old masonry or concrete arches. After the construction of a pedestal wall at the base, the unit can be slid into place. The void between the existing arch and the liner is filled with grout installed through fittings cast into the liner units. Large arch units may be shipped in 2 or 3 pieces and assembled on site.

19.3.3 Precast Frame Units (Three-Sided Structures) Guidelines Many of the precast, frame-type units can be fabricated with skew angles up to 45. This characteristic is useful when stage construction is proposed. When used for staged construction with shallow highway pavements, no temporary spandrel walls are needed at the staging line to support the fill or pavement. Frame units provide a simpler bridge rail/headwall connection detail. Frame units provide a hydraulic opening greater than arches of equivalent clear span when flowing full. Precast frame units can be fabricated by some manufacturers with any increment of span length up to 12.2 m, although typical span length increments are 600 mm. Maximum rise of the units is normally limited to 3.1 m due to shipping and handling considerations. If a larger rise is necessary, the designer should investigate the need for a pedestal wall.

12/16/05

19.3.3

19-6

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19.3.4 Details/Contract Plans If a precast, three-sided frame, arch or arched-topped structure is determined to be the most appropriate solution, the following procedures should be followed: The plan view in the contract plans shall clearly show the orientation of the ends of the structure. The two most typical options for culverts on a skew are ends parallel to the centerline of the roadway (skewed ends) or ends perpendicular to the centerline of the structural units (square ends). The end treatment depends upon the skew, whether it is in a fill section or at grade, the location within the R.O.W., conflicts with utilities, stage construction details, the alignment of the feature crossed, and other site limitations. Skewed ends may require additional reinforcement and can lead to constructability issues. The maximum skew at which a precast unit should be fabricated is 45. The culvert orientation to the of the highway may be at a skew greater than 45. Include a full elevation view in the contract plans showing the configuration of the most appropriate type unit (e.g., frame or arch). Any limitations on using a larger span must be shown. (Since some manufacturers only fabricate units at fixed increments of span length, showing the limitations would allow the manufacturers to bid using special units or the next larger span length of their standard units). Show some of the other acceptable structure types in separate partial elevation views. Limiting spans and heights must be shown for all alternatives. Three-sided frames that have a clear span-to-rise ratio greater than 4:1 should have the structure modeled with a pin and roller support if any displacement at the support is anticipated. When a clear span-to-rise ratio greater than 4:1 is required at a specific site, a multicell structure or a conventional bridge should be considered. No fabricator shall be eliminated from consideration by NYSDOT for a given project. However, specific project requirements that may exclude some fabricators must be identified (such as fabrication on a skew or a desired arched appearance). For four-sided culverts, the payment limits shall be identified as the length of the total structure along a longitudinal centerline of the structural units. For three-sided structures, the payment limits shall be identified as the area of the structure in plan view. The applicable details in Section 19.7.1 shall be placed on the plans.

19.3.5 Quality Assurance Reviews

The office of the design engineer responsible for the contract plans is also responsible for

the review of the design calculations for the units as well as any revisions to the foundation design. The policies and procedures for assuring quality in Section 20 of the Bridge Manual shall be followed. 19.3.5 12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES See Section 19.8.6 for information on design and shop drawing approvals. 19.4 FOUNDATIONS

19-7

All structures discussed in this chapter, regardless of span and height of cover, are considered buried structures in regard to foundation design. Thus, there is no requirement for seismic analysis. This may change in the future as more research is completed. For culverts with spans greater than 6.096 m, foundation recommendations are provided to the designer in the Foundation Design Report (FDR). The FDR is prepared by the Geotechnical Engineering Bureau in conjunction with Structures Design and Construction Division. Foundation design questions should be directed to the Structures Design and Construction Division. Foundation design parameters for culverts with spans less than 6.096 m are provided by the Geotechnical Engineering Bureau. Typical foundation treatment types can be found in the current Bridge Detail sheets (BDCBx). The Regional Geotechnical Engineer or the Geotechnical Engineering Bureau should be consulted to determine the proper foundation treatment. 19.4.1 Rock When sound rock is at or near the surface of a streambed, an invert slab is not required. Concrete footings are either keyed or doweled into rock based on a consultation with an Engineering Geologist from the Geotechnical Engineering Bureau. If the elevation of the rock surface varies by 600 mm or less, the wall height should be constant and the footing height varied. If the variation in rock surface elevation exceeds 600 mm, the height of the culvert wall may be varied at a construction joint or at a precast segment joint. In some cases, it may be required to use walls of unequal heights in the same segment, but this should be avoided. 19.4.2 Earth or Granular Soil When a concrete culvert cannot be founded on rock, an invert slab should be the first choice for the foundation treatment. However, in areas of compact soil and low stream velocities, three-sided concrete culverts may be used if they have positive scour protection such as piles, sheeting, articulated concrete mats, rip-rap lined invert, or spread footings founded below the calculated scour depth. In areas with a significant potential for cobbles and boulders to move with the bed load, a three-sided culvert with a strip footing on piles should be investigated. The movement of cobbles and boulders will damage a concrete invert and reduce its life span. To avoid differential settlement, concrete box culverts should never be founded partially on rock and partially on earth. If rock is encountered in a limited area, it should be removed to a minimum depth of 300 mm below the bottom of the bottom slab and backfilled with either 12/16/05 19.4.2

19-8

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

select granular material or crushed stone. Concrete culverts are rigid frames and do not perform well when subjected to differential settlement due to a redistribution of moments. If differential settlement cannot be avoided, a concrete culvert should not be used. All precast concrete box culverts should have a designed undercut and backfill. The Regional Geotechnical Engineer or the Geotechnical Engineering Bureau should be consulted to determine the depth of the undercut and type of backfill material required. The current BD-CBx sheets show recommended foundation treatments. A concrete box culvert can be considered if settlement is expected and the foundation material is fairly uniform. However, the culvert should be designed to accommodate additional dead load due to subsequent wearing surface(s) which may be needed to accommodate the settlement of the box. The Geotechnical Engineering Bureau can provide an anticipated settlement amount. If the foundation material is extremely poor and it is desirable to limit settlement, the problem should be referred to the Regional Geotechnical Engineer or the Geotechnical Engineering Bureau to determine the best course of action. A typical remedy might be removal of unsuitable or unstable material and replacement with suitable material. 19.4.3 Precast Frames, Arch-Topped Units, and Arches When a bridge-size, three-sided structure is selected for a site, there are several types that may meet the project specifications. The designer must decide which specific type of unit would best fit that particular application and use those vertical and horizontal reactions for design of the foundations. The designer may contact known fabricators for design reactions. If no specific type of unit is determined as most appropriate, a conservative estimate of the design reactions of all types should be used. The following note shall be included on the final contract plans: THE ASSUMED VERTICAL REACTION IS _____ kN/m. THE ASSUMED HORIZONTAL REACTION IS _____ kN/m. THE CONTRACTOR MUST SUBMIT A REVISED FOUNDATION DESIGN TO THE ENGINEER IN CHARGE IF THE ACTUAL LOADS OF THE SUPPLIED STRUCTURE EXCEED THESE ASSUMED VALUES. THE REVISED DESIGN SHALL BE SUBMITTED AT THE SAME TIME THE DESIGN CALCULATIONS FOR THE THREE-SIDED STRUCTURE ARE SUBMITTED FOR APPROVAL. 19.4.4

Wingwalls

A wingwall is a retaining wall placed adjacent to a culvert to retain fill and to a lesser extent direct water. Wingwalls may be cast-in-place or precast. Wingwall/retaining wall design information is provided in Chapter 9 of this Manual and Section 11.5.3 of the Bridge Manual. Wingwall design is not included in this Chapter. Computer programs available for cast-inplace wall design are BRADD2 and WALLRUN. Computer programs (C-WALL and BINWALL) are in the development stages for precast cantilever and bin type walls. If 19.4.4 12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19-9

design assistance is required, contact the Regional Structures Engineer or the Structures Design and Construction Division. If assistance in the determination of appropriate type of wall is required contact the Geotechnical Engineering Bureau or Regional Geotechnical Engineer. Wingwall alignment is highly dependent on site conditions and should be evaluated on a case-by-case basis. The angle(s) of the wall(s) on the upstream end should direct the water into the culvert. It is also desirable to have the top of the wall elevation at its end above the design high water elevation to prevent overtopping of the wall. When precast wingwalls are allowed the designer should be aware of potential conflicts with ROW, M&PT, utilities, etc. The footprint of the footing and excavation, especially for bin type walls, can be extensive. Note(s) should be placed on the plans alerting the Contractor to these requirements when they exist. Due to the skew and/or grade differences between the precast culvert unit and precast wingwalls it is necessary to do a cast-in-place closure pour between the culvert end unit and the wingwalls. A closure pour is not required if cast-in-place wingwalls are used. See the current BD-CBx sheets for details. 19.5 DESIGN GUIDELINES FOR REINFORCED CONCRETE CULVERTS

Reinforced concrete box culverts (prismatic precast or cast-in-place, four-sided or threesided) subjected to either earth fill and/or highway vehicle loading shall be designed in accordance with NYSDOT LRFD Bridge Design Specifications and the guidelines in Sections 19.5.1 - 19.5.10. 19.5.1 Design Method The design and analysis method shall be in accordance with NYSDOT LRFD Bridge Design Specifications. 19.5.2 Dead Load and Earth Pressure The dead load on the top slab shall consist of the pavement, soil, and the concrete slab. For simplicity, assume the pavement as soil. The following criteria shall be used in determining dead load and earth pressures for design: Soil Concrete Lateral earth pressure = = = 19 kN/m , (120 pcf) 24 kN/m3, (150 pcf) 2.9 kPa max., 1.45 kPa min. (60 pcf max., 30 pcf min.)
3

5/19/11

19.5.2

19-10

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19.5.3 Live Load Reinforced concrete box culverts shall be designed for HL-93 vehicle live load and the NYSDOT Design Permit Vehicle. 19.5.4 Wall Thickness Requirements Exterior wall thickness requirements for reinforced concrete box culverts shall be controlled by design, except that minimum exterior wall thickness requirements have been established to allow for a better distribution of negative moment, corner reinforcement as follows: CLEAR SPAN <2.44 m 2.44 m & < 4.27 m 4.27 m & < 6.096 m 6.096 m MINIMUM EXTERIOR WALL THICKNESS 150 mm 200 mm 250 mm 300 mm

Interior wall thickness, in multicell applications, shall be controlled by design but shall not be less than 150 mm in any instance. 19.5.5 Concrete Strength Reinforced concrete box culverts shall be designed for the following concrete strengths: Precast Cast-in-place f'c = 35 MPa, min. to 50 MPa, max. (increments of 5 MPa) f'c = 21 MPa

19.5.5

5/19/11

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-11 19.5.6 Reinforcement Requirements Reinforcement shall be either bar reinforcement, welded wire fabric (plain), or welded wire fabric (deformed) in accordance with NYSDOT LRFD Bridge Design Specifications. When the fill height over the box culvert is less than 600 mm, all reinforcing steel in the top mat of the top slab shall be epoxy-coated or the concrete shall contain corrosion inhibitor. All faces of reinforced concrete box culverts not requiring design or distribution reinforcement shall be reinforced with the equivalent of #13 bar reinforcement at 300 mm centers in each direction. Under no circumstances shall any reinforcement be spaced greater than 300 mm. Shear reinforcement and/or slab and wall thicknesses shall be designed to have adequate shear capacity in accordance with NYSDOT LRFD Bridge Design Specifications. 19.5.7 Skewed Precast Units Skewed precast culvert sections shall be designed for whichever of the following two conditions controls: The skewed end clear span analyzed without the skew effect. The square end clear span analyzed with the skew effect.

19.5.8 Detailing Requirements The minimum reinforcing bar cover requirements for cast-in-place and precast box culverts shall be as indicated in Section 15 of the Bridge Manual. Top and bottom slab, outside-face, transverse steel shall be full-length bars, unless spliced to top and bottom corner reinforcing steel. 19.5.9 Load Rating Requirements Bridge-size culverts, as defined by the Uniform Code of Bridge Inspection, shall require the submission of two (2) copies of detailed load rating calculations prepared in accordance with the current AASHTO Manual for Bridge Evaluation with all interim provisions in effect. Calculations shall be certified and stamped by a professional engineer currently registered and authorized to practice in New York State and shall specify which method (Allowable Stress or Load Factor) was used in load rating computations. Load ratings will also be computed by the Load and Resistance Factor Rating (LRFR) method. Bridge-size precast box culverts shall be load rated by the fabricators licensed professional engineer and the both load ratings shall be shown on the approved fabrication drawings, 5/19/11 19.5.9

19-12

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

which are to be included in the record plans. Cast-in-place box culverts shall be load rated by the licensed professional engineering designer and the load rating shall be shown on the contract plans. Load rating calculations shall be based on the AASHTO HS or MS live-load vehicle for the Allowable Stress or Load Factor rating and HL-93 live load vehicle for the Load and Resistance Factor Rating. Inventory and operating values shall be reported in either English or metric tons. Level one load ratings shall be maintained in the Regional Office. 19.5.10 Span-to-Rise Ratios Three-sided box culverts and frames with clear span-to-rise ratios that exceed 4-to-1 are not recommended. Designers of these units typically compute moments, shears, and thrusts based on fully pinned support conditions that are able to resist horizontal forces and prevent horizontal displacements. When span-to-rise ratios exceed 4-to-1, frame moment distribution is more sensitive to support conditions, and positive moments at mid-span can significantly exceed computed values even with relatively small horizontal displacement of frame leg supports. If it is necessary to use a three-sided frame with a span-to-rise ratio in excess of 4-to-1, the structure should be analyzed for mid-span positive moment using pin-roller support conditions. Fully pinned support conditions could be used if site and construction conditions are able to prevent horizontal displacement of frame leg supports. Such a condition may exist if footings are on rock, and frame legs are keyed into footings with adequate details and construction methods.

19.5.10

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REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-13

19.6

COMPUTER DESIGN AND ANALYSIS PROGRAM

This section provides an overview of the software currently used by NYSDOT for design and analysis of reinforced concrete culverts. It should not be construed as an endorsement of any software by NYSDOT. Unless noted by contract, consultants to NYSDOT are not required to use this software. Users should refer to the corresponding manuals for more detailed instructions and limitations The current version of ETCulvert by Eriksson Technologies is used by the Office of Structures. It has been distributed to NYSDOT Regional Structures personnel and is also used by the Precast Concrete Association of New York (PCANY). Questions regarding the use of this program or how to obtain a copy and/or a Users Manual should be addressed to Eriksson Technologies at www.lrfd.com. ETCulvert will design and/or analyze a one-cell reinforced concrete box culvert with prismatic members (precast or cast-in-place), with or without bottom slab in accordance with the design criteria in NYSDOT LRFD Bridge Design Specifications or AASHTO Standard Specifications for Highway Bridges. The program will design wall and slab thicknesses and required reinforcement for a box culvert and provide the bar schedule and Load Rating.

5/19/11

19.6

19-14

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19.7

DESIGN AND DETAILS OF CONCRETE CULVERTS

Standard details for cast-in-place concrete culverts are shown in Figures 19-1 through 19-6. Standard details for precast concrete culverts are shown in the current Bridge Detail (BDCBx) sheets. These standard details are available for use by designers in Microstation format. When a cast-in-place concrete culvert is proposed for a site, the designer is required to provide a complete design for the contract plans. If a precast concrete culvert is proposed, the contactor/fabricator will be required to submit the design and fabrication details to the State for approval. This should be done within 45 days following the contract award date or as indicated in the contract documents. If alternate designs (i.e., cast-in-place vs. precast) are proposed for a site, the bar list table for the cast-in-place culvert unit may be omitted from the contract plans. Once the contract has been awarded and an alternate is chosen, the designer must provide a complete design if the cast-in-place alternate is selected. This should be done within 45 days following the contract award date, or as indicated in the contract documents.

19.7

12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-15 19.7.1 Contract Plans The contract plans should include these minimum design details, if applicable. Refer to the Bridge Manual for information on plan standards for bridge-size culverts. A plan view showing: Grid north arrow. Scale bar. Existing highway boundaries including existing ROW monuments. New right of way line(s) including proposed ROW monuments. Individual ROW parcels, reputed owner, map and parcel numbers, and type of acquisition. Culvert or bridge identification number (BIN). Culvert and highway alignment. Survey baseline: transit stations, ties, azimuths, and relation to new centerline. Stream channel alignment. Stream flow direction. Skew angle of the culvert relative to a line perpendicular to the centerline of roadway. Stationing along the culvert centerline, including beginning and ending station. Equality stations for the intersection stream alignment with the highway centerline. Length of culvert. Subsurface exploration locations (e.g., boring locations). Culvert item number and description. Culvert end treatment (end unit or wing wall orientation). Scour protection. Slope protection. Limit of stream work. Utility facilities (above ground and underground). Railing or barrier type. Limits of pavement work (e.g., resurfacing, reconstruction, shoulder widening). Limits of grading. A longitudinal section (elevation) along the culvert centerline showing: Culvert or bridge identification number (BIN). Invert elevations. Existing stream bottom or original ground. Culvert stationing including begin and end station. Typical highway section, including rail treatment. Any membrane waterproofing or top slab wash including any protective overlay for membrane protection (see Section 19.13). Earth cover, measured from the top of the top slab to the top of pavement. Foundation treatment (footing on rock or piles, four-sided box with cut-off walls). Scour protection, including any keyways or geotextile lining. Channel work. All pertinent foundation details including bedding material. 12/16/05 19.7.1

19-16

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES Culvert end treatments. Any utility facilities attached to the fascia, in the embankment, barrier, or sidewalk. End units or wing walls, headwalls, and cutoff walls with elevations and dimensions. A culvert section showing: Culvert clear span and rise. All pertinent foundation details including bedding material. Chamfers. Membrane waterproofing or top slab wash (see Section19.13). Excavation and backfill payment limits and items. Low-flow dish. Miscellaneous details showing: Maintenance and protection of traffic including provisions for pedestrians Construction staging Information (determines lengths of segments and potential need for skewed segments) including appropriate excavation support and protection systems (e.g., sheeting). Railing details: Locate the railing on the culvert and indicate how it is to be attached. See Section 19.9 and current BD-CBx sheets. End unit treatment: Provide details for square, skewed, beveled, or open end unit. Headwall, cut-off wall, wing wall, apron slab and nosing information: Provide geometry, reinforcement, location on culvert, keyway details, and connection details. Wing wall sections showing excavation and backfill items and pay limits and appropriate excavation protection. Slope and/or stream bank protection. Channel section detail. Culvert-end, safety grate details. Removal of existing culvert(s). Temporary detour location including type, size, and loading requirements for any necessary detour structures. Cofferdams or water diversion. Erosion and sediment control plan and/or stormwater pollution prevention plan. Any other necessary information which cannot be clearly presented in the culvert plans, longitudinal section, or culvert section. Notes indicating: Live loading requirements: MS-23 unless another loading is required. Hydraulic data: All culverts should show 50-year design flow (Q50) or the design flow used. A table of hydraulic data and the minimum hydraulic area perpendicular to flow below Design High Water shall be shown for culverts that are categorized by definition as bridges. Erosion and sediment control and stormwater pollution prevention plan requirements

19.7.1

12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-17 Restrictions for work in streams. Precast Culvert Requirements: See Designer Notes for Precast Culverts in Section 19.8.5. In addition, if draw connectors are to be left in place, include a note stating: Draw connectors are to be left in place and shall be galvanized in accordance with 719-01 of the Standard Specifications. Electrical safety requirements: See NYSDOT Bridge Manual. Assumed wall, top slab, and bottom slab thicknesses. Culvert Identification Number Plate. Note to designer: If a culvert has an identification number, a plate shall be placed or maintained in a similar fashion to a Bridge Identification Number (BIN) plate. Cost of the plate shall be included in the various items in the contract. Include BIN special note in contract. Tables Tables as shown on current BD-CBx sheets. Tables may be helpful for projects which involve multiple culverts. The information in the tables should include: Culvert or bridge identification number (BIN). Mainline stationing. Length. Item number and description. Remarks.

19.7.2 Design Procedure Determine the clear span and rise of the culvert using proper design procedures for the feature crossed (see Sections 19.2 and 19.3). See Chapter 8 of this manual for information on designing the opening of structures with spans of 6.096 m or less crossing water features. Determine the minimum and maximum height of the fill, which is the distance from the top of the roadway to the top of the top slab of the culvert. This is based on an assumed top slab thickness. For a cast-in-place culvert, use the Culvert Program (Section 19.6) or manual calculations to determine the wall and slab thickness and required reinforcement. If an extreme skew (e.g., 60) is necessary, squaring the ends should be considered if site conditions will allow. Squaring the ends will reduce the required top slab thickness, the reinforcement, and edge beam requirements. Under certain conditions (e.g., staged construction, ROW issues, utility conflicts, detour conflicts), the units may need to be skewed. Precast design requirements are in Section 19.8.

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19.7.2

19-18

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

Figure 19-1 Typical Cross Sections, Cast-In-Place

Refer to 19.7.1

12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-19 Figure 19-2 Wing Walls Plan and Elevation, Cast-In-Place

12/16/05

Refer to 19.7.1

19-20

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

Figure 19-3 Contraction and Construction Joint, Cast-In-Place

Refer to 19.7.1

12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-21 Figure 19-4 Wing Wall Plan, Culvert on Skew, Cast-In-Place

12/16/05

Refer to 19.7.1

19-22

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

Figure 19-5 Wingwall Aprons, Cast-In-Place

Refer to 19.7.1

12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-23 19.7.3 Reinforcement The main reinforcement in the top and bottom slabs shall be perpendicular to the sidewalls in cast-in-place culverts and nonskewed units of precast culverts. In a cast-in-place concrete culvert with a skewed end unit, the top and bottom slab reinforcement will be "cut" to length to fit the skewed ends. The "cut" transverse bars have the support of only one culvert sidewall and must be supported at the other end by the edge beam or cut-off wall. See Figure 19-6. For reinforcement requirements of skewed precast culverts, see Section 19.8.2. When the fill height over the culvert is less than 600 mm, all reinforcing steel in the top mat of the top slab shall be epoxy-coated or the concrete shall contain corrosion inhibitor. All reinforcement contained within the headwall or edge beam including the reinforcement that extends into the top slab of the culvert shall be epoxy-coated and shall meet the requirements of 709-04 of the Standard Specifications or the concrete shall contain corrosion inhibitor. If the headwall or edge beam is a significant distance from the highway where it is not in danger from chlorides, the epoxy coating can be eliminated. The following bar label criteria shall be used for box culverts: Bar Identification Schedule (see Figure 19-1) A1 A2 A100 A200 A300 A400 B1 B2 B3 C1 C100 C200 Top Corner Bars (design steel) Bottom Corner Bars (design steel) Top Slab, inside face transverse bars (design steel) Bottom Slab, inside face transverse bars (design steel) Top Slab, outside face transverse bars (design steel for multiple cells) Bottom Slab, outside face transverse bars (design steel for multiple cells) Exterior wall, inside face vertical bars (design steel) Exterior wall, outside face vertical bars (design steel) Interior wall, vertical bars both faces (design steel) Top Slab, bottom slab and wall longitudinal bars (temperature reinforcement) Top Slab, inside face longitudinal bars (design distribution steel) Bottom Slab, inside face longitudinal bars (design distribution steel)

See the Culvert Program Users Manual for bars used less frequently. This bar schedule is valid for cast-in-place and precast culverts.

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19.7.3

19-24

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

Figure 19-6 Reinforcement Diagram, Cast-in-Place

19.7.3

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REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-25 19.7.4 Headwalls/Edge Beams Headwalls are normally used on all culverts. In deep fills a headwall helps retain the embankment. In shallow fills the headwall may retain the subbase and/or highway pavement and provide the anchorage area for the railing system. Headwalls that are over 300 mm in height or have a railing attachment should be cast-inplace. Headwalls 300 mm or less in height with no railing attachment may be either precast or cast-in- place. If a curb must be placed on a culvert without a sidewalk, the headwall must be cast-in-place to allow for the tie-in of the curb's anchor bar, unless the curb is also placed at the precast plant. The typical maximum height of headwalls is 900 mm. Greater heights are attainable but are only used in special cases. Design and analysis of the headwall is required for heights above 1.8 m. See the current BD-CBx sheets for the minimum required reinforcement for heights up to 1.8 m. Cast-in-place culverts with skewed ends may require additional stiffening of the top and bottom slabs by what is most commonly called an "edge beam" in the top slab and a "cut-off wall" in the bottom slab. An edge beam is very similar to a headwall in that it may be used to anchor guide railing posts or retain earth fill. Its main purpose, however, is to stiffen the top slab of cast-in-place culverts that lose their rigid frame action as a result of having a skewed end. A cut-off wall will stiffen the bottom slab as well as prevent water from undermining the culvert (see Section 19.10). When additional strength is required in the concrete edge beam, the following criteria shall be used: If there is a 1-on-2 slope to the edge beam, it will be more economical to increase the depth of the edge beam in order to meet the required design. When the edge beam is at shoulder elevation (anchoring guide rail), the edge beam height should be maintained and the width of the edge beam should be increased. Assistance in edge beam and cut-off wall design may be obtained from the Structures Design and Construction Division. 19.8 PRECAST CONCRETE CULVERTS

Precast concrete culverts are fabricated in a plant where the ability to control placement and curing conditions typically results in higher strength and more durable concrete. Precasting permits efficient mass production of concrete units. The advantages usually more than offset the cost of handling and transporting the units to the site. The majority of concrete culverts installed are precast.

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19.8

19-26

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

Precast units are limited to certain sizes and skews due to transportation and handling concerns. Skewed units may need more reinforcement and thicker slabs and/or sidewalls. The use of skewed units will increase the cost of the culvert due to increased fabrication costs. In culvert installations with square end units, each interior unit will routinely be square unless the designer has included special requirements in the contract documents. Staged construction is an example of a special requirement which may require skewed interior units. The units that meet at the division of the stages may need to be skewed to provide adequate width for travel lane(s). Skewed precast culvert units should be avoided, if practical. Precast concrete culverts should have square ends, whenever possible. Skewed units are sometimes required to satisfy right-ofway constraints and/or staged construction requirements for skewed alignments. In the event they are necessary, skewed precast culvert units shall be designed for the skewed-end design span. Large skews may lead to units that require additional reinforcement and/or greater wall and slab thickness than typical square units with the same clear opening. Fabricators should be contacted for information on maximum skews available. In culvert installations with skewed end units, the interior units will routinely be square and the end unit skewed at each fascia. However, this will usually be determined by the manufacturer of the precast units unless the designer has included special requirements in the contract documents. Precast culverts may regularly need to be placed on moderate or steep grades. No maximum slope is recommended for box culverts because of the need to match the slope of the streambed. When the slope of the culvert exceeds 5%, the top of the cut-off wall should be beveled to match the slope. However, larger three-sided box culverts and the frames and arches discussed in Section 19.8.4 should be limited to a maximum slope of 2%. Precast fabricators should be contacted for the maximum grade that can be fabricated if the designer is proposing a grade larger than 2%. If matching a steep streambed slope is necessary for a three-sided culvert, the footings can be stepped and/or the length of the sidewall varied. When two or more single-cell, precast concrete culverts are placed side-by-side, it is usually not possible to place the walls of adjacent cells tightly together. It is reasonable to detail a 50 mm to 100 mm gap between the walls of adjacent cells. This gap should be filled with any concrete item in the project or Class D concrete if no other concrete item is available. 19.8.1 Contract Plans Dimensions of the sidewalls and top and bottom slab, and reinforcement size and spacing should not be shown on the plans, unless necessary. If sidewall or top slab dimensions are dictated by site conditions, show only affected dimensions and indicate if they are minimums, maximums, or specifically required dimensions. The assumed top slab dimension used to determine fill limits should be shown in the table as indicated in the current BD-CBx sheets. A note in the contract plans shall require the manufacturer, through the contractor, to provide all design details not included in the contract plans. This method should result in the most economical culvert design. 19.8.1 12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-27 19.8.2 Reinforcement The main reinforcement in the top and bottom slabs shall be perpendicular to the sidewalls except in skewed units. Precast concrete culverts with skewed ends cannot use edge beams as stiffening members because of forming restrictions. For this reason, transverse reinforcement cannot be "cut," as in cast-in-place culverts, to fit the skewed end unit. When a precast end unit is skewed, the transverse reinforcement must be splayed to fit the geometry of the skew. This splaying of the reinforcement will increase the length of the transverse bars and, more importantly, the design span of the end unit. For small skews, the splayed reinforcement is usually more than adequate. However, large skews may require more reinforcement and can increase the design span to the point where increased slab thickness may be necessary. If the sidewalls of a three-sided culvert are rotated to accommodate the skew angle, thereby leaving main reinforcement parallel to the centerline of the over roadway, the three-sided culvert shall be designed for the design span parallel to the main reinforcement. See Section 19.7.3 for bar identification schedule. 19.8.3 Design and Fabrication When contract plans do not contain complete design details for the precast concrete culvert, the Contractor shall be responsible for providing them. All design submissions from the Contractor shall include a complete set of working drawings and a complete set of design calculations. The drawings and the design calculations shall be stamped by a professional engineer licensed to practice in New York State. If the Culvert Program (Section 19.6) is used to design the culvert, the program input and output sheets shall be submitted for the design calculations. Fabrication requirements of precast concrete box culverts are contained in 706-17 of the Standard Specifications. 19.8.4 Precast Frames, Arch-Topped Units, and Arches In addition to box units, there are various types of proprietary, precast concrete frames, archtopped units, and arches available. These units are typically used when larger culverts (spans 6 m ) are required. They can be considered when hydraulics can be adequately provided and/or aesthetics are a consideration. Where appropriate, they may be placed on a combined invert footing/slab, footings on rock, or pile-supported footings. The advantages of the precast concrete arches and frames are the same as for the precast concrete box culverts, except that longer spans (up to 14.6 m) are possible.

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19.8.4

19-28

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19.8.5 Designer Notes for Precast Culverts 1. For headwalls where H>1.8 m, specific design information must be provided in the contract documents. H is the height of the headwall above the top of the top slab. See current BD-CBx sheets. Headwalls where 0.3 mH1.8 m are to be attached to the box culvert by use of mechanical connectors for reinforcing bar splices meeting the requirements of 709-10 (epoxy-coated) of the Standard Specifications. The female-threaded portion of the connector is cast into the box culvert. Threaded inserts, where detailed, shall be designed for use with #16 and #19 reinforcing bars. Inserts shall be noncorrosive and, when used in 35 MPa concrete, able to resist minimum pull out loads of 49 kN for #16 reinforcing bars and 71 kN for #19 reinforcing bars.

2.

3.

19.8.6 Design and Shop Drawing Approvals The Materials Bureau has design and shop drawing approval authority for precast concrete box culverts. Precast concrete box culvert designs are delegated to Contractors who are required to provide designs by a New York State licensed professional engineer as part of the box culvert pay item. The Structures Design and Construction Division will assist the Materials Bureau in this function by providing quality assurance reviews of the culvert designs. Design calculations for all box culverts shall be submitted to the Department and retained in the project design folder. All shop drawings require a quality assurance review for general compliance of contract requirements and for suitability of the design for the given design conditions. Fabrication requirements of precast concrete arches and frames are contained in 562 of the Standard Specifications. The Contractor shall be responsible for providing all design computations and details for these units. The drawings and the design calculations shall be stamped by a professional engineer licensed to practice in New York State. The Deputy Chief Engineer Structures has design and shop drawing approval authority for precast concrete arches and frames. 19.9 GUIDE RAILING

The Department has set policy that requires highway rail to meet NCHRP 350 Test Level-3 (TL-3) and requires bridge rail to meet AASHTO LRFD TL-4 in most situations. See the NYSDOT Bridge Manual, Section 6, for more inf ormation. Concrete culverts may be highway size or bridge size by definition, and therefore, the guide rail requirements can theoretically vary by span of structure. The use of culvert rail is no longer acceptable because it is not an approved, crash-tested system. Any roadside protection placed at a culvert should be provided as highway guide rail or as bridge rail or barrier. 19.9 12/16/05

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES 19-29 The anchorage/support of the guide railing is determined by the amount of fill over the top of the unit. If there is more than a minimum of 900 mm of fill and the standard 700 mm shoulder break area and a 1 on 2 or flatter slope, use of common highway guide rail with standard length posts is recommended. Highway guide rail should be used whenever it meets applicable safety standards since it is the most cost-efficient railing/barrier type. When the recommended offsets from the back of the posts to the shoulder break cannot be achieved or the embankment slopes away from the normal shoulder break steeper than a 1-on-2 slope, extra-long posts are required. In these situations, the 900 mm criteria is no longer valid. See Chapter 10 of this manual for guidance on the required length of posts. When there is less than 900 mm of fill, the preferred option for guide rail depends upon the amount of fill and the size of the culvert as described below. Culverts with less than 1.5 m outside widths (rail length) and less than 900 mm of fill should have the posts straddle the outside of the culvert. This assumes the use of standard post spacing of 1.830 m and box beam guide rail. If post spacings are less than the standard post spacing of 1.830 m, the 1.5 m outside culvert width requirement should be adjusted accordingly. Culverts between 1.5 m and 3.0 m outside width (rail length) and less than 900 mm of fill may have posts attached to the top of the box or posts shortened. See EI 04002 for guidance on the appropriate option. Culverts with more than 3.0 m outside widths (rail length) and less than 900 mm of fill should have guide railing anchored into a headwall, edge beam, or individual concrete pedestals. When the guide rail is anchored to a headwall, edge beam, or pedestal, either bridge rail (2-rail with curb, 3-, 4-, or 5-rail) or concrete barrier shall be used. Concrete barrier is generally not recommended due to the short length of culverts unless it is being connected to barrier along the highway. The transition of the concrete barrier shape to the transition rail will use up most of the length of barrier on the culvert. For example, single-slope barrier has a 4.8 m transition from the end of barrier to the full, single-slope shape. Designers should note that the location of the first and last posts is critical on culverts with headwalls < 300 mm high. The anchor plate that goes under the top slab must be located so it does not encroach into the haunch. In some special circumstances (e.g., large skews and/or large sidewall thickness) maintaining the required 600 mm between the first/last transition post and the first/last culvert post may require special details beyond those in the BD-CBx sheets. Placement of anchor plates and bolts in the top slab should be avoided because it creates significant forming problems. If assistance is required contact the Regional Structures Engineer or the Structures Design and Construction Division. For bridge rail details, see the current BD-RSx sheets. For railing anchorage to headwall details, see the current BD-CBx sheets.

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19.9

19-30

REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19.10 CUT-OFF WALL A minimum 450 mm wide cut-off wall is required in all culverts with invert slabs to prevent undermining. The cutoff wall should be a minimum of 1.2 m below the invert elevation or to the top of sound rock if the rock is closer. For cast-in-place culverts with skewed ends, the cut-off wall also provides stiffening of the bottom slab. See Figures 19-2 or 19-5 or current BD-CBx sheets. When cut-off walls are required, they shall always be specified at each end of the barrel. When a concrete apron (Section 19.12) is specified, an additional cut-off wall shall also be specified at the end of the apron. If the apron is continuous with the barrel the cut-off wall is only required at the end of the apron. The bottom of all wingwall footings should be at or below the bottom of the cut-off wall to prevent scour around the edges of the cut-off wall. When a precast culvert is specified, the cut-off wall may be precast or cast-in-place. When precast concrete cut-off walls are specified, their cost should be included in the cost of the culvert barrel or invert slab. No separate item is required. When a cast-in-place culvert is specified, the cut-off wall should be cast-in-place. 19.11 LOW-FLOW DISH Box culverts shall have a low-flow dish whenever the stream is classified as a fishing stream by the Department of Environmental Conservation (DEC) and a low-flow dish is requested. The depth of the dish may be as small as 150 mm or as large as 300 mm. The depth of the dish depends on the quantity of flow. Lower flows may require a deeper dish to provide adequate depth of flow. A typical dish is shown in the current BD-CBx sheets. The dish is usually in the center of the invert slab, but there may be times when the dish will be at or near the sidewall. This may happen when the stream is on a curved alignment and the low flow of the stream is on the outside of the curve. Native streambed material is sometimes required by the DEC over the top of the bottom slab. The typical depth requirement is 300 mm. One problem that may occur is the movement of the native material during high flows. Typically, material washed out during high flows will be replaced with new material as the water recedes. Sometimes it may take several lesser flows for the material to be replaced. This periodic movement of material may abrade the surface of the concrete culvert. The depth of the concrete covering the reinforcing bars should be increased if this situation is anticipated. Note that covering the bottom slab with native material will make it very difficult, if not impossible, to inspect the bottom slab. The Culvert Program (Section 19.6) will design the bottom slab of a culvert with a low-flow dish. The program will evaluate the additional shear capacity provided by the dish when requested by the designer. Midspan and end moments of the bottom slab are calculated assuming a prismatic section using the slab thickness at the thinnest location.

19.11

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19-31

19.12 APRONS Box culverts can significantly increase the stream flow velocity because the concrete has a roughness coefficient significantly lower (i.e., smoother) than the streambed and banks. The longer the culvert and the steeper the slope, the more the velocity will be increased. To dissipate this increase in energy and to prevent scour, a stone apron shall be placed at the outlet of all culverts. In addition, a stone apron should be specified at the inlet of all culverts to prevent scour caused by the constriction of flow. The recommended minimum length of the stone apron is 7.5 m. The stone apron should cover the full width of the streambed. In addition, stone filling should be placed on the side slopes to a minimum elevation of 300 mm above Design High Water. A 1.5 m wide by 1.2 m deep key of stone filling should be placed in the streambed at the end of the apron away from the culvert. Stone filling should also be used to stabilize all disturbed slopes to a minimum elevation of 300 mm above Design High Water. Stone apron and slope protection details can be found on BD-EE7. The Regional Hydraulics Engineer or the Structures Design and Construction Division Hydraulic Engineering Unit should be consulted to determine an appropriate length of apron for special situations such as locations where excessive scour has occurred. The stone apron will begin at the end of the barrel if no concrete apron is specified. If a concrete apron is specified, the stone apron will begin at the end of the concrete apron. The size of the stone filling shall be determined by the design velocity or Regional preference, whichever is larger. For design velocities of 3 m/s or higher, heavy stone filling or larger should be specified. For design velocities less than 3 m/s, medium stone filling may be used. Some Regions prefer to use heavy stone filling for all structures and other Regions prefer to use heavy stone filling when lower velocities are reached. This is acceptable practice since the integrity of the structure is not compromised. When stream velocities are very high (>5 m/s), where special site conditions exist, or where the existing soils are very poor, a concrete apron may be used. It should extend to the end of the wing walls (see Figure 19-5). A cut-off wall (Section 19.10) is required at the end of the concrete apron and at the end of the culvert barrel. The cut-off wall at the end of the culvert barrel is added protection if the apron fails or separates from the barrel. Concrete aprons may fail from frost heaves, bed load material abrading the apron, or other unique situations. If the apron is continuous with the barrel the cut-off wall is only required at the end of the apron. Where there is significant movement of cobbles and boulders in the bed load, a three-sided culvert on a strip footing on piles should be investigated. The movement of cobbles and boulders may damage a concrete invert. For some unique situations with very high-water velocities, steep profiles, or special circumstances, energy dissipators (baffles) may be required to reduce the velocity. Baffles are concrete sections that extend 300 mm to 750 mm above the bottom slab. The Regional Hydraulics Engineer or the Structures Design and Construction Division Hydraulic Engineering Unit should be consulted to determine the need for and the design of energy dissipators. 12/16/05 19.12

19-32 REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES When a precast box culvert is specified, the concrete apron and wing walls may be precast or cast-in-place. When precast concrete aprons and/or wing walls are specified, their costs should be paid by separate item. In some instances, if necessary, they may be included in the cost of the culvert barrel. When a cast-in-place culvert is specified, the concrete apron and wing walls should be cast-in-place. 19.13 SUBBASE DRAINAGE Draining surface and ground water away from the culvert through the subbase is just as important as the conveyance of water through the culvert. All flat-topped or nonarched culverts should have a minimum longitudinal slope of approximately 1%, if possible, to drain the water that permeates through the pavement and subbase, away from the top of the culvert. The slope is very important, in situations where there is low fill (0.3 m) or asphalt directly on the culvert, to limit the likelihood that water will pond, freeze, cause potholes, and become a continuous maintenance problem. If a longitudinal slope is not possible, a 1% slope (wash), perpendicular to the centerline of the culvert, can be used. The wash can be from the centerline to each side or all in one direction. The wash can be formed into a cast-in-place culvert but is difficult to form on precast culverts. On precast culverts, the wash can be added after the culvert is in place by placing a shim course of asphalt or concrete. An acceptable option in low fill conditions is to place a concrete pavement on top of the culvert. The minimum depth of concrete required is 150 mm. The concrete pavement is less susceptible to potholes than asphalt but is more costly and should have a longer service life. Contact the Materials Bureau or the Regional Materials Engineer for guidance when considering the use of a concrete pavement section. If there is concern about movement of the units cracking the concrete pavement, the precast units may be posttensioned together. Culverts will occasionally be used to allow the passage of things other than water, including but not limited to pedestrians, bicycles, trains, golf carts, or farm animals. In cases where it is desirable to have a dry environment, a waterproof membrane should be used to cover the joints between precast culvert units or to cover the construction joints in cast-in-place culverts. Even though a joint sealer is always placed between individual precast concrete culvert units and the units are pulled tightly together, water may seep through the joint. The minimum requirement for waterproofing these joints is to provide a membrane strip having a minimum width of 600 mm, centered on the joints, covering the top slab, and then extending down the sidewalls to the footing. A waterproof membrane may be used to cover the joints of precast concrete culverts that convey water through the culvert. The designer must understand that the purpose of the waterproofing membrane is to restrict seepage of water or migration of backfill material through the joints in the culverts and it is not intended to protect the concrete.

19.13

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REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19-33

If the waterproof membrane is extended down the sidewall to the footing, weep holes may be necessary. See the Bridge Manual, Section 11, for location and spacing requirements. The joints between culvert segments can have inconsistencies that may, over time, cause damage to a waterproofing membrane. An asphalt wash/shim course can protect the membrane by providing a smoother surface on which to place the membrane. In these instances a sheet membrane should be used on top of the culvert. When watertight joints are required, contact the Materials Bureau for the proper waterproof membrane item to be included in the contract. This item contains all the material and construction details necessary for the application of the system.

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19.13

19-34 REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES

19.14 REFERENCES 1. AASHTO Bridge Design Specifications, 4th Edition 2007 with 2008 and 2009 interims, American Association of State Highway and Transportation Officials, 444 North Capital Street, N. W. Suite 249, Washington, D. C. 20001. Standard Specifications for Highway Bridges, 17th Edition 2002, American Association of State Highway and Transportation Officials, 444 North Capital Street, N. W. Suite 249, Washington, D. C. 20001. Standard Specifications of Construction and Materials, May 4, 2006, and all addendums, Design Quality Assurance Bureau, New York State Department of Transportation, Albany, NY 12232. Model Drainage Manual, 2005, American Association of State Highway and Transportation Officials, 444 North Capital Street, N. W. Suite 225, Washington, D. C. 20001. Bridge Manual, 4th Edition, April 2006, and all addendums, Structures Design and Construction Division, New York State Department of Transportation, Albany, NY 12232. Bridge Detail Sheets BD-CBx, Structures Design and Construction Division, New York State Department of Transportation, Albany, NY 12232.

2.

3.

4.

5.

6.

19.14

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CHAPTER 19 INDEX SUBJECT SECTION

Apron ........................................................................................................................ 19.10, 19.12 Box Culvert Computer Design Program ...................................................................... 19.6, 19.10 Cast-In-Place Culverts ..................................................................................................19.2, 19.7 Clear Span ............................................................................................................................ 19.1 Contract Plans ................................................................................... 19.3.4, 19.7, 19.7.1, 19.8.1 Corrugated Metal Structure ................................................................................................... 19.2 Culvert Reinforcement .................................................................. 19.5.6, 19.4.12, 19.7.3, 19.8.2 Culvert Railing ....................................................................................................................... 19.9 Culvert....................................................................................................................... 19.1 - 19.14 Cutoff Wall .................................................................................................... 19.7.3, 19.10, 19.12 Definitions ............................................................................................................................. 19.1 Design Span ......................................................................................................................... 19.1 Edge Beam .................................................................................................... 19.7.3, 19.7.4, 19.9 Energy Dissipators ...............................................................................................................19.12 Fabrication ..........................................................................................................................19.8.3 Foundations .......................................................................................................................... 19.4 Headwall ........................................................................................................ 19.7.3, 19.7.4, 19.9 Low-Flow Dish ......................................................................................................................19.11 Load Rating .........................................................................................................................19.5.9 Membrane ............................................................................................................................19.13 Precast Culverts ................................................................................................... 19.2, 19.7, 19.8 Precast Arches and Frames ........................................................................ 19.3.2, 19.3.3, 19.8.4 Skewed Culverts .................................................................... 19.5.7, 19.7.3, 19.7.4, 19.8, 19.8.2 Stone Filling .........................................................................................................................19.12 Two-Cell Culvert .................................................................................................................... 19.8 Waterproof Membrane .........................................................................................................19.13 Wingwalls ................................................................................................................. 19.4.4, 19.10

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HIGHWAY DESIGN MANUAL

Chapter 20 CADD Standards and Procedures

Revision 54

November 10, 2008

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CHAPTER 20 CADD STANDARDS AND PROCEDURES Contents 20.1 20.2 20.3 20.4 20.5 Page

INTRODUCTION ..........................................................................................................20-1 ENGINEERING APPLICATIONS MANAGEMENT TEAM ..........................................20-2 THE STANDARDIZATION PROCESS ........................................................................20-2 SUPPLIERS AND CUSTOMERS OF ELECTRONIC DATA .......................................20-2 ELECTRONIC DATA FORMAT REQUIREMENTS.....................................................20-3 20.5.1 20.5.2 20.5.3 20.5.4 Graphic Requirements...................................................................................20-4 Surface Requirements...................................................................................20-7 Additional Data Requirements.......................................................................20-8 Quality Control of Electronic Data .................................................................20-8

20.6 20.7

REJECTION OF SUBMISSIONS FOR ALL ELECTRONIC DATA...........................20-10 SYMBOLOGY, LEVELS, FEATURES, AND ALIGNMENTS ....................................20-10 20.7.1 20.7.2 20.7.3 20.7.4 20.7.5 MicroStation Symbology..............................................................................20-11 InRoads Data...............................................................................................20-13 InRoads Feature & Geometry Style and MicroStation Level Naming Convention ..20-15 Filters...........................................................................................................20-18 Cell and Linestyle Naming Convention........................................................20-19 Feature Naming Convention........................................................................20-19 Alignment Naming Convention ....................................................................20-19 Template/Typical Section Naming Convention............................................20-20 Roadway Naming Convention .....................................................................20-20 Working Units ..............................................................................................20-20 Cells.............................................................................................................20-21 Scale, Plot Ratio, and Media Size ...............................................................20-22 Mapping Scales ...........................................................................................20-24 MicroStation Models ....................................................................................20-25 Text and Dimension Scales and Sizes ........................................................20-25 NYSDOT Standards Tool ............................................................................20-26 Text Styles...................................................................................................20-26 Dimension Styles.........................................................................................20-26 Fonts............................................................................................................20-27 The Plotting Process ...................................................................................20-28 Color Tables and Pen Tables ......................................................................20-28 InterPlot Organizer and Publishing to ADOBE PDF ....................................20-29 Quantity Manager and Exporting to Trns*port Estimator20-29 11/10/08

20.8

INROADS DATA NAMING CONVENTION ...............................................................20-19 20.8.1 20.8.2 20.8.3 20.8.4

20.9

DRAFTING STANDARDS .........................................................................................20-20 20.9.1 20.9.2 20.9.3 20.9.4 20.9.5 20.9.6 20.9.7 20.9.8 20.9.9 20.9.10 20.10.1 20.10.2 20.10.3 20.10.4

20.10 PUBLISHING CONTRACT PLAN INFORMATION ...................................................20-28

CHAPTER 20 CADD STANDARDS AND PROCEDURES LIST OF EXHIBITS Exhibit Number and Title Exhibit 20-1 Exhibit 20-1 Exhibit 20-3 Exhibit 20-4 Exhibit 20-5 Exhibit 20-6 Exhibit 20-7 Exhibit 20-8 Exhibit 20-9 Exhibit 20-10 Page

Level, Feature, and Symbology Relationships ...............................................20-11 Symbology Relationships between Existing, Proposed, & As-Built Features.20-12 InRoads Data Workflow..................................................................................20-14 Explanation of Feature Style and Level Naming Convention .........................20-15 Level and Feature Categories ........................................................................20-16 Feature and Level Group Categories .............................................................20-17 Relative Media Size........................................................................................20-22 Media Size and Use .......................................................................................20-23 Relative Mapping Scales ................................................................................20-24 Symbol Key Characters Fonts 7, 8, 9..........................................................20-27

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CADD STANDARDS AND PROCEDURES 20.1 INTRODUCTION

20-1

Chapter 20 provides requirements and guidance on CADD policies and procedures which are as current as practical. Following the contents of this chapter assures uniformity of practice and the creation of electronic data for projects designed by or for the Department. The objective is high quality through uniformity in process, electronic data, and presentation. In order to allow for the efficient use of drawings and data, achieve consistent plan appearance, and provide consistent reproduction quality, electronic documents must be created and populated with data in accordance with the standards stated in this chapter. This includes data created by Photogrammetry, Survey, Design, Structures, ROW Mapping, Construction, Geotechnical Engineering; data used to produce Standard sheets and Bridge Detail sheets; and data created by all other Department or Consultant suppliers of CADD information. In most cases adherence to NYSDOT CADD standards is best achieved by using the resources and settings provided by the Department. For example, the Department provides many MicroStation DGN libraries, which preset level symbology, text styles, and dimension styles. A user needs only to select the correct level, text style, or dimension style to be in conformance with NYSDOT CADD Standards. The DGN library predetermines element color, weight, and linestyle, text font, the size of dimension arrows and scales according to the annotation scale. Where a configuration or setting automatically ensures conformance to the standards, specific reference is provided in this Chapter. The resources available from the Departments Public Web site are the standard. More detailed information, such as text sizes at a particular plot ratio, or color RGB values, are outlined in Chapter 22 of this manual. Variations from this chapter may be necessary for special or unusual conditions, or between the issuances of new or revised source documents, and any corresponding updates of this chapter. Consequently, instructions in this chapter do not preclude the exercise of individual initiative and judgment in reaction to project specific conditions or application of current state of the art practices. Initiative and judgment are encouraged when it is appropriate and there is a rational basis for deviation. However, it is most important that there be consistency in the application of this chapter. Along with the content of this chapter other references or training may be necessary. Instructions from the Main Office, training manuals, publications and other related material may need to be referred to for further details, or clarification. Portions of the material in this manual may be specifically superseded by subsequent Department Official Issuances (e.g., Engineering Instructions).

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20-2 20.2

CADD STANDARDS AND PROCEDURES ENGINEERING APPLICATIONS MANAGEMENT TEAM

CADD standards and procedures are prepared by the Engineering Application Management Team (EAMT). This group was originally formed to create CADD standards, policies and procedures. On December 15, 1994, the Engineering Automation and CADD Policy, Procedures, Standards and Guidelines Committee held its first meeting. This group, currently called the EAMT, was formed by soliciting membership from every Region and Program Area. The EAMT is an important part of updating and maintaining CADD standards, policies and procedures. Through participation in the EAMT a process of continuous improvement exists, where these standards and policies are updated on a regular basis, to reflect changes in software, hardware, and design processes. It is the mission of the Engineering Applications Management Team to create, coordinate and implement standards, procedures and best practices to better use CADD and related automation tools in the planning, design and construction of transportation facilities. The EAMT will promote these standards to create a more uniform product for our customers. 20.3 THE STANDARDIZATION PROCESS

Suggestions for changes, corrections or improvements to CADD standards and procedures are welcome. A list of each EAMT representative for the Regions and Main Office Program Areas is available on NYSDOTs IntraDOT. Suggestions should be presented in writing to the appropriate team member for your Region or Program Area. Each EAMT representative is responsible to bring all suggestions to the attention of the Team for review and action. Each EAMT representative is also responsible to ensure that items available for review are distributed to all interested parties and inform staff of the Teams activities. This Team meets on a regular basis to discuss these suggestions, and develop standards and policies for CADD and related Engineering Applications. Any questions or need for clarification can be addressed to a Team member. Team members are appointed by their Regional Design Engineer or applicable Program Area Manager to represent their area of responsibility on engineering technology topics. Team members should discuss team activities with their managers on a regular basis. Consultants are also encouraged to submit standardization suggestions to the Team through their Project Manager/ Job Manager/ Consultant Manager. 20.4 SUPPLIERS AND CUSTOMERS OF ELECTRONIC DATA

This chapter defines requirements for the format of electronic data during the project development process. Transfer of data is accomplished using ProjectWise. The Departments ProjectWise policies are stated in Appendix 14 of the Project Development Manual. The supplier is a group or individual who is expected to create and provide the information in the specified format. The customer is a group or individual who will receive and then use the information to progress a project. Department suppliers refer to persons directly employed by NYSDOT. Consultant suppliers refer to consultant firms hired to provide engineering services for NYSDOT.

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CADD STANDARDS AND PROCEDURES

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Following are several examples of data flow and the relationship between suppliers and customers: a. A Regional Survey Group or consulting firm (the supplier) provides base mapping to the Regional Design Group or consulting firm (the customer) for use in progressing the design of a project. b. A Regional Design Group or consulting firm (the supplier) provides engineering services for the entire design of a project and then provides that information to the Regional Construction Group (the customer) for use during construction of a project. c. A Regional Design Group or consulting firm (the supplier) provides engineering services for Design Phases I through IV of a project and then provides that information to the Regional Design Group or consulting firm (the customer) for use during Design Phases V and VI of a project. d. A Regional Design Group or consulting firm (the supplier) provides engineering services for the design of a project and provides information to a Main Office Program Area (the customer) to provide engineering services on a component of a project. e. A Main Office Program Area or consulting firm (the supplier) provides engineering services for a component of the design of a project and provides information to a Regional Design Group (the customer). While this is not an all encompassing list, it does cover the majority of electronic data transfers throughout the project development process. 20.5 ELECTRONIC DATA FORMAT REQUIREMENTS

The format of electronic data is important, because it ensures compatibility and usability of data among the various functional teams who contribute to designing and delivering a project. The supplier shall provide the customer with the information, in electronic format, described below in items a through l. The supplier shall use MicroStation and InRoads Civil Suite to create files as outlined. a. The supplier shall submit graphic files in MicroStation (.DGN) format. All CADD Graphic files shall be created using MicroStation. Files which are .DXF, .DWG, .IGES, etc. are not acceptable formats. b. The supplier shall submit surface files in InRoads Digital Terrain Model (.DTM) format. All DTM files shall be created using InRoads Civil Suite. c. The supplier shall submit alignment and coordinate geometry point data for all existing features in an InRoads alignment file (.ALG) format. All ALG files shall be created using InRoads Civil Suite. d. Record plan alignments shall be submitted in InRoads alignment file (.ALG) format. All ALG files shall be created using InRoads Civil Suite. e. Right-of-way, property, highway boundary lines, and horizontal control shall be submitted in InRoads alignment file (.ALG) format. All ALG files shall be created using InRoads Civil Suite. f. Text file(s) listing all survey data collected for the project shall be ASCII format. 11/10/08

20-4

CADD STANDARDS AND PROCEDURES

g. There are additional requirements for electronic information submitted to the Office of Structures. These requirements are outlined in the Bridge Data Sheets and listed in the Bridge Manual Appendices 3A & 3B. h. All submissions shall be compatible with the current versions of CADD software in use by the Department as designated in an annually issued Engineering Bulletin. i. j. Department suppliers shall use approved versions of CADD software. Consultant suppliers shall use approved versions of MicroStation and InRoads Civil Suite. Consultant suppliers may submit electronic documents in other than the stated versions of NYSDOT CADD software standards, as long as the documents are compatible with NYSDOT CADD software standards. A written request shall be sent to the Department stating the version of CADD software the consultant supplier is requesting to use for the submission. This request shall be directed to and approved by the Project Manager/ Job Manager/ Consultant Manager as applicable.

k. The supplier shall ensure that the contents of all electronic documents are the same as any hard copy information submitted (e.g., survey notes or paper plots). l. The supplier shall name files and documents as stated in Appendix 14 of the Project Development Manual. Graphic Requirements

20.5.1

All graphic files submitted shall be in a MicroStation (.DGN) format. The supplier shall use MicroStation for all graphical CADD work being submitted. All MicroStation elements shall be placed using the symbology defined by the level libraries (placement ByLevel) provided by the Department. 20.5.1.1 Existing Information All graphic files containing existing project information shall be transmitted from the supplier (Regional Survey Group, Photogrammetry Section, Regional ROW Mapping, or consulting firm, etc.) to the customer (Regional or Main Office Design Group, or consulting firm, etc.) conforming to the following requirements: a. All topography or base mapping files shall consist of graphic elements representing the existing topography as obtained for the purpose terrain data collection. Topography shall be drawn in its coordinated location using the Departments standard coordinate system and vertical datums described in the Land Surveying Standards and Procedure Manual. b. All features represented by linear or curvilinear elements shall be drawn using 3D Line strings or 3D Curve strings. c. All topographic symbols shall be placed using cells from the applicable nyu_plan_(contents).cel cell library or with line styles from the nyu_linestyle_2006.rsc custom line resource file (or latest Department released custom line resource file). d. Cells and line styles shall be placed at an active scale of 1 for a 1:1 scale B size plot. A scale factor adjustment shall be made for files mapped at any scale, e.g., a scale 11/10/08

CADD STANDARDS AND PROCEDURES

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factor of 480 would be used for files mapped at a scale of 1:480 (1=40) for a B size plot. e. Cells and lines styles for features designated as Scale to Ground shall be placed at a scale of 1. f. Baseline alignments, centerline alignments, highway boundary lines, property lines, profiles, and cross sections shall be placed at elevation zero.

g. All text shall be placed at either elevation zero or at an elevation equal to that of the feature it is describing. h. Text strings shall not overlap each other so that they become unreadable on a plot with all of the levels plotted. Point numbers for surveyed points may overlap. i. Display of linear features in the topography file shall not be broken to make a text string easier to read. If necessary, place the text string off to the side and use a leader line to point to the location of the feature. Either sign faces or a description of each sign shall be placed with the existing topography.

j.

k. Standard Manual of Uniform Traffic Control Devices signs shall show the sign face and should be displayed using the nyu_plan_nmutcd_signface.cel cell library. l. Nonstandard signs and guide signs, such as business signs, shall have measurements indicating the sign size. The actual face may be drawn or a description of the wording on the sign is acceptable.

20.5.1.2 Proposed Information All proposed mapping files shall consist of graphic elements representing the proposed topography as designed. a. Proposed mapping graphics shall be drawn in their coordinated location using the Departments standard coordinate system and vertical datums described in the Land Surveying Standards and Procedure Manual. Graphic files shall be true three dimensional (3D) files. b. The supplier shall submit a proposed break line file which accurately represents the intended proposed condition of the project after construction. c. The proposed break line file shall be created by displaying features from the Digital Terrain Model and this file shall include an exterior boundary of the proposed work. All topographic symbols shall be placed using cells from the applicable ny_plan_(contents).cel cell library or with line styles from the nyu_linestyle_2006.rsc custom line resource file (or latest Department released custom line resource file). d. Cells and line styles shall be placed at an active scale of 1 for a 1:1 scale B size plot. A scale factor adjustment shall be made for files mapped at any scale, e.g., a scale factor of 480 would be used for files mapped at a scale of 1:480 (1=40) for a B size plot. 11/10/08

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CADD STANDARDS AND PROCEDURES

e. Cells and lines styles for features designated as Scale to Ground shall be placed at a scale of 1. f. Centerline alignments, property lines, right-of-way lines, profiles, and cross sections shall be placed at elevation zero.

g. All text shall be placed at either elevation zero or at an elevation equal to that of the feature it is describing. h. The legend sheet should be the latest revision available in the nyu_sheet.cel cell library. If the supplier needs to add additional features not provided on the legend sheet, they must submit a modified legend sheet outlining these features to the Project Manager/ Job Manager/ Consultant Manager as applicable. Features designated on the legend sheet shall not be altered. i. j. Standard Manual of Uniform Traffic Control Devices signs shall show the sign face. Nonstandard signs and guide signs, such as business signs, shall have measurements indicating the sign size. The actual face may be drawn or a description of the wording on the sign is acceptable.

20.5.1.3 Profile Information a. The preferences in the nyu_highway.ini have been preset for profiles drawn to 1=40 scale on a B size drawing. The InRoads Scale Factor shall be used to adjust text size for profiles generated at other scales. b. Existing Ground Annotation shall be font 12. All other text shall be font 11. c. The left axis annotation will be justified to center right, the right axis annotation will be justified to center left, and the bottom axis annotation will be justified to top center. d. The scale bar shall be generated using NYSDOT.ma. 20.5.1.4 Details, Typical Sections and Tables All graphic files containing proposed details, typical sections, and tables shall be drawn to real dimensions to scale, utilizing MicroStation Automatic Dimensioning. Details shall be labeled Not to Scale. 20.5.1.5 Cross Section Information a. Existing ground annotation shall be font 12. All other text annotation shall be font 11. Text height will be 7.5, text width will be 5.6, and text spacing will be 0.16 for B size drawings plotted at 1 = 10 scale. The nyu_highway.ini cross section spacing has been preset to generate 1=10 scale B size drawings for cross sections. For cross sections plotted at scales other than 1=10 scale B size, the InRoads Scale Factor can be used to adjust text size. b. Cross sections shall be displayed using the NXSL cell from the nyu_sheet.cel cell library as a border. The preferences in the nyu_highway.ini cross section spacing have 11/10/08

CADD STANDARDS AND PROCEDURES been preset to place cross sections with this border automatically.

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c. The left axis annotation should be justified to center right, the right axis annotation should be justified to center left, and the bottom axis annotation should be justified to top center. d. Features displayed on cross sections shall be annotated with the nyu_section_(Level Group).cel cell libraries. e. The grid interval shall be placed at 2. 20.5.2 Surface Requirements

The supplier shall use InRoads Civil Suite for all surfaces submitted. All surfaces shall be in InRoads (.DTM) format. 20.5.2.1 Existing Features A DTM containing existing features shall be representative of the existing ground at the time of the survey/mapping and shall have been field edited. This file shall be feature based, using the feature/code names provided by the Department. The file should be created in a way that the graphics resulting from a display of the features is identical to the project base mapping. If a project contains one or more bridges, supplemental Digital Terrain Models (DTMs) shall be provided for each bridge deck surface. If the surveyed area includes an undercut area or overhang area, supplemental DTMs shall be created to accurately portray the field conditions. 20.5.2.2 Proposed Features All DTMs containing proposed information shall represent the proposed ground as designed in the contract plans. DTMs should be created in a way that the graphics resulting from a display of the features is identical to the proposed design in the contract plans. DTMs shall be feature based, using the feature/code names as provided by the Department. These DTMs are used to develop cross sections, profiles, and quantities during the design and for layout and quantity verification in the construction of a project. All proposed DTMs shall be developed using the following requirements: a. The point density interval for break line features shall be set to a maximum of 10 ft to allow for a sufficiently dense proposed surface. b. Areas with several features, such as curbed areas, intersections, and areas of tight vertical curvature may require a smaller point density interval to accurately represent the proposed surface. c. The point density interval for break line features shall be set such that the chord height generated does not exceed 0.03 ft. d. Horizontal cardinal points, superelevation transition points, the beginning and ending of vertical curves, and the beginning and ending of pavement width transitions should all be included in the DTM. e. The minimum Triangle Length should be set so that triangles do not make erroneous connections. 11/10/08

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CADD STANDARDS AND PROCEDURES

c. Surfaces shall include an exterior boundary. Inaccurate or extraneous triangles around the perimeter of the proposed ground shall be deleted. Inaccurate triangles include any surface information which does not reflect the actual intended proposed work. d. Problems encountered when developing the surface shall be corrected by fixing the features in the DTM with the Edit Feature commands, and not by modifying or deleting a point used to create a triangle vertex. e. All existing ground non-triangulated data shall be combined and provided as one comprehensive surface. Similarly, all proposed non-triangulated data shall be combined and provided as one comprehensive surface. f. Locations that do not meet these requirements shall be clearly identified on the plans and cross sections and in a special note. The note should specify all inconsistencies between the DTM and the project design conveyed in the contract plans, and the rational for these inconsistencies. Additional Data Requirements

20.5.3

Additional data format requirements for coordinate geometry, survey information, and alignment information are as follows: a. The supplier shall provide alignments and coordinate geometry points of existing survey. If the supplier is required to provide record plan alignments for the project, alignments shall be entered using coordinate geometry points or computed values rather than picking points from the graphic file. These coordinates of all points and computed values shall be input to four (4) decimal places b. The supplier shall submit an ASCII file which contains a list of all of the surveyed points. The list of all points shall be in a linear format with no more than one point on each line of the file. Each line shall contain the point number, an X, Y, & Z coordinate, feature coding, and a short description of the surveyed point. Each description shall be readily identifiable using the Feature/Code Names supplied by the Department. c. The supplier shall submit an ASCII file which contains a listing of Northings and Eastings of all final right-of-way and property line points. d. The supplier shall submit proposed alignment files which include any and all horizontal control, vertical control, and super elevation shown on the contract plans. Geometry shall utilize Geometry Styles provided by the Department. Geometry information that may have been created during the course of design, but is not part of the contract plans, should be removed from the proposed geometry prior to submitting the file to the customer. 20.5.4 Quality Control of Electronic Data

20.5.4.1 Electronic Data The supplier is responsible for the quality of the electronic data they create, and may use the same guidelines as the customer to evaluate conformance and quality. The customer may review and comment on the information provided by the supplier to ensure conformance with NYSDOT standards. The customer may run a virus check on every submission before doing any other review. If a virus is encountered, the submission will be returned immediately and the 11/10/08

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supplier will be notified what virus was found and what software package was used to discover the virus. 20.5.4.2 Graphics Guidelines to evaluate quality and conformance of the graphics are as follows: a. Review on a level by level basis to ensure adherence to symbology definitions provided by the Department. b. View using dynamic view control to examine for elements at incorrect elevations. Elements at incorrect elevations are not acceptable. c. Analyze for conformance using the information command within MicroStation for conformance with the designated sizes and other designated attributes. d. Check submitted files for inconsistencies, by reviewing tie points or sign faces to ensure accuracy. e. Determine if elements are in the correct State Plane Coordinates location using the InRoads Tracking command. 20.5.4.3 Surfaces Guidelines in the evaluation of Digital Terrain Models (DTMs) are as follows: a. Display features to look for inconsistencies between features in the DTM and elements shown in corresponding MicroStation base/proposed mapping files. b. Generate contours and look for inconsistencies, such as a large group of close contours, or pavement areas that do not form Vs with the contours. Where these types of problems are encountered the customer may investigate further before requesting clarification. c. Review profiles along the approximate centerline of all major roads and streams. The customer may review the profiles for unusual slopes or breaks. d. Review cross sections from the approximate centerline of all major roads and streams. Cross sections will be done at 10 ft intervals in most areas, and 3 ft intervals in the areas of bridges or culverts. The limit of each section will be the approximate limit of survey. These sections may be reviewed for unusual slopes or breaks. e. Display the triangles in a new MicroStation file to ensure that erroneous triangles have been removed. f. Verify surface elevations using survey methods consistent with the accuracy attainable by the original method of collection in consultation with the Regional Land Surveyor.

20.5.4.4 Geometry a. Display the alignments and coordinate geometry points in a design file to see if they appear in the correct location in relation to the topography. b. Generate InRoads reports based on the alignments and coordinate geometry points and compare it against the survey notes or plans submitted by the supplier for accuracy. 11/10/08

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CADD STANDARDS AND PROCEDURES

The Department may review ASCII files to ensure they are in a format consistent with the file content. 20.6 REJECTION OF SUBMISSIONS FOR ALL ELECTRONIC DATA

Files submitted that do not meet the format requirements outlined in this chapter may be returned to the supplier for correction and resubmission. Upon return of any files, the customer should provide a written explanation of any areas that do not conform. The supplier shall be responsible for finding the source of any error, correcting it, and resubmitting the files. Any contacts between a consultant supplier and NYSDOT should be done through the Project Manager/ Job Manager/ Consultant Manager. 20.7 SYMBOLOGY, LEVELS, FEATURES, AND ALIGNMENTS

An elements symbology is predefined by the Level and/or Feature Style (DTMs) and Geometry Style (ALGs) used to generate it. To be in conformance with NYSDOT symbology standards, a user need only place an element as an InRoads Feature, using the correct Feature Style and/or Geometry Style definition; or place the element with the symbology set to By-Level and choose the correct Level. Symbology is the definition of how elements in existing or proposed mapping appear visually. Existing or proposed mapping may either be point elements, such as mail boxes, trees, or drainage structures, or be linear elements, such as guiderail, pavement edges, or sanitary sewer lines. Symbols, or cells, are used to display point elements. Linestyles are used to display linear elements. Cells and linestyles each have definitions for color, line weight, and line style. In MicroStation, an elements level defines what its symbology (color, line weight, and line style) will be. InRoads uses MicroStation to display its DTM and ALG information graphically. In InRoads, a Feature Style (DTMs) and Geometry Style (ALGs) define what level a feature or alignment will have, and therefore define its symbology.

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CADD STANDARDS AND PROCEDURES Exhibit 20-1 Level, Feature, and Symbology Relationships

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20.7.1

MicroStation Symbology

When an element is placed in a MicroStation file, MicroStation stores coordinate locations of data points used to place the element, and data governing the elements symbology. In MicroStation, an elements symbology consists of color, weight, line style, dimension style and text style. MicroStation levels are used to define an elements color, line weight, and line style. Existing, proposed, and as-built features/levels typically have the same element attribute symbology, excluding weight. Existing features/levels typically have a weight of 0 and proposed features/levels typically have a weight of 2, as built features have a weight identical to that of their corresponding proposed feature/level.

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CADD STANDARDS AND PROCEDURES

Exhibit 20-1 Symbology Relationships between Existing, Proposed, & As-Built Features

20.7.1.1 Color MicroStation stores the active color and the color attribute of each element as a Red, Green, Blue (RGB) value in the 0-255 range. Department defined RGB values for color numbers are outlined in Chapter 22 of this manual. To display an element in color, MicroStation looks in the active color table for the color that corresponds to the element color value. Each seed design file supplied with MicroStation has a color table attached. The user is able to modify colors in the active color table. MicroStation elements shall conform to the color numbers and corresponding RGB values defined in the color table provided by the Department. Adjustments to the color table RGB values on an individuals PC may be made by staff that are unable to discern a color. Individuals should reattach the standard color table when work on the file is complete. 20.7.1.2 Weight MicroStation stores the element weight attribute as a value in the 0-31 range. MicroStation elements shall conform to the weight numbers defined by the level libraries provided by the Department. Each weight number has a corresponding width defined in inches. Weight number thickness definitions are provided in Chapter 22. 20.7.1.3 Line Style A line style definition can specify the following: A stroke pattern composed of dash strokes and gap strokes of varying lengths. Symbols and lines at varying intervals.

Built in MicroStation line styles (also known as line codes), numbered 0-7, are based on output device coordinates. Custom line styles can also be created. Standard symbology uses both built in MicroStation line styles and custom line styles. The appearance of custom line styles can be affected by both the scale it is placed at and the direction it is drawn in. The appearance of a custom line style is also affected by direction when the line style is not symmetrical. The appearance of a line style will change depending on whether the line is drawn from left to right or right to left. For example, the line style used for cut, the filled in triangle points in the direction of the cut. 11/10/08

CADD STANDARDS AND PROCEDURES 20.7.1.4 Level Libraries and Symbology

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A level library (or DGN Library) is a listing of available level names and symbology definitions that can be used by each MicroStation file. MicroStation elements shall be placed using the symbology defined by the standard level libraries (placement ByLevel), provided by the Department. The ByLevel option for placing elements used in conjunction with the NYSDOT standard level libraries is the most effective way to ensure file contents conform to the standard symbology defined by the Department. 20.7.2 InRoads Data

InRoads data is the primary component of a project design, it is spatially located using the Departments standard coordinate system and vertical datums, which includes 3D models (DTMs) of existing and proposed ground, and coordinated geometry (ALGs) of the project control. DTMs consist of elements (points and lines) that form a framework, which is a representation of the original ground or proposed surface. These points and lines are assigned feature names that contain information about the element. Features can either be used to create the surface ground model, like pavement and sidewalk features (triangulated or contoured); or non-triangulated such as utility lines or drainage pipes (having a 3 dimensional spatial location, but not contoured). An InRoads project is typically composed of surfaces, coordinate geometry projects, and drainage information as InRoads data files. There are also data creation support files, which are used to create InRoads data, such as typical section libraries, roadway libraries, survey field book data, a general preference file, and a geometry annotation preference file. The DTM is used to generate the existing and proposed mapping files in MicroStation format. Existing mapping is generated with InRoads Survey. InRoads Survey uses custom operations to place existing text on corresponding comment levels, attribute information to a corresponding attribute level, and to generate point IDs to corresponding point levels. Proposed mapping, which have corresponding feature styles, is generated using the InRoads Surface>View Surface Features command. The ALG is used to store coordinated geometry for existing and proposed alignments, highway boundaries, and ROW mapping lines; and to display this information in MicroStation format. InRoads is also used to generate profiles graphics, cross-sections and other necessary tables to produce a set of design documents. By using Quantity Manager an engineers estimate can be generated from a DTM and this estimate can be input into Trns*port.

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CADD STANDARDS AND PROCEDURES

Exhibit 20-3 InRoads Data Workflow

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CADD STANDARDS AND PROCEDURES 20.7.3

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InRoads Feature and Geometry Style and MicroStation Level Naming Convention

Features and Levels are grouped into categories defined by use. Systematic naming of Feature Styles and Levels identifies information that shares a common theme and enables the use of filters. The naming convention consists of the following format: category - feature type Exhibit 20-4 Explanation of Feature Style and Level Naming Convention

Primary Feature and Level:

Level Name/ Feature Name convention
category - feature - type

Description
Existing Feature Existing Attribute, generated from ground survey Existing Point Identification number, generated from ground survey Existing text (comment)

Example RGB

Example Description
Roadway, Guide Rail, Box Beam

Associated Existing Features and Levels:

category feature type_A category feature type_I category feature type_C

RGB_A RGB_I RGB_C

Roadway, Guide Rail, Box Beam Attribute Roadway, Guide Rail, Box Beam ID Roadway, Guide Rail, Box Beam Guide Rail Comment Roadway, Guide Rail, Box Beam Guide Rail, Proposed Roadway, Guide Rail, Box Beam Guide Rail, Proposed Text

Associated Proposed Features and Levels:

category - feature type_P category - feature type_P_T Proposed Feature Proposed Text

RGB_P RGB_P_T

Associated As Built Features and Levels:

category - feature type_P_Z category - feature type_P_Z_T As Built Feature As Built Text

RGB_P_Z RGB_P_T_Z

Roadway, Guide Rail, Box Beam Guide Rail, As Built Roadway, Guide Rail, Box Beam Guide Rail, As Built Text

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20.7.3.1 Primary Feature and Level Categories The first character of each Feature and Level name identifies which category it belongs to, and is used to create the category filter. Exhibit 20-5 Level and Feature Categories
1st Character

A B C D E G I L M N O P R S T U X

Category Alignment Bridge Control Drainage Environmental Geotech ITS Landscape, Natural, Terrain ROW Mapping Plan Sheets Object Details Pavement Roadway Signing and Striping Traffic Control Utilities, Lighting Cross Sections and Profiles

11/10/08

CADD STANDARDS AND PROCEDURES Exhibit 20-6 Feature and Level Group Categories

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20-18 20.7.3.2 Feature

CADD STANDARDS AND PROCEDURES

The second set of characters identifies the feature. Examples of second characters used to identify features: SW - sidewalk MB - mailbox FNC - fence T - tree 20.7.3.3 Type The third set of characters (if necessary) identifies the feature type. The same letter may be used to identify different types. Examples of third characters used to identify feature types. B - Box beam C - Cable C - Coniferous D - Deciduous 20.7.3.4 Associated Features and Levels Each existing mapping feature/level name has the potential to have a set of three level names associated, if it is generated by ground survey: Attribute(_A) attribute information about the existing feature/level generated during ground survey. Identification Number (_I) point identification number generated during ground survey. Comment (_C) existing text associated with the primary existing feature/level. Generally each existing mapping feature/level name also has a proposed feature/level name associated: Proposed (_P) the proposed feature/level. Proposed Text (_T) text associated with the proposed feature. Not every feature has an existing, proposed, and as built level. 20.7.3.5 Details, Plan Annotation, Cross Section and Profile Level Groups The Object Details, Plan Sheet, Cross Section and Profiles categories typically have primary (_P) and text levels (_T) associated with them. These categories will only have a feature style if their symbology is generated using InRoads features (e.g. surfaces displayed on cross sections). InRoads Feature Names and Descriptions (and Geometry Styles, if applicable) are identical to MicroStation Level Names and Descriptions. 20.7.4 Filters

Filters allow for an effective way to sort and display similar information, such as all existing text, or all proposed text, or only the pavement items, or only the landscape items. Level filters are an important component to working efficiently with Levels. Standard filters have been created in each level library to allow for the quick and efficient sorting of information. 11/10/08

CADD STANDARDS AND PROCEDURES 20.7.5 Cell and Linestyle Naming Convention

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Cell names are identical to the level/feature style name for the existing feature it represents. For example, the cell name for an existing deciduous tree would be LTD (Landscape, Tree, Deciduous) which is identical to the level name. Each cells attributes are assigned ByLevel. Therefore to place a proposed deciduous tree, a user would select the cell, LTD, and place the cell on the LTD_P (Landscape, Tree, Deciduous, Proposed) level. The cell automatically adopts the levels symbology. Linestyle names are also identical to level/feature style names for the existing feature it represents. For example the line style for existing box beam guiderail is RBG (Roadway, Guiderail, Boxbeam) and this line style is used for both existing and proposed guiderail. 20.8 INROADS DATA NAMING CONVENTION

In the past, typically one staff member has been responsible for InRoads related work on a project. Now more staff members are familiar with the use of InRoads, and typically will need to work with InRoads data. A systematic method of naming InRoads data increases its usability, provides an organized method to work more efficiently, and allows for a smooth transition of InRoads data between project contributors. 20.8.1 Feature Naming Convention

Features are an important part of a project design, they allow for modeling, estimating, cross section, profile, and plan display. It is important to be able to filter groups of features, not only by style, but by project control, for estimating. The format for features in a Digital Terrain Model (not created by Survey or Photogrammetry) is as follows: name_style_short description e.g. 370_pe_p_lt_1 - Route 370, paved edge proposed, left, number 1 9w_rbs_p_rt_2 - Route 9w, roadway buffer proposed, right, number 2 20.8.2 Alignment Naming Convention

Alignments are also an important part of project design, and all alignments used for project control, highway boundaries, and ROW lines should be named in a way that clearly defines what information they contain so they can be effectively used by other design staff and customers. The format for naming horizontal and vertical alignment names contained within an InRoads Geometry file is as follows: name_style_short description e.g. 370_ac_p - Route 370, alignment control, proposed 9w_pe_p_rt - Route 9w, paved edge, proposed, right

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20-20 20.8.3

CADD STANDARDS AND PROCEDURES Template/Typical Section Naming Convention

Using InRoads templates/typical sections is one method of creating a surface along an alignment or feature. Templates/typical sections are created for a specific alignment, and are utilized in creating the basic model of the roadway. Templates/typical sections can also be used to model roadside treatments. When working with InRoads templates/typical sections, maintaining an organized method of naming helps facilitate the roadway design process, which is often iterative in nature, and makes design adjustments straightforward. It is also important to associate each typical section with its corresponding project control. The format for naming templates in a typical section/template file is as follows: alignment name_short description e.g. 370_ac_p_cl rsw_p_rt ddt_p_a 20.8.4 - Route 370, proposed, centerline - sidewalk, proposed, right - drainage ditch, proposed, type a

Roadway Naming Convention

InRoads Roadways/Roadway Corridors define ranges of stations where a typical section/template is used. Much like InRoads typical sections/templates, maintaining an organized method of naming Roadways will help facilitate the roadway design process and make design adjustments easier. InRoads Roadways/Roadway Corridors should be named identical to their corresponding alignment and the Roadway/Roadway Corridor description should include applicable station ranges. alignment name e.g. 370_ac_p_cl 9w_pe_p_rt 12_ad_p_stg1 20.9 - Route 370, proposed, centerline, roadway - Route 9w, paved edge, proposed, right, roadway - Route 12, alignment detour, proposed, stage 1, roadway

DRAFTING STANDARDS

Drafting standards work in conjunction with MicroStation attributes to ensure the uniform appearance and reproduction quality of CADD data presented on contract plan sheets, standard sheets and bridge data sheets; and advance the sharing of electronic information. CADD files shall conform to all aspects of this chapter. This includes files created by Photogrammetry, Survey, Design, Structures, ROW Mapping, Construction, and Geotechnical Engineering, used to produce Standard Sheets and Bridge Detail Sheets, and files created by all other Department or Consultant Suppliers of CADD information. 20.9.1 Working Units

MicroStation uses working units to define and display real world coordinates and dimensions. MicroStation master units shall be set to standard units, survey feet and the subunits shall be set to standard units, inches. Each model within a design file has a unique coordinate space defined by its working units. The units shall be labeled as (feet) and A (inches). 11/10/08

CADD STANDARDS AND PROCEDURES

20-21

Nearly all design mapping is based upon one of four zones within the New York State Plane Coordinate System of 1983; 3103(West), 3102(Central), 3101(East) or 3104(Long Island). A coordinate location may exist in more than one zone, so the zone must be identified by the mapper. The concurrent display of the entire State requires translation to a modified Universal Trans Mercator (NYTM) system, which is the basis for the Department=s Quadrangle and GIS mapping. Coordinate Geometry operations (creating alignments, ROW lines, identifying stations and offsets, northing and easting etc.) should be performed using InRoads Civil Suite. Seed documents are empty MicroStation files which MicroStation copies to create new design files with standard settings (i.e., working units, global origin, etc.). Standard seed documents have been created for working in 2D and 3D. All project related MicroStation documents, Standard Sheets, and Bridge Detail Sheets shall be created utilizing Department standard seed documents. (Standard metric working units are defined in Department seed documents for projects utilizing metric units.) 20.9.2 Cells

MicroStation utilizes cells. A cell is a frequently used drawing containing a grouped set of elements with or without text that can be manipulated as a whole or in part. The Department has cells that represent point symbology, like trees and utility poles. There are two important aspects of placing point cells:

1. 2.

Set the level you wish to place it on. The point cell picks up its symbology from the level. Set the scale. Cells are not controlled by Model Annotation Scale.

There are also cells used as drawing borders, and frequently used details. The levels and symbology are predefined for these cells. They are typically drawn to 1=1 scale. 20.9.2.1 Cell Selector The cell selector command in MicroStation, from the Main Menu Utilities> Cell Selector, provides additional capabilities when working with cells. In the Cell Selector dialog box, each button is associated with a cell stored in a cell library. In the dialog box=s default button configuration, clicking a button has the effect of activating the associated cell and selecting the Place Active Cell tool. The cell selector dialog box can be resized and customized with buttons for cells from different cell libraries. Cell selector is a useful tool for creating custom cell libraries of frequently used cells from various libraries. These customized libraries can be saved as cell selector files (.csf) for later use. Cell selector can also be used to quickly view all the cells contained within a cell library. 20.9.2.2 Cell Library Utility The cell library utility (cellutil.ma) provides additional capabilities when working with cell libraries (e.g., the ability to quickly generate plots of cell libraries, and lists of the individual cells contained within a cell library). To load the cellutil.ma, choose Utilities> MDL Applications from MicroStation=s Main Menu. Then, in the MDL dialog under Available Applications, tag the Browse button to open the Select MDL Application dialog. Select cellutil.ma located in the c:\NYSDOTCADD\Bentley\Workspace\Standards\mdl\ folder from the list box and >OK= to open 11/10/08

20-22

CADD STANDARDS AND PROCEDURES

the Cell Library Utility. To operate the Cell Library Utility, select the Tag All button, then choose from the available options under the tools pull down menu. 20.9.3 Scale, Plot Ratio, and Media Size

Scale, plot ratio, and media size are interrelated. The media size is the paper size that the printer or plotter uses. Typical paper sizes include A size (for use with projects without plans), B size (used for final plan submission), and D size (larger media size for meetings and public hearings). Media sizes and uses are illustrated in Exhibit 20-8. The scale of a plot, or plot ratio, determines the size of the information shown on a plot. The paper size should be determined by what the plot is to be used for, and the plot sent to a printer that accommodates the corresponding paper size. The B size plot ratio is double the D size plot ratio. Therefore the information shown on a B size plot is half the size of information shown on a D size plot, and B size paper is half the dimensions of D size paper. Exhibit 20-7 Relative Media Size

A
1 A size sheet

B
1 B size sheet

2 A size sheets

B B

B = B
1 D size sheet

4 B size sheets

11/10/08

CADD STANDARDS AND PROCEDURES Exhibit 20-8 Media Size and Use

20-23

A size (Letter)

= 8.5X11

use for proposals

B size

= 11X17

use for final plan submission

D size

= 22X34

use for plans for meetings and public hearings

Most Roll Feed Plotters

Large Format Printer

Y = Approximately 36

Paper Roll

use for printing D size paper and printing plots of variable length

length of plot X = Varies

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20-24

CADD STANDARDS AND PROCEDURES

The scale of the plans and profiles will vary from project to project, and with the type of plan set (i.e., general plan, profile, pavement marking plan, etc.). Criteria for scale selection are as follows: a. The plans are readable on B size paper. b. The plans are developed in sufficient detail to assure the design is feasible. c. Existing and proposed work is distinguishable. d. Projects in urban areas or bridge replacement projects are typically prepared using 1" = 40 B size scale (1:480). e. Projects in rural areas are typically prepared using 1=50 B size (1:600) or 1" = 100 B size scale (1:1200). 20.9.4 Mapping Scales

In general, cells and linestyles that represent existing and proposed mapping are scaled by the scale factor when placed. Line styles and cells which are constructed to specific dimensions (e.g. Striping dashed lines, concrete barrier, railroad tracks, drainage structures, etc.) should not be scaled. Other than its symbology, existing and proposed mapping represent precise locations, sizes and limits. The larger the scale factor, the smaller this information will appear on a plot and the smaller the scale factor, the larger mapping information will appear on a plot. For example mapping information shown on a 1=40 (1:480) B size plot will be larger than mapping information shown on a 1=100 (1:1200) B size plot; therefore more detail can be shown on a 1:480 plot, and it will take more plan sheets to encompass the area of work. Exhibit 20-9 Relative Mapping Scales
One 1=100 Scale Plan Sheet (1200 scale) smaller scale plans

Several 1=40 Scale Plan Sheets (480 scale) larger scale plans

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CADD STANDARDS AND PROCEDURES 20.9.5 MicroStation Models

20-25

A DGN file is composed of models. When elements are placed in the file, the elements are placed in the active model. Each model has its own Annotation Scale. The Model Annotation Scale is used to set and adjust the scale of text and dimensions. A new file contains a default model. Other models can be created in the same design file. There are two types of models:

Design Model - can be either 2D or 3D. A design model can also be used as a reference or placed as a cell. In MicroStation, you can create an unlimited number of design models in a DGN file. Sheet Model - paper space, usually 2D, these models are most commonly used to compose finished and annotated drawings. MicroStation allows you to create an unlimited number of sheet models per DGN file.

When drafting details, models should be used to draft a detail 1 to 1 (and often 3D). These models may including various views (front, top, left, right, etc.), and may then be attached as a reference to a sheet border and annotated with the reference of the view scaled as needed. 20.9.6 Text and Dimension Scales and Sizes

Text and dimensions are drawn proportional to the scale of a plot. Therefore no matter what plan scale is chosen, the size of the text and dimensions on the printed B size plot will always be the same. Text and dimensions are scaled according the MicroStation annotation scale inside the MicroStation file. Standard text size shall be 1/16 height text for a B-size drawing. Line spacing for text shall be one half the text height. Dimension arrows shall be 9.4 long by 4.5 wide when using a 1 = 10 scale plot ratio (B-size drawing). Dimension arrows are adjusted proportionally for other scales. The length of dimension arrow is 1.25 multiplied by the text height and the width is 0.6 times the text height. Text and Dimension sizes, spacing, arrow sizes, and fonts are predetermined by using the configurations and resources provided by the Department. Selection of the correct Text Style or Dimension Style in conjunction with the NYSDOT standard dgn libraries is the most effective way to ensure file contents conform to the standard text and dimension requirements defined by the Department.

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20-26 20.9.7

CADD STANDARDS AND PROCEDURES NYSDOT Standards Tool

The Department provides a MicroStation utility, nysdot.ma, which includes a variety of productivity enhancing tools. One of these tools, Text and Dimension Settings, is accessed from the MicroStation Main Menu, by choosing, Tools>NYSDOT Standards>Text and Dimension Styles. To place text adhering to NYSDOT standards: a. Set the Model Annotation Scale to the appropriate scale and make sure the Annotation Scale lock is on. b. If the text is plan view text, set the active level the to appropriate text level for the feature the text is describing. (E.g. for text describing the position of proposed box beam guiderail, choose RGB_P_T). c. If the text is for details Text and Dimension Settings sets the level automatically. d. Choose N, T, or S from the Text and Dimension Settings, for Normal, Title, or Subtitle Text. e. Select the appropriate Text Style (Existing, Proposed, As Built, or Detail) f. Use the Place Text command and begin placing text.

To place dimensions adhering to NYSDOT standards: a. Set the Model Annotation Scale to the appropriate scale and make sure the Annotation Scale lock is on. b. If dimensioning plan view information, set the active level to the appropriate text level for the feature being dimensioned (E.g. to dimension a proposed culvert, choose DCP_P_T). c. If the dimension is for details, Text and Dimension Settings sets the level automatically. d. Choose Set Dimension Style, Set Dimension Style Place Note, or Set Dimension Style Lanes (Plan Only) from the Text and Dimension Settings. e. Select the appropriate Dimension Style (Plan or Detail) f. Use the Dimension Element command and begin dimensioning. Text Styles

20.9.8

A text style comprises a group of text attributes that enable the user to place text within a model in a consistent and automated manner. Text attributes include the font, size, and spacing. 20.9.9 Dimension Styles

A dimension style comprises a group of dimension attributes that enable the user to place dimensions within a model in a consistent and automated manner. Dimension attributes include the arrow size and shape, the unit format, and spacing. 11/10/08

CADD STANDARDS AND PROCEDURES 20.9.10 Fonts

20-27

The font is set by the text style; additional guidance regarding the use of fonts is as follows: Fonts used for Details, Existing, Proposed and As-built mapping, Fonts 11, 12, and 13, contain the lowercase characters needed to label common units, such as ft and in. Special characters are available to square or cube these units. Use q to square a unit and r to cube a unit. For example; ftq will appear as ft2. Fonts 7, 8, and 9 contain characters that are used to generate symbols with text. Exhibit 20-10 presents the symbols frequently used during plan preparation and the corresponding character listed in Exhibit 20-10 (generally a lowercase character). These are drawn by using the Place Text command in MicroStation and can be combined with the corresponding text font (10, 11 or 12). Exhibit 20-10 Symbol Key Characters Fonts 7, 8, 9 Item
Baseline Centerline Property Line/Plate Main Line Plus/Minus Degree Delta Diameter Greater than/Equal to Less than/Equal to Infinity One-third fraction Perpendicular Square Square Root Subsection Half-Space

Symbol
B L C L P L M L

Character
b c p f u n q d w l (alpha) i ` (Accent/Grave) j o r y v

" E $ # 4 a z 9 %&& '

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20-28 20.10

CADD STANDARDS AND PROCEDURES PUBLISHING CONTRACT PLAN INFORMATION

Published Contract Plan sheets should have uniform intensity (i.e., lines should be black in appearance) and printed to a minimum resolution of six hundred dots per inch (600 dpi). Although grey lines and symbols may appear legible when produced by an electrostatic plotter or laser printer, grey lines are unacceptable because the information presented may not be legible when reproduced or archived onto microfilm. In addition, shading of work zones, etc. is also not recommended due to the potential problems encountered during reproduction. 20.10.1 The Plotting Process Plotting within the Department is accomplished using network plotting software called InterPlot Client and ProjectWise Plot Server. Plots are sent (i.e., by a user), using the InterPlot Client software, to a queue on a server running the ProjectWise Plot Server software. The receiving server then directs plots from the queue to a plot device (i.e., a printer). A queue is a waiting line of plot requests residing on the server that distributes the requests to the plot device. 20.10.2 Color Tables and Pen Tables Using the standard color tables and pen tables provided by the Department is the most effective way to ensure published information conforms to the standard text and line weight requirements defined by the Department. Color tables are used to determine the color of a plot. The Departments standard color tables are outlined in Chapter 22 of this manual. The user can select which color table is attached to a plot. The two color tables which should be used most frequently are bw.ctb, to plot black and white prints, and ny_color.ctb to plot color prints. These tables are consistent with the standard colors outlined in Chapter 22 of this manual. Adobe PDF documents can be created either in color or black and white using these tables. Pen tables are used to define line and text width on a plot. The Departments standard pen tables are outlined in Chapter 22 of this manual and shall be used to plot contract plans, ROW maps, and cross sections. These pen tables set the line and text widths to the values stated in Chapter 22 of this manual. In addition, the pen tables also programmatically place the file name, user name, and date on the margin of the plan sheet. Each pen table is named according to the paper size it is intended to be utilized with (i.e., A_size.pen, B_size.pen and D_size.pen). Special use pen tables include no_yellowb.pen and no_yellowd.pen for plotting yellow as black on color B size and D size plots. In addition, wt2thick.pen is available for plotting line weights which are twice as wide as those defined in Chapter 22 of this manual. These special use pen tables can be used to generate plots for meetings and public hearings.

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CADD STANDARDS AND PROCEDURES 20.10.3 InterPlot Organizer and Publishing to ADOBE PDF

20-29

InterPlot Organizer allows the user to quickly create and submit multiple plots from a MicroStation file or from several MicroStation files. InterPlot Organizer automatically recognizes the plan sheet border to create a plot. Adobe PDF documents can then be created directly from MicroStation using InterPlot Organizer. Adobe PDF is an excellent method to provide MicroStation information to non-CADD users and the general public or for electronic distribution. The user should plot a groups of MicroStation files using InterPlot Organizer and save the information about those plots in an IPlot Set file (*.ips). InterPlot Organizer also allows the user to edit plot sets (i.e., remove or add plots, change scale or size). Users should create an *.ips file for each group of drawings (e.g., details, typical sections, traffic control plans, general plans, utility and drainage plans, profiles, etc.). In addition, users should create an *.ips file which contains all of their contract plans in order, changing the plot description to the drawing number for easy reference. The user should also use InterPlot Organizer to plot cross sections or groups of cross section, changing the plot description to the station for easy reference. 20.10.4 Quantity Manager and Exchange of Estimate Data with Trns*port Estimator Quantity Manager is a project estimating software that allows the user to assign pay items directly to the feature properties of a projects InRoads digital terrain models (DTMs) and/or Microstation graphic elements, and then produce an estimate based on the pay item assignments. The user can easily manage and assign pay items and quantity measurement formulas to InRoads surface features using Quantity Manager. Pay items and pay item formulas are stored in a standard database (nyu_pay_item.mdb) which may be edited by the user to include project specific pay items. Project quantities may be computed at any phase of a project once surface features are created and assigned pay items and quantity formulas. The computed quantities are stored in a separate Quantity Manager output database (PIN#_fea_qm_out.mdb). Pay items and quantities may also be manually entered into the output database for pay items that are either not included in or cannot be computed from InRoads surface features (e.g. lump sum items, mobilization, earthwork, equipment, etc.). The user can export the Quantity Manager output to the Trns*port Estimator program to generate the Project Engineers Estimate. The Quantity Manager output database should first be exported to an .xml file format which can be imported into the Trns*port Estimator program. Prior to completing the file transfer from QM to Trns*port, the user should ensure that all of the pay items in the Quantity Manager output database exactly match the pay item codes of the Trns*port Estimator program. The user may browse and connect to the Trns*port database (aecXML Infrastructure v33) to edit and update any of the pay items that may not match. Once all pay item corrections are made, the user should enter the required project information (work type, highway type, season, county, etc.), add the appropriate contingency, enter the price information and then calculate the project cost using the Trns*port Estimator program.

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HIGHWAY DESIGN MANUAL

Chapter 21 Contract Plans, Specifications and Estimate

Revision 64 (Limited Revision)

April 10, 2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 1 of 8

Section Various

General Changes Changed from metric to U.S Customary units. Updated to provide new electronic processes- see individual Section Changes below for descriptions. Updated reference to the Design Procedure Manual, now the Project Development Manual. Updated References to the current MUTCD. Deleted references to the CADD Standards and Procedures Manual chapters that have been incorporated into the HDM. Updated References to the Environmental Procedures Manual, now the The Environmental Manual (TEM). Updated reference to the Control Report Catalog of Metric Pay Items, now the Pay Item Catalog. Separated Plans Versus No Plans section into two Sections with new titles. ( new titles- Proposal Only Contract, Contracts with Plans). Moved Cross Section with Plans. material into Section 21.3 Contracts

Moved Terrain Data from HDM Chapter 5 to the Contracts with Plans Section in this Chapter. Removed Previous Sections 21.9.1 and 21.9.2., Design Phase IV and V Submissions. Information was enhanced and moved to Sections 21.3.4, 21.3.5 and 21.3.8 and reader is referred to the Project Development Manual for additional information on these subjects.

04/10/2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 2 of 8

Removed Previous Section 21.14, Material to be Supplied to the Successful Bidder after Award. New procedures will be documented in the Construction Administration Manual. Removed Previous Section 21.15, References. References are included in the body of the document instead. Updated references to the dot.ny.gov and provided active links. Scale references provided in dual formats, and modified where necessary. Incorporated guidance from EI 10-040 Permission to Perform Contract Work on Private Land. Appendices Eliminated Appendices C, D, E, F in favor of providing the information with online references. Updated $ threshold for applying guidance for contracts involving construction or alteration of buildings. (Revised Wicks Law). Added guidance on proposal preparation and what project are appropriate for proposal only contracts. Added guidance from EI 08-001 for incorporating professional seals into contract plans.

Introduction Section 21.1

Proposal Only Contracts Section 21.2 Contracts With Plans Section 21.3

Added additional/revised guidance from EI 08-002 on standard plan and proposal sheets. Revised Guidance for Plan Sheet Preparation Sign Location Plan, Sign Data Sheet and Pavement Marking Plans.

Added guidance for determining what method of terrain data collection was used for establishing the original ground.

04/10/2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 3 of 8

Preliminary Information Section 21.3.2 Accuracy and Rounding Section 21.3.3.1 Preliminary Design Section 21.3.4. Preliminary Plans for Design Approval Documents Section 21.3.5.1 Typical Sections Section 21.3.5.3 Cross Sections Section 21.3.6 Plan Sheet Format Section 21.3.7.1

Items were added to the list.

Changed the title of the Section and the Table. Profile data in the table changed. Angular Accuracy was changed.

New Subsection Added for clarity

This section has been reorganized along with Section 21.3.9.2F and 21.3.9.2N for consistency and clarity.

Removed the requirement that Design Approval Document Typical Sections have non technical labeling. Section Rewritten to reflect electronic world. Plot info modified. Revised the sheet cell drawing to move the violation note to the body of the sheet from the margin, and to match the sheet cell(s) now provided in the sheet cell library. Referred to the new separate sheet cell for landscape architects. Added language to reference State Education law and added information about revisions that do not require an altered by professional seal.

Advance Detail Plans(ADPs) Section 21.3.8

Additional guidance added to this section, Added Section 21.3.8.1 Preparation for Handoff to Construction.

04/10/2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 4 of 8

Organization and Sealing Section 21.3.9.1

Added Erosion control Sheets and Survey Control sheets to Table 21-5 Sheets Requiring Professional Seals and the Order of Sheets. Excluded seal requirement for Releases to Perform Contract Work on Private Land.

Guidance for Plan Sheet Preparation Section 21.3.9.2

Revisions made to: A. 5 Signatures Additional Guidance provided for requiring local government signatures on the Plan title sheet. Also requirement was added to list the inability to obtain local government signature in the PS&E transmittal memo J. Plan and Table of Highway Maintenance Jurisdiction, K. Miscellaneous Tables M. Earthwork Summary Sheets (Notes referring to Stripping/Storing Topsoil tables have also been added to the Earthwork Summary sheets in the sheet cell library) P. General Plans Q. Profiles, R. Signs and Sign Structures

Specifications Section 21.4 Format Section 21.4.1

Defined Inactive Specification. Removed references to a shell file for creating a special specification. Added a list of the major sections of the Standard Specifications. Added examples to illustrate Serialized and Tablized item numbers modified example. A.2 Modified words to avoid, A4 removed info pertaining to precast items, A6 added additional guidance on Method of Measurement, A7 modified Basis of Payment and added guidance for Special Considerations, C2 updated link. Added new guidance for formatting Drawings Associated with Special Specifications Removed Section 21.4.1.1 H Item Numbers and Trns*port Trouble shooting.

04/10/2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 5 of 8

Specification Considerations and Provisions Section 21.4.1.2

Guidance for Proprietary Specifications, Experimental Specifications and Inactive Specifications has been added as per clearance review on unissued EI Abbreviated the Section on Warranty clauses and strongly discouraged the use of these clauses.

Specification Review and Approval Section 21.4.2 Specifications to be Considered for All Contracts

Added a requirement for completing a Status of Special Specifications Table with the PS&E submittal, for all projects that have special specs (other than general special specifications). Guidance regarding Field Change Order Section 697 and Price Adjustments Section 698 has been revised per EI 07-024 .

Section 21.4.3

Dollar amount for Price Adjustment Items has been changed to actual estimate instead of providing a nominal amount per ED 12-001 (Revised 4/10/2012) Design Guidance for Section 637 Engineers Field Office, Laboratory and Equipment has been revised per EI 06-021.

Guidance regarding Engineers Field Office, Laboratory and Equipment Section 637 has been revised per EI -08-010.

Guidance regarding Engineers Field Office, Laboratory and Equipment Section 637 has been revised per EI -10-035.

Design Guidance for CPM Scheduling per EI 04-043 has been included.

Guidance regarding Training Requirements Section has been revised per EI 06-019. Guidance on Mobilization has been revised.

04/10/2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 6 of 8

Pay Item Catalog Section 21.4.4

Removed sentence about special specifications that affect bridge structures. Clarified the difference between proprietary reference proprietary item and proprietary product. Modified language to be consistent with the new Web based version of the Pay Item Catalog.

Special Notes Section 21.5.2

Restricted use of Specialty Items to an exception basis only. The information about a special note to identify non- Restricted Highways was eliminated.

Estimate Section 21.6

Reorganized for clarity.

Added guidance on Contingency Factors for Project Development Estimates, added info on inflation, modified. Added guidance on Quantity Computations, Added guidance on Estimating Item Prices Standard Sheets Section 21.7 Explanation of the relationship between Standard Sheets, pages, and revision date has been added. Eliminated sentence about effective date. Provided guidance on modifying details on standard sheets. Updated the list of information (and corresponding form CONR9) to reflect the electronic formats that information is currently produced and maintained in. Added new column. Added guidance on the format of the CD/DVD.

Supplemental Information Available to Bidders Section 21.8

Added reference to Design Approval Document, the Survey Control Report and Wetland Compensation Report.

04/10/2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 7 of 8

Encouraged making available to bidders quantity work-ups for all pay items. Updated the list of Subsurface Information that may be made available to bidders. PS&E Submission Section 21.9 Revised per EI 10-036 Electronic Plans, Specifications & Estimate (PS&E) and Amendment Submissions

Added new guidance on Additional Insureds Eliminated Forms C114-1 (EE Title Sheet), AD-102f (Project Description for Newspaper Use), and TE 200c (Traffic Signal Equipment). Changed the threshold for the number of sheets in one .pdf file, from 200 to 400 sheets. (Revised 4/10/2012) Additional guidance for Engineers Estimate submittal. Added guidance for electronic distribution of PS&E Transmittal Memo.

Revised the guidance for the PS&E transmittal memo (also revised). Changes After PS&E submittal Clarified who to coordinate with in the PS&E Section for changes, and cautioned against a common procedural error being made in the electronic submittal process. (Revised 4/10/2012) Revised per EI 10-036 Electronic Plans, Specifications & Estimate (PS&E) and Amendment Submissions. A section has been added for guidance on amending the proposal. Tables have been modified for communicating Pay Item changes to the PS&E Unit.

Amendments Section 21.10

04/10/2012

Changes to Chapter 21
Changes effective April 13, 2011 except as noted______

Page 8 of 8

Prebid Questions Section 21.11 Project Letting and Reletting Section 21.12 Design Data to be Supplied to Construction Section 21.13

Revises procedures for prebid questions to be addressed by the Regional Contact listed on Page 1 of the proposal. Revised to more accurately reflect current practice.

Formalized the transfer of data from Design to Construction with the requirement for a Handoff Memo that summarizes the data that is being conveyed. Provides more detail and more current guidance for what should be conveyed and gives a link to the new Handoff Memo Shell. Updated to require info that exists but was not supplied to bidders be handed off to Construction. Encouraged site walkthrough for Design and Construction personnel. Guidance for archiving project data into ProjectWise (at this point in the project) has been added. Clarified information regarding Projectwise Construction files. (Revised 4/10/2012)

Appendix A

Updated for Revised Wicks Law Added Section 21A.3 guidance for initiating construction permit application prior to PS&E submittal. Added procedural guidance pertaining to OGS permits. (Revised 4/10/2012) Revised the Special Note Listing of Specialty Contractors to direct Bidders submitting bids through BidExpress to submit the sealed list of Specialty Contractors to the NYSDOT Contract Management Bureau. (Revised 4/10/2012)

Appendix B

Reorganized for clarity.

04/10/2012

CHAPTER 21 CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE

Contents Page

21.1 INTRODUCTION

......................................................................................................... 21-1

21.2 PROPOSAL ONLY CONTRACTS (8 x 11 size sheets) ................................... 21-1 21.2.1 Proposal Preparation .......................................................................................... 21-3 21.3 CONTRACTS WITH PLANS (11x17 size sheets) ................................................. 21-3 21.3.1 21.3.2 21.3.3 21.3.4 21.3.5 21.3.6 21.3.7 21.3.8 21.3.9 Terrain Data ...................................................................................................... 21-4 Preliminary Information. ................................................................................. 21-11 Design Data ...................................................................................................... 21-12 Preliminary Design ............................................................................................ 21-13 Preliminary Plans for Design Approval Documents ........................................... 21-15 Cross Sections .............................................................................................. 21-18 Plan Preparation .............................................................................................. 21-19 Advance Detail Plans (ADPs) and the Developing Contract ............................. 21-24 Final Plans ....................................................................................................... 21-27

21.4 SPECIFICATIONS ..................................................................................................... 21-48 21.4.1 21.4.2 21.4.3 21.4.4 Preparing Specifications .................................................................................... 21-49 Specification Review and Approval ................................................................... 21-66 Specifications to be Considered for All Contracts ............................................. 21-72 Pay Item Catalog .............................................................................................. 21-79

21.5 PROPOSAL SPECIAL NOTES ................................................................................. 21-80 21.5.1 Guidance and Format ......................................................................................... 21-80 21.5.2 Special Notes Commonly Prepared By the Region ............................................ 21-81 21.6 ESTIMATE .............................................................................................................. 21-82

21.6.1 Milestones ....................................................................................................... 21-82 21.6.2 Estimating Programs .......................................................................................... 21-85 21.6.3 Engineers Estimate ........................................................................................... 21-85 21.6.4 Alternate Bid Items ............................................................................................. 21-93 21.6.5 Confidentiality of the Engineers Estimate & Unit Bid Prices .............................. 21-94 21.6.6 Bid Evaluation Process ...................................................................................... 21-95

21.7 STANDARD SHEETS

.............................................................................................. 21-95

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21.8 SUPPLEMENTAL INFORMATION AVAILABLE TO BIDDERS ................................ 21-96 21.8.1 Conveying Supplemental Information to Prospective Bidders .......................... 21-96 21.8.2 Content of Supplemental Information Listed on CONR 9 Form ........................ 21-97 21.9 PS&E SUBMISSION .................................................................................................... 21-99 21.9.1 Deadlines .......................................................................................................... 21-99 21.9.2 Format and Submittal ..................................................................................... 21-100 21.9.3 Changes After PS&E Submittal .. 21-114 21.10 AMENDMENTS .................................................................................................... 21-115

21.10.1 Deadlines ..................................................................................................... 21-115 21.10.2 Format and Submittal .................................................................................. 21-116 21.10.3 Plan Sheets .................................................................................................. 21-118 21.10.4 Proposal Pages ............................................................................................ 21-119 21.10.5 Pay Item Changes ........................................................................................ 21-120 21.10.6 Amendment Transmittal Memo..................................................................... 21-122 21.10.7 Amendment Body Document ........................................................................ 21-122 21.11 PREBID QUESTIONS ............................................................................................ 21-124 21.12 PROJECT LETTING AND RELETTING ................................................................. 21-125 21.13 DESIGN DATA TO BE SUPPLIED TO CONSTRUCTION .................................... 21-126

APPENDIX A - PS&E PREPARATION FOR BUILDINGS ON STATE FINANCED CONTRACTS ............................................................... 21A-1 APPENDIX B - CONSTRUCTION CONTRACT NUMBERS AND STATE HIGHWAY NUMBERS ..................................................................... 21B-1

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LIST OF FIGURES Figure Number 21-1 21-2 21-3 21-4 21-5 Title Page

Standard Plan Sheet Border ..................................................................... 21-21 Special Specification Format .................................................................... 21-61 Special Note Section 637 Pay Item Quantities ......................................... 21-76 Sample Alternate Bid Special Note .......................................................... 21-94 Amendment Body Document .................................................................. 21-123

LIST OF TABLES Table Number 21-1 21-2 21-3 21-4 21-5 21-6 21-7 21-8 21-9 21-10 21-11 Title Page

Examples to Aid in Determining if a Proposal Only Contract is Appropriate ................................................................................................. 21-2 Terrain Data Accuracies ............................................................................. 21-7 Terrain Data Requirements by Project Type ............................................ 21-10 Plan Dimension Accuracy......................................................................... 21-13 Sheets Requiring Professional Seals and the Order of Sheets ................ 21-28 Sample Sign Data Sheet Entries .............................................................. 21-42 Field Change Payment Applicability Criteria ............................................ 21-73 Estimating Item 697.03 Field Change Payment ...................................... 21-74 Contingency Factor Range ....................................................................... 21-84 Recommended Newspaper Advertisement Lengths .............................. 21-111 Summary of Pay Item Changes .............................................................. 21-121

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This Page Intentionally Left Blank

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21.1 INTRODUCTION The contract plans (if applicable), specifications, and estimate (PS&E) comprise the final design information necessary for contract letting. Guidance regarding PS&E preparation and submission is detailed in this chapter within the context of the project development process. Project data requirements are outlined. Instructions regarding the procedural steps to be followed for the type of project being progressed are included in the Design Phase I through VI steps in Chapter 4 of the Project Development Manual. Refer to Appendix A for guidance regarding contract and PS&E preparation for projects involving construction (or alteration) of buildings exceeding $500,000 in combined cost.

21.2 PROPOSAL ONLY CONTRACTS (8 x 11 size sheets) Proposal Only Contracts are intended to be simple projects that do not involve permanent construction. Permanent construction is defined in this context as any construction that substantially changes physical features within the ROW. Proposal Only Contracts are developed for printing on 8.5x11, size A paper. There is no separate set of plans in a Proposal Only Contract. Work Zone Traffic Control and other details may be provided in the 8.5 x 11 format as part of the proposal. These details must be in conformance with CADD Standards for font size and legibility. Standard drawings on 11x17, size B paper, shall not be reduced for printing on 8.5x11 paper. In such instances, the standard drawings should be re-drafted. It is important that Proposal Only contracts are limited to those that do not involve permanent construction. This is because Department processes and record retention policies do not provide for the creation of As-built Record Plans for Proposal Only contracts, and there are no plans to change these processes and policies at this time. If the Region or others have a particular need for record plans to be retained, the project should be advanced as a plans project. There will be situations where work order type contracts (Job Order, Where & When, Emergency Standby) that were progressed to letting as proposal-only contracts result in permanent construction, such as a culvert replacement. In these situations, plan sheets covering the engineering content should be developed, sealed and signed, and submitted to DQAB in accordance with the Office of Constructions field change or as-built revision processes. Reference Sections 91 and 93 of the Contract Administration Manual. Table 21-1 provides more guidance on determining whether a Proposal Only Contract is appropriate for a particular project, through common examples. If it is unclear to the Region whether a project may be advanced as a Proposal Only Contract, the Regional Quality Control Engineer should contact the MO PS&E Section Leader who is responsible for Record Plans.

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Table 21-1 Appropriate

CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE ________

Examples to Aid in Determining whether A Proposal Only Contract is Construction is Permanent* Proposal Only Contract is not Appropriate Guide rail placed at a new location, guide rail placed on a revised alignment, a change in type of guide rail, in kind replacement of entire runs of guide rail. Overhead sign structures. and 2 max Top Spot T&L with Mill and Fill over 2 2 ;

Construction is not Permanent* Proposal Only Contract is Appropriate Guide rail maintenance (replacement in kindisolated sections)

Ground mounted signs Single Course Overlay (2 maximum thickness) Resurfacing Spot T&L Course Crack/joint sealing

Resurfacing

over

Bridge washing, Bridge painting, Deck Sealing, Bridge rehabilitation work. Approach Slab Replacement in kind Curb and curb ramp replacement in kind, New sidewalks, and other curb/drainage work Sidewalk replacement in kind Culvert Cleaning/Culvert Repair Closed Drainage Cleaning Pavement markings Signal Maintenance Emergency standby contracts Where and When Job Order Temporary Traffic Control Test wells, engineering) Soils drilling (preliminary Signal Work. Culvert work other than culvert cleaning or repair.

Fencing, Landscaping/Plant Enhancement Ditch Cleaning, Mowing, Tree Cutting/Tree Removal, Misc. Clean-up, Ice jam removal Embankment stabilization, rockslope remediation, and river restoration projects. *The implied definition for Permanent Construction in these example s is not intended to be used for other purposes. Sweeping Contracts

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21.2.1 Proposal Preparation

21-3

A signed title sheet followed by a sheet containing the appropriate professional seal (engineer/land surveyor or landscape architect) and violation note is required for Proposal Only Contracts. The sealed and signed sheet covers all engineering content within the proposal. Working copies of these sheets are provided as cells that can be found in the nyu_sheet.cel cell library. They can be downloaded through LANDesk (on the Departments network) by downloading the CADD Resources and Settings Package (Department staff) or by choosing CADD Settings/Resource Files from NYSDOT.gov (for consultants). For projects receiving GreenLITES certification, the appropriate GreenLITES Certification Symbol (also available as cells in the nyu_sheet.cel library) should be located on the signed title sheet. Signatures for Proposal Only Contracts should be obtained for the proposal title sheet, using the same guidance as for obtaining Signatures for Contracts with Plans. (See Section 21.3.9.2 A.5.) A location plan with North Arrow should be provided as part of the proposal title sheet. A short statement of approximate project location, which would enable someone to locate the project with an ordinary road map, should be provided in the space below the words PROJECT LOCATION. When necessary, Earthwork Definitions Sheets, and Earthwork Summary Sheet, should be provided as discussed in HDM Chapter 9 Section 9.7.1. Other Project Details (Work Zone Traffic Control details or other illustrative information) should be placed on the Blank Proposal Sheet Border (in accordance with the CADD Standards. All remaining proposal materials for Proposal Only Contracts are identical to the proposal materials for Contracts with Plans. See Section 21.9.2.2. CONTRACTS WITH PLANS (11x17 size sheets)

21.3

Plans are official contract drawings required for projects that involve permanent construction. They should be prepared to use B size paper (11x17) when printed. The plans should show the location, character, dimensions, and details of the work to be performed. The level of detail provided in the plans should be commensurate with the type of project being undertaken. Standard Sheets are part of the contract when specifically included by reference. They are standard drawings approved for repetitive use in Department contracts. They show design and/or construction details associated with a particular item of work. Guidance regarding standard sheets is provided in Section 21.7. Examples of applicable project types and work types for which plans should be prepared are: New Construction, Reconstruction, Resurfacing, Restoration, Rehabilitation (2R/3R). New Bridges, Bridge Replacements, Bridge Removals, Major Bridge Rehabilitation.

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CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE ________

Projects with acquisitions. Projects for which permanent record of the work is desired.

21.3.1 Terrain Data Terrain data is needed to produce contract plans. For the simplest of projects (ie.. sidewalk, ADA curb ramps, or guide rail projects), record plans, orthoimages, and/or uncorrected images may provide sufficient detail for plan preparation. Other projects will require one or more of the following: base mapping, digital terrain models (DTMs), hydraulic cross sections, and orthoimagery. When a project requires base mapping, it also requires a DTM. Following is a brief discussion of each deliverable associated with terrain data. A. Base Mapping Base mapping is a graphical representation, in MicroStation DGN format, of the terrain features. Base mapping used for design development and right of way is generally provided to plot at 1:480 scale, (1=40)for use on B size paper. B. Original Ground Digital Terrain Model (DTM) An original ground digital terrain model is a triangulated 3D surface in InRoads DTM format. The original ground DTM, along with the photogrammetric base mapping, define the existing project area terrain upon which the new, proposed project features are designed. The digital terrain model is the source for the development of project alignments, typical sections, cross sections, quantities, and layout of design elements. C. Hydraulic Cross Sections Hydraulic cross sections are cross sections taken upstream and downstream of a bridge or culvert. These sections are perpendicular to the stream/river and the associated flood plain. Hydraulic cross sections consist of field surveyed points in the stream channel and overbank areas extending far enough each side of the stream to contain the design or check flood. Field surveyed points may be supplemented with photogrammetric survey outside of the stream channel. For new or replacement bridges over waterways, hydraulic cross sections require a field survey upstream and downstream of the bridge, and at the bridge fascia locations. For cross section location and spacing, refer to Appendix 3B of the Bridge Manual, and refer to the Land Surveying Standards and Procedures Manual for field procedures. Hydraulic cross sections are recommended for culverts with a span between 12 feet and 20 feet.(See Highway Design Manual Section 19.1). It is recommended that the Hydraulic

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21-5

Engineering Unit be consulted prior to obtaining the cross section survey in these instances.

D. Orthoimages Orthoimages are digital aerial photographs which have been corrected for distortion effects of camera orientation angle and terrain relief to achieve a uniform scale. These raster images are arranged to form a single image that extends beyond a projects mapping. These orthoimages form an image backdrop referenced to the mapping which can be valuable for displays at public hearings, and used directly for scaled 2D measurements. 21.3.1.1 Method of Terrain Data Collection Terrain data should be collected by either field survey, photogrammetry or a combination of the two.

A. Field Survey Field survey deliverables consist of base mapping, DTMs, and hydraulic cross sections. Field survey products are compiled according to the Land Surveying Standards & Procedures Manual and Chapter 20 CADD Standards and Procedures. Field survey work is required on most projects as either the initial mapping of the project or to provide supplemental field survey information. Field survey may specifically be requested to compile roadway pavement elevations, bridge elevations, or to locate property lines, right of way (ROW), utility facilities, sign data, and underwater areas, which are unavailable through aerial photography. For hydraulic cross sections, field survey or a combination of field survey and photogrammetry can be used. Only field survey can obtain underwater data or data in areas of dense foliage. Refer to the Land Surveying Standards & Procedure Manual for information regarding field survey data requirements for waterways.

B. Photogrammetry Photogrammetric deliverables consist of base mapping, DTMs, partial hydraulic cross sections, and orthoimages. Detailed information on photogrammetry products and how to request them is available in the Catalog of Photogrammetric Services. All mapping and DTMs are compiled following Chapter 20 CADD Standards and Procedures and the Specifications for Photogrammetric Stereocompilation. For orthoimagery, photogrammetry must be requested for the mapping, DTM, and the generation of the orthoimage. Hydraulic cross sections can be partially produced by photogrammetry, but underwater sections or areas in dense foliage require field survey.

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CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE ________

Photogrammetry is more cost-effective than field survey for initial mapping of medium to large projects. However, there are cases where field survey or a combination of field survey and photogrammetry are needed: 1. If a project has urban streets, dense foliage, or design features that require a higher level of accuracy, field survey should be the preferred alternative for these areas. 2. On projects with obstructed aerial views, the designer should determine if the photogrammetric data needs to be supplemented with field survey elevations. 3. The Regional Land Surveyor should be consulted about the best approach to provide mapped deliverables over the life of the project development, with consideration given to the cost of associated resources. When a combination of field survey and photogrammetry are used, the photogrammetric mapping and DTMs are merged with the field survey mapping and DTMs to create a single deliverable. All users of the project data should be aware of the differences in the positional tolerances of these two data types as shown in Exhibit 21-2. The designer should request enough field survey to assure that the survey data extends beyond any critical design areas. Refer to the Land Surveying Standards & Procedures Manual for information regarding field survey data requirements for bridge replacements. When field survey data will be collected in addition to the photogrammetric data, the field survey data should be collected first to help facilitate the development of the Original Ground DTM. It should be noted that Laser Scanning technology (LIDAR-Light Detection and Ranging) may contribute to the deliverables received from Photogrammetry or Survey. 21.3.1.2 Terrain Data Accuracies The accuracy of the DTM is contingent on the terrain data accuracy. The DTM portrays the existing ground surface and is constructed from lines and points that form a triangulated network that defines the features and terrain character. The ground surface between the measured points is interpolated. The overall accuracy and quality of the DTM surface is based on the density of points, the selected location of the points, and the accuracy of the points.

21.3.1.3 Process for Requesting Terrain Data While the terrain data requests will typically originate from Design, the data should also serve the requirements of Construction, eliminating the need for additional terrain data collection during the construction stage. The project design manager and Regional Senior Land Surveyor should determine the terrain data requirements for the project. Terrain data should be requested early in the project development process and will have a significant impact on the schedule, quality, and accuracy of the plans.

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21-7

Once the terrain data requirements have been decided, the terrain data may be obtained by various methods (e.g., any combination of in-house photogrammetry, in-house field survey, and use of consultants.). For Department designed projects, terrain data should be acquired through in-house photogrammetry and/or field survey as applicable. When in-house resources are not available, terrain data should be acquired using field survey and/or photogrammetric consultants. For consultant designed projects, terrain data collection may be included as part of the consultant design agreement or can be obtained through the Regional Senior Land Surveyor. The Regional Senior Land Surveyor is generally responsible for obtaining the field survey data through in-house or consultant forces and for coordinating the photogrammetric data deliverables. If photogrammetric mapping is required, a Request for Photogrammetric Services should be submitted to the Regional Senior Land Surveyor, who coordinates regional requests. If field survey mapping is required, the request should also be submitted to the Regional Senior Land Surveyor. Table 21-2 Terrain Data Accuracies 1,2 Obtained by Field Survey Feature Horizontal (ft) Points (Door Sills, corner of frames & grates) Structures (Buildings, Walls, Bridges, Culverts) Hard Paved Surfaces (Driveways, Roadways, Sidewalks) Underground Features (Drainage Lines, Utilities Mains) Graded Areas (Lawns, Gravel Drives) Sparsely Vegetated Natural Areas (Open Fields) 0.1 Vertical (ft) 0.15 Horizontal (ft) 0.25 0.25 3 Vertical (ft) 0.3 0.3 3 Obtained by Photogrammetry

0.25

0.15

0.25

0.15

0.25

0.3

0.3

0.3

N/A

N/A

0.6

0.6

0.6

0.6

1.5

1.5

1.5

1.5

Notes: 1. The accuracy of terrain data is the difference between a location on the DTM surface and the actual location of that point.

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2. 3.

CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE ________

The accuracies listed in the above table are based on the two standard deviation level which means that 95% of the tested points will be within the listed accuracy. The tops of vertical surfaces (faces of curbs and walls) are offset to avoid data conflicts. Photogrammetry uses the roof overhang to portray buildings rather than the building walls.

21.3.1.4 Terrain Data Needs by Project Type The following factors should be considered when determining the type of terrain data necessary for a project: 1. Size and scope (or type) of the project. 2. Level of accuracy needed for terrain data to design and eventually construct the project, or portions of projects. More vertical accuracy may be required in certain situations. For example: in areas where existing and proposed pavement alignments are to be tied together; in flat or level areas, where the slopes of existing drains tend to be very small, and when small differences in elevation can be critical; 2R or 3R Projects need more vertical accuracy along the entire length of roadways where the proposed alignment is to match into existing conditions. More accurate DTMs should be produced for these situations and should be completed by field survey. 3. Time required from data collection to the start of design. 4. Estimated data collection resources required.

21.3.1.5 Width of Mapping Limits Mapping widths should be kept as narrow as possible but should be wide enough to include sidewalks, roadside ditches and back slopes, embankments (critical to the support of the roadway), drainage structures, roadway guide rail, signs, driveway entrances, bridge structures, and the potential clear zone. In urban or suburban areas, the minimum mapping width on 2R/3R projects will generally go out to the front faces of buildings, while on Reconstruction (& Bridge Replacements) or New Construction Projects the mapping width generally will run along the rear of buildings. Mapping widths should include at a minimum, all area within existing highway boundary so the terrain data will be sufficient for ROW mapping purposes. The mapping width limit can vary within a project to cover intersecting roads, ramps, and drainage features. Table 21-3 indicates the project work type, recommended terrain data deliverable, and typical mapping width that are generally required based on project type. As indicated in Table 21-3, some projects may require more than one type of terrain data deliverable. In addition to the guidance provided in Table 21-3, consideration should be given to the following: 1. 2R/3R Projects require higher accuracy terrain data along the roadway to provide sufficient information to make informed decisions on which types of surface treatments should be utilized on a project. Decisions on how to improve an existing pavement cross slope to ensure it conforms to standards should be based on having accurate terrain data. An engineers ability to accurately estimate the work and material quantities required to provide

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21-9

a finished road surface which meets standards, is affected by the accuracy of the terrain data. 2. Higher accuracy terrain data is necessary for urban streets out to faces of buildings (including wide sidewalks, porch steps and building sills) to ensure proper drainage and access to the roadway. 3. Major bridge rehabilitations, such as superstructure replacements, require accurate terrain data for the location of the substructure and approach roadways. DTMs for bridge projects (e.g., bridge replacements, bridge widenings) require accurate tie-downs to existing profiles at the approaches, especially where no other work is anticipated for the project. 4. Projects to construct a highway on new alignment, add through-travel lanes, or significantly alter the horizontal or vertical alignment, require Type I Noise Studies (Section 4.4.18 of The Environmental Manual TEM) These studies generally require base mapping and DTMs extending 500 ft from the outside travel lanes (i.e., a 1000 ft plus mapping width). There may be some Type I projects where the 500 ft may need to be reduced (e.g., where a noise barrier analysis will not be possible, lack of access control). Designers should contact their Regional Environmental Unit Supervisor to determine if a noise study and any special terrain data are required. 5. Most pavement preventive and/or corrective maintenance type projects (e.g., 1R, microsurfacing, chip seal, and quick-set slurry) do not require a terrain data deliverable. However, limited data, such as pavement elevations where superelevation adjustments are anticipated, may be needed for a 1R project. 6. Other projects may require project-wide terrain data. For example, drainage reconstruction or construction of a recharge basin require project-wide base mapping, and other projects may require very limited data. If only limited terrain data is needed, then it should be collected using field survey.

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CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE ________

Table 21-3 Terrain Data Requirements by Project Type

Project Work Type (PDM Appendix 5) Safety Related Work Pavement Preventive and Corrective Maintenance (e.g., 1R Projects) Resurfacing, Restoration & Rehabilitation (2R/3R) Reconstruction & New Construction Minor Intersection Reconstruction Major Intersection Reconstruction Preventive & Corrective Bridge Maintenance Minor Bridge Rehabilitation Major Bridge Rehabilitation New & Replacement Bridges Other Projects and Miscellaneous/ Special Projects Terrain Data Deliverables1 Base Mapping & DTM (may be required) No Base Mapping2 or DTM Typical Mapping Width 5 Determine on a project by project basis N/A4,7 Map to front of buildings or to limit of expected work. Map to rear of buildings or to limit of expected work. N/A Map to front of buildings or to limit of expected work. N/A N/A4 Map to front of buildings or to limit of expected work. Map to rear of buildings or to limit of expected work. Determine on a project by project basis

Base Mapping5 & DTM Base Mapping5 & DTM No Base Mapping2 or DTM Base Mapping5 & DTM No Base Mapping2 or DTM No Base Mapping2 or DTM Base Mapping5, DTM & HCS3 Base Mapping5, DTM & HCS3

Determine on a project by project basis

Notes: 1. The base mapping and DTMs meet the requirements of Chapter 20 of this manual. 2. Instead of new base mapping, consider the use of record plans or new imagery supplemented by field survey checks. 3. Hydraulic Cross Sections (HCS) may be required. The need for HCS should be discussed with the Structures Design and Construction Group. 4. Sufficient Terrain data to establish minimum vertical clearance at structures is required. 5. Projects that require Type I noise analysis generally require base mapping and DTMs extending 500 ft from the outside travel lanes. 6. Orthoimagery is useful for information within and beyond the base mapping extent and for presentations at public meetings, and is supplied with each photogrammetry project. 7. Some 1R projects that involve superelevation improvements may require survey of pavement sections.

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21.3.1.6 Field Editing of Terrain Data

21-11

Mapping and DTMs from field survey generally include feature annotation from the original survey. Photogrammetric Mapping or DTM products generally require field editing to add or clarify feature information. The field editing is generally completed after the project mapping or DTM has been completed by Photogrammetry, and before design work begins. Most field editing can be completed by either the designer, or by a survey field crew, but some more precise field locations of edited information will necessitate field crew measurement with survey instruments. During a field edit, the mapping or DTM surface should be compared with actual field terrain to ensure that it portrays what is currently present on the project site. Field edits should consider locating, identifying, measuring or labeling the following features: 1. Utility pole numbers, valves or manholes, types of overhead or underground lines, and utility owners. 2. Building structure addresses, owner/business names, and structure type. Storm or sanitary sewer inverts, pipe sizes and directions of flow, and material types. 3. Pavement or building structure materials. Plant species, size and or condition. 4. Sign text, types and sizes. 5. Open drainage flow patterns and/or stream flow directions. Cross culverts sizes, types and inverts. 6. Guide rail, headwalls and other highway appendage types and/or materials. Traffic signal controller boxes, pull boxes and signal head locations

21.3.2 Preliminary Information Prior to preliminary design, the designer should evaluate all elements of design that will be necessary to complete design and produce the contract plans. Some examples of preliminary information that should be assembled and stored in Projectwise include: Utilities (e.g., public utility, private utility, etc.) Accident Diagrams and Data Rock Outcrops Traffic Volume Data Wetland Boundaries Existing ROW Existing Drainage Cultural Resources

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CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE ________

The designer should contact any functional area groups to determine which method they prefer to use to transfer the information. Gather information in electronic format when possible. Once the information is gathered, all pertinent information to the design should be added to the appropriate MicroStation files and/or InRoads DTMs.

21.3.3 Design Data Design data (for example CADD information from Microstation DGN and InRoads DTM, ALG, and XML formats) is used to develop the project design and project plans. It is used by the contractor for layout, by bidders to develop project bids, by construction inspection staff to ensure the project is constructed as intended by the designer, and by operations for asset maintenance. A project is typically the result of several people working collaboratively, so consistency in the development of design data is essential. Consistent design data prevents unnecessary confusion and questions after the data is transferred to bidders, construction staff, and contractors. The designer should create a complete set of working plots (i.e., plans, profiles, and cross sections) and update this set as new information is generated or becomes available.

21.3.3.1 Accuracy and Rounding Design data that ties into terrain data is limited by the accuracy of the terrain data used to develop it. Designers (and all users of terrain data in Microstation and InRoads) are able to determine the accuracy of the original ground terrain data based on the method of collection. The method of collection is shown on the tags in the InRoads Surface Feature Properties. For example; PHO_ for terrain data developed from Photogrammetry, SVY_ for terrain data developed by Main Office Survey, no prefix for terrain data developed by Regional Office Survey, and LID_ for terrain data developed from Lidar (accuracies not yet defined for Lidar but should be considered at least equivalent to photogrammetry). Pay item quantities should be determined and shown in the Engineers Estimate and on plans with an accuracy consistent with the method of measurement stated for the item in its associated specification. Plan dimensions that are not associated with quantities should be rounded as shown in Table 21-4.

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Table 21-4 Plan Dimension Rounding Element

21-13

Dimension (value shown on plan is rounded to the nearest decimal indicated) Project Control 0.01 ft 0.01 ft 0-00'-01" Topography 0.1 ft 0.1 ft 0-00'-10" Reference Points 0.01 ft 0.01 ft Bench Marks 0.1 ft 0.1 ft 0.01 ft Profile 0.01 ft 0.01 ft 0.01% 10 ft 5 ft 0.01 ft 0.1 ft 0.1 ft

Horizontal Alignments Distances Angles Station Offset Bearings Station Ties Station Offset Elevation P.V.I. Stations P.V.I. Elevations Rate of Grade Length of Vertical Curve Stopping Sight Distance & Headlight Sight Distance Drainage Structures/Pipe Invert Elevations Subsurface Exploration Station Offset

21.3.4 Preliminary Design Items developed during preliminary design create the foundation for the final design and the final contract drawings. They usually include finalized alignments, taking line limits, and preliminary cross sections, and represent about 30% of the final plans. However, it should be noted that the percent of final plans completed during preliminary design can vary depending on the particulars of the project. The actual percentage is dependent on the types of impacts that must be addressed in the Design Approval Documents.

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CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE ________

21.3.4.1 Existing Alignments Baseline alignments from the survey, should be completed by Survey. The designer should develop the additional horizontal alignments necessary to complete the existing roadway model, such as centerline, pavement edge, ditch lines, etc. If record plan alignments are available and usable, the alignment data from the record plans can be used to reconstruct existing alignments. It is not always necessary to coordinate or mathemetize all alignment s in InRoads. This should be done if there is a particular use for the designer, or if the alignment will be used for layout during construction. Otherwise, alignments can be created graphically or, in the case of vertical alignments, imported from the DTM surface. 21.3.4.2 Modeling the Proposed Roadway Modeling the proposed roadway should be accomplished using as few typical sections/templates as possible. Control alignments used in conjunction with variable width typical sections/templates should be used to model variable width roadways. Superelevation should be evaluated at this stage. Chapter 5 Basic Design discusses superelevation. InRoads relies on several input parameters to correctly calculate superelevation transitions and does not calculate non-standard transition lengths effectively. Superelevation transitions should first be calculated by using a spreadsheet application, such as Microsoft Excel. (Printouts for each curve should be added to the project files.) Next, calculate the rate, and build transitions in InRoads using the calculated rate. See Inroads training courses for additional guidance on superelevation. Roadways should be modeled with transition control lines (features) displayed. The features should then be copied into a final DTM and used for final model creation and editing. Features should be created using unique feature names according to the standard feature names stated in Chapter 20 CADD Standards and Procedures. For projects with multiple alignments (e.g. intersections, divided highways, etc.), each road should be modeled separately and then combined into one DTM during final design. Features can be edited inside the DTM using Surface> Edit Surface commands.

21.3.4.3 Conceptual Drainage The type(s) of proposed drainage (closed, open) should be determined and laid out during the preliminary design stage. Basins, gutters, ditches, and outlets should be conceptually laid out according to the physical features of the roadway. Refer to Chapter 8 Highway Drainage. Permanent erosion control, and stormwater treatment measures discussed in the Design Approval Document should be laid out including any additional ROW that is needed for this purpose.

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21.3.4.4 Utilities Utility coordination should begin early in the project to determine if any record plan information regarding existing utility facility locations can be transmitted electronically for use during design. Chapter 13 Utilities provides further information on Utility coordination. Utility facility information should be added to the non-triangulated existing features DTM, and added to cross section sets using the Evaluation> Cross Sections> Update Cross Sections command in InRoads as soon as the information is available.

21.3.4.5 Geotechnical Information All pertinent geotechnical features should be outlined. Chapter 9 Soils, Walls, and Foundations provides further information on geotechnical investigations. All boring locations, rock outcrops, and slope treatments should be included in the InRoads DTM.

21.3.4.6 Wetland Boundaries For areas where work, workers, or equipment will be off the highway embankment, wetlands should be delineated, as early as possible, and added to the non-triangulated features DTM. Wetland boundaries should be displayed using the appropriate linestyle in MicroStation. Typically, wetland boundaries are collected by Regional Landscape/Environmental staff using GPS equipment.

21.3.4.7 Traffic Signals Preliminary traffic signal plans should be developed during preliminary design and include aspects of signal design which may affect alignment and/or right-of-way. Detailed signal design should be completed during Design Phase V. Chapter 11 Signs, Signals, and Delineation provides information on traffic signal design.

21.3.4.8 Other It may be appropriate for certain design work to be advanced to greater detail during preliminary design, depending on project specific issues identified during the environmental process (i.e. Permits). The project manager will coordinate this work with appropriate Regional groups.

21.3.5 Preliminary Plans for Design Approval Documents Plans and profiles should be created to minimize duplication of effort. Labeling, sheet layout, plot

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setup, text separation, level designation and symbology are all items that, if done with consideration, only need to be done once during the course of a project. Plan to reuse as much of the information developed during Phases I-IV as possible during final design. Information needed for the Design Approval Document Plans that will differ from the contract plans should be placed on user defined levels, since it will not be included in the advanced detailed and final plans.

21.3.5.1 Plans Preliminary Plan view information should include, as appropriate for the project: 1. North arrow (grid). (Grid north is the north direction within the NYS Plane Coordinate System of 1983) The north arrow should preferably be located in and point in the direction of the upper right quadrant of the sheet. Avoid north arrows pointing diagonally down or to the left. 2. A graphic scale bar. 3. Existing topography including structures such as houses, schools, businesses, stormwater management features, streets and roads, including their names with routes and state highway numbers and their destinations, natural features (including names when applicable) such as bodies of water, streams, wetlands, swamps, lakes and woods etc. Existing pavement edges, bridges, interchanges, intersections, and driveways. For urban projects, other existing features such as sidewalks, utility strips, and parking. 4. Municipal boundaries, public parks and recreation areas and other publicly owned property. 5. Approximate Highway Boundary (AHB) lines (scaled from record information) or Highway Boundary (HB) lines (determined only by licensed land surveyors). Consult with the Regional Land Surveyor. 6. Existing railroad tracks and facilities, existing major utility facilities and existing drainage structures. 7. Project limits: Project Begins and Project Ends, identifying the extreme limits of the improvements accomplished under the project. 8. Proposed alignment data. Label the roadway centerline as follows - PC, curve number, and station; PT, curve number, and station, etc. Label centerline tangent bearings or azimuths. When spirals are used, spiral data should be labeled (i.e., TS, curve number, and station). 9. Tabulated curve information. Provide the curve number, radius, length of circular curve, and central angle. Show horizontal sight distance on curves (similarly, provide spiral data for spiral curves). See curve boxes provided as cells in nyu_sheet.cell library.

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10. Proposed: pavement edges, bridges, interchanges, intersections, driveways, sidewalks, utility strips, and parking. 11. Approximate right-of-way acquisition lines (including with or without access), reputed property owners names (if a taking or easement is anticipated), and property lines. All buildings to be acquired should be clearly identified. 12. Proposed work on railroad tracks and facilities. 13. Proposed relocations and/or adjustments of major utility facilities. 14. Proposed drainage structures and proposed drainage system 15. Detour plans, with the information noted previously in this Section, for on-site detours on new alignments that require ROW acquisitions. 16. Approximate cut and fill lines.

21.3.5.2 Profile(s) Profiles should include: 1. Percent grades, location and length of vertical curves, stopping and/or headlight sight distances for the mainline, ramps, service roads and intersecting roads. 2. Location of intersections and ramp take-offs. 3. Existing and proposed drainage and utility facility crossings. 4. Bridge(s). Detour profiles, with the information noted in the above four items, should be provided for on-site detours on new alignment.

21.3.5.3 Typical Sections Typical highway sections should be provided for the mainline, ramps, turning roadways, service roads, and intersecting roadways. Typical bridge sections should be provided for all new bridges and bridge rehabilitations. Normal crown typical sections should always be shown. Superelevated typical sections should also be shown. Detour typical sections should be shown where detours are on new alignments or to assist in describing special traffic control plan schemes, such as staged construction schemes with restricted lane widths.

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Consult the Bridge Manual for information that should be shown on bridge typical sections, and bridge approach typical sections. Highway typical sections should include: 1. Travel, auxiliary, parking, turning and climbing lane widths and cross slopes. 2. Shoulder widths and curb offsets. 3. Pavement type and/or pavement rehabilitation treatments and depths. 4. Curbs (note whether traversable, mountable or vertical faced; stone or concrete). 5. Sidewalk, bicycle lanes, and snow storage areas and their widths. 6. Front and backslopes out to original ground for both cut and fill sections. 7. Median type, width and cross slope. 8. Ditches and gutters. 9. Guide railing and median barrier. 10. Approximate location (Station to Station) 11. Existing and proposed horizontal clearance.

21.3.6 Cross Sections Cross sections provide an excellent medium to illustrate how the proposed design relates to the existing terrain. A 3D model allows the designer (and later, construction personnel and the contractor) to cut cross sections at desired locations anywhere within the model . Cross sections allow designers to evaluate and refine a preliminary design or validate and communicate a final design. Copies of any Final Cross Sections (.pdf version) can become part of the contract documents when listed on the CONR 9k. (Supplemental Information for Bidders). Construction personnel should be provided with any Final Cross Sections that have been developed during design, along with the Final 3D model. This occurs prior to the letting date when Design Data is transferred to Construction. If a Final 3D model is not provided to construction, cross sections should be provided at a regular stationing interval (ie.. every 50 for 1:480 scale plans) as part of the Design Data transferred to Construction. Cross sections should depict the original ground, proposed finished ground, the proposed sub-grade, and non-triangulated features. The following features (Refer to HDM Chapter 20.7 for guidance) should be annotated using InRoads: Original Ground - AC, PE, PET Finished Ground AC_P, PET_P, PE_P, RC_P, RSW_P, RBSP, LCUT_P, LFILL_P Non-Triangulated Features - Existing ground data and proposed data, including, but not limited to: Highway Boundary/ROW - Right-of-way lines, property lines, easements. Drainage - drainage structures, pipe runs, and underdrain.

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Utilities - subsurface utilities, utility poles. Landscape - plantings and amenities. Ground mounted sign locations. Guide rail

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Cross sections may be used to illustrate slope treatments, estimated benching locations, approximate boring-log locations, assumed rock lines, anticipated construction staging arrangements, undercuts, and depth of unsuitable material replacement as applicable. Labeling of various features shown on the cross-section should be the minimum necessary to provide appropriate illustration including offsets, slopes, subbase, subgrade, utilities, obstructions, and cut/fill volumes. Additional sections are often needed at closer intervals in critical areas such as intersecting roads, driveways, and culverts. They should include the roadway and the affected areas adjacent to the roadway. The individual cross section should also contain the centerline or baseline station where the cross section was taken. Care should be taken so that cross sections do not contain information and instructions which conflict with that provided elsewhere in the contract documents. Cut/fill volumes should be computed using the end area method from the InRoads digital terrain model (.dtm) and Microstation to achieve accurate earthwork volume calculations. Plotted and bound paper copies of cross sections can be useful for designers and construction personnel in the field. Paper copies of cross sections, when provided or requested, should be plotted at 1:120 (1=10) scale or 1:240 (1=20) and sent to a B size printer using InterPlot Organizer. Sheets should then be collated, in station order, and bound.

21.3.7 Plan Preparation

21.3.7.1 Plan Sheet Format The Standard Plan Sheet Border provides a common format for the plans. Except for the title sheet, all plan sheets follow this same format, which provides for the placement of project related information common to the set of plans - sheet borders, title block (bottom of sheet), and left margin text. Standard plan sheets are provided as 2 different types of cells one with space for Professional Seals and one without (Refer to Table 21-5 for guidance when a professional seal is required), and these cells should be used to prepare the plans. Working copies of these cells should be obtained from the nyu_sheet.cel cell library available through LANDesk (on the Departments network) by downloading the CADD Resources and Settings Package (Department staff) or by accessing the CADD Settings on NYSDOT.gov (for Consultants). In compliance with New York State Education Law, the following note shall be included on each plan and proposal sheet that contains a professional seal and signature by a Professional

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Engineer, Land Surveyor and/or a Licensed Landscape Architect : IT IS A VIOLATION OF LAW FOR ANY PERSON, UNLESS THEY ARE ACTING UNDER THE DIRECTION OF A LICENSED PROFESSIONAL ENGINEER, ARCHITECT, LANDSCAPE ARCHITECT, OR LAND SURVEYOR, TO ALTER AN ITEM IN ANY WAY. IF AN ITEM BEARING THE STAMP OF A LICENSED PROFESSIONAL IS ALTERED, THE ALTERING ENGINEER, ARCHITECT, LANDSCAPE ARCHITECT, OR LAND SURVEYOR SHALL STAMP THE DOCUMENT AND INCLUDE THE NOTATION "ALTERED BY" FOLLOWED BY THEIR SIGNATURE, THE DATE OF SUCH ALTERATION, AND A SPECIFIC DESCRIPTION OF THE ALTERATION. Note: Sheet number changes/drawing number changes and spelling corrections on signed and sealed documents do not require resealing by the licensed professional.

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Figure 21-1 Standard Plan Sheet Border

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15 5 6 7 8 9 10 14 16 6

13 11 3

12

The standard plan sheet border in Figure 21 -1 contains the following items: 1. Left border area. This area should be used by the Regions and Main Office Program Areas to aid in their quality control efforts by identifying project staff to answer questions and provide plan review confirmation. Design Supervisor The licensed professional supervising the job manager. The supervisor may seal work performed under their direction or if the job manager under their supervision is not proficient in a particular subject area. Job Manager The licensed professional responsible for the technical content of the sheet. The job manager typically seals the sheet unless they are performing work outside of their area of expertise. Design The designer developing the sheet under the supervision of the Job Manager. The job manager may also be the designer.

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Check The person responsible for checking the design of the individual sheet. Drafting The person who drafted the sheet under the direction of the designer. The designer or job manager may also be the draftsperson. Check The person responsible for checking the drafting of the individual sheet. Project Manager The person managing the capital project. The job manager may also be the project manager. 2. Standard location of Violation Note on plan sheets requiring professional seals and signatures. 3. Document Name. Refer to Appendix 14 of the Project Development Manual for appropriate document names. 4. Affix Professional Seal block. This area is to accommodate the professional seal and signature of the professional responsible for the production of the sheet. 5. Altered By Professional Seal block. This area is to accommodate the professional seal and signature should the plan sheet be altered. Note that it is not necessary to reseal a plan sheet for a drawing number/sheet number change, or a spelling correction. 6. As Built Revisions. This area is to document the description of alterations for AsBuilt Revisions. Refer to the Manual of Uniform Record Keeping (MURK) for more information regarding As-Builts. 7. State Highway Name and State Highway Number: Four lines are provided to accommodate State Highway Names and Numbers. Off system projects, on town or county highways, should be treated similarly. County. The fifth line is provided to list the applicable counties. If there is more than one county, the county line should read various. 8. PIN. US or NY Route Number. This may be left blank for off system project (from South or West project terminus to North or East project terminus). Utility Quality Level. The Utility Quality level should only be included on plan sheets which contain subsurface utility information (e.g. General Plans, Utility Plans). 9. Bridge Identification Numbers. 10. Culvert Identification Numbers. 11. Drawing Name Structure over the Feature Crossed 12. Region Number. 13. Drawing Number and Sheet Number. References in the plans should be made to drawing numbers rather than sheet numbers. (e.g., the first sheet of general plans would be assigned drawing number GNP-01.) Plan Sheets should be numbered sequentially. 14. Contract D number. The contract number should be requested in writing (e-mail) from the PS&E Section of the Design Quality Assurance Bureau (DQAB) 4-6 weeks prior to PS&E submission to allow time for placement on the contract Plan Sheets. This request should include the project identification number (PIN), letting date, advertisement length, approximate number of plan sheets, approximate engineers estimate and the approval status of all special specifications requiring DQAB approval. (see Status of Special Specifications Table)

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15. Predominant Dimension Note. For example: ALL DIMENSIONS IN ft UNLESS OTHERWISE NOTED 16. In the space provided, consultants may replace the DOT logo in the lower right of the sheet with their own identifying logo. Items 1,3 and 714 shall be filled in from ProjectWise attributes using the Update Title Block command in MicroStation. This information is contained within the sheet border cell as MicroStation tags. Consultants may fill in this information using the Edit Tag command.

21.3.7.2 Creating Plan Sheets Any MicroStation document which contains a sheet border can be referred to as a plot file. The most common type of plot file contains a sheet border, with other files (containing various information) referenced to it. Selected information in the reference files is displayed or turned on to create the desired general plans, utility plans, or drainage plans, etc. A plot file should be created using a new file, using references to display all other information except for the sheet border, match lines, north arrow and scale bar. Information contained in documents which are typically attached as references to a plot file include base mapping, proposed information, and ROW mapping. Plot files should consist of one sheet border in each plot file, and adjacent sheets should be attached as references. A set of plot files for general plans can be copied to create a base for a set of utility plans. Simply rename the copied file and adjust the reference files as necessary. Use rotated views and place one sheet per plot file. These files can be plotted by using InterPlot within MicroStation, although if plotting more than two sheets, it is more efficient with InterPlot Organizer. Each sheet border cell includes a yellow plotting border that both Iplot and Interplot Organizer utilize to plot sheets to the correct size with the appropriate margins. The plotting border is considered a construction attribute in MicroStation. The display of the plotting border may be turned on and off by selecting Settings > View Attributes > Constructions. The yellow plotting border should never be deleted from a sheet border. Match lines should be placed perpendicular to the roadway in the plot file. The match line should extend to the inside plan sheet border (or clipping border if the clipping border is shown). Match lines should be labeled ( for example with MATCH TO DWG NO. ___) with subtitle size text on the outside of the line in the plot file. Shading of work zones or other areas on the plan sheets should be avoided due to legibility issues when printed drawings are reproduced. Similarly, using grey lines or small symbols should be avoided due to legibility.

21.3.7.3 Creating and Organizing Typical Section Sheets, Detail Sheets, and Table Sheets

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A separate document should be created for each typical section sheet, detail sheet, and table sheet. The base mapping should be attached as a reference and the typical section sheet, detail sheet, or table sheet should be placed in the general vicinity of the project. This facilitates using InRoads tracking commands to identify and verify applicable station ranges and is a good method of organizing information. The scale used to place the sheet border cell when preparing typical sections depends on the width of roadway section. The cell should be placed at a commonly used scale As each typical section sheet, detail sheet, or table sheet file is created, reference the previous sheet to the new file and place the next border at an even interval from the previous border using MicroStations Accudraw. MicroStations automatic dimensioning should be used whenever dimensioning a drawing. Automatic dimensioning places extension lines, dimension lines, arrowheads, and dimension text.

21.3.7.4 Pay Item Numbers When drafting, pay item numbers should be consistent with the format used in the standard or special specification.

21.3.8 Advance Detail Plans (ADPs) and the Developing Contract The Advance Detail Plan (ADP) phase (i.e. Design Phase V of the Design Stage) provides for a review of the nearly complete detailed final plans by Regional Office functional units, Regional quality control and, as appropriate, the FHWA1, the Thruway Authority2, Main Office functional advisory units, and Local Agencies and organizations with jurisdiction over the project facility. This occurs before Design Phase VI (i.e., the PS&E phase). The ADP phase also provides for a review of other key components of the developing contract. The ADPs and supporting materials should be submitted for review as discussed in Chapter 4 of the Project Development Manual and Regional Policy. There are several goals for the reviews in the ADP phase. confirm that scope is consistent with prior approvals, and verify that commitments made in Design Phase I- IV have been incorporated into the plans and proposal.
1

ADPs should be submitted to the FHWA for comments on all projects that require FHWA approval. See Chapter 4 of the Project Development Manual. 2 The ADPs for Department projects that include, adjoin, or otherwise impact portions of the Thruway system should be submitted to the NYSTA Administrative Headquarters Design Support Services Bureau for review (200 Southern Boulevard, PO Box 189, Albany NY 12201-0189). Two copies should be submitted. The Design Support Services Bureau at the NYSTA HQ will coordinate the Thruway review with their affected Division(s) Office and provide a single response back to the NYSDOT Regional office that submitted the ADPs.

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This includes design criteria and standards, approved non-standard features, agreements and/or permits with municipalities, outside agencies or property owners, and any other commitments made by the Department in the course of developing the project; confirm that no non-standard features, without prior justification and approval, have been introduced into the project since the Design Approval Document was signed; confirm that the contract documents are consistent with department guidance; determine whether the project, as designed, is biddable, and buildable, at a reasonable cost and within a reasonable timeframe, anticipate potential problems that if not addressed could affect the project schedule and; evaluate the current cost estimate During the ADP phase, the estimate is refined as project details are defined. Work items are determined and estimates of unit prices can be made. Special Specifications and Proposal Special Notes are evolving during the ADP phase. For ADP review, the project materials should be developed to the extent noted below: Plans Should be organized in the same manner as the final plans Should contain all the applicable sections of the plans (and content) discussed in Section 21.3.9.1 Should contain about 90% of the information necessary for the final plans Need not include a completed Title Sheet Need not include a completed Estimate of Quantities Sheet(s) Need not include completed Miscellaneous Tables. Proposal Materials All special notes that will be included in the proposal should be in draft form. Special specifications for the project that have not previously been used for other PINs should, as a minimum, have a title and description. Estimate A current estimated construction cost (include 5-10% contingency) All items that will be contained in the contract, including their titles and unit price estimates*, should be identified. This is with recognition that item changes may occur based on ADP comments. (*Price estimates for lump sum items need not be finalized) Quantities should be estimated but need not be finalized. Environmental A draft of the Environmental Commitments and Obligations Package (ECOPAC) for the project, completed as much as possible.

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Draft GreenLITES evaluation

When ADPs and project materials are distributed for review, they should be accompanied with a written discussion on the applicability and status of the following items: betterments encroachments street closings detours transfer of jurisdiction abandonments right-of-way availability or problems status of utility inventory report. status of railroad agreements status of agreements resolutions status of permits or other environmental requirements potential staging or spoil areas within or adjacent to the project limits anticipated letting and construction completion dates and if Critical Path Method (CPM) Scheduling item is required anticipated coordination problems with other Department projects or projects constructed by others (e.g., overlapping maintenance and protection of traffic) any other special problems such as coordination with other states or Canada for projects at the border fund source participation limits when applicable Each of the reviewers evaluates the contract materials from the perspective of their specialty and involvement in the project. The reviews in the ADP phase provide a formal opportunity for reviewers to communicate to Design the need for changes or additions to the contract documents, prior to PS&E. The Regional Estimating Engineer will review the evolving estimate for the reasonableness of unit price estimates if requested by the Project Manager. Comments on the ECOPAC checklist should be specifically requested from the Regional Construction Group and the Regional Environmental Contact.

21.3.8.1 Preparation for Handoff to Construction A request to The Regional Construction Group for a constructability review for the project should be made at this time in project development, if one has not already been completed. The scope and type of Constructions review is based on the projects complexity. The constructability review addresses two fundamental questions - Can the project be bid rationally, and can it be built without significant contract change? On larger, more complex

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projects the constructability review may have already been conducted in earlier phases of the design. Regardless, ADP plans provide more detail to evaluate constructability at a more refined level, and it is important that Regional Construction Group be provided the opportunity to review ADPs. Review for sufficient working clearances to utilities (per current OSHA guidance), traffic, and other hazards or obstacles will be of particular interest to Construction. Designers should discuss the proposed contract duration and sequence of operations with the Construction Supervisor at this time. Work zone traffic control, seasonal limitations of work activities, time-related contract provisions, permit and agreement requirements, the shop drawing process, concrete curing periods, fabrication and delivery of materials, and any other factors in determining the contract completion date should be discussed. The collaborative development of a bar chart or other scheduling aid may be particularly useful for this purpose. The ADP review process also offers Regional Construction the formal opportunity to communicate their needs on the project for an Engineers field office, inspection equipment, and other Section 637 items as noted in Section 21.4.3; the need for Section 639 Construction Contract Management Systems pay items; special requests for CADD data or plots; other special requirements for the project; the designation of Specialty Items; as well as input on D/M&WBE goals for the project if there are unique circumstances, such as project location or demand for certain types of labor. Designers should look for and encourage this type of feedback from Construction on the ADPs, as it will help in finalizing the contract documents and tailoring the design data provided to Construction with the Handoff Memo (See Section 21.13).

21.3.9 Final Plans

21.3.9.1 Organization and Sealing The final plans should be organized and sealed as indicated in Table 21-5.

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Table 21-5 Sheets Requiring Professional Seals and the Order of Sheets
Sheet Title Sheet Index and Abbreviations Legend Sheets Typical Sections General Notes Small Scale Plans - 1=100 or smaller Small Scale Profile - Major Construction or Reconstruction 1=100H, 1=20V or smaller Traffic Control Survey Control sheets (if separate) Highway Maintenance Jurisdiction Miscellaneous Tables Miscellaneous Details Earthwork Summary Sheets Special Plans Erosion and Sediment Control General Plans 1=40 or larger Profile 1=40H 1=10V or larger Signs and Sign Structures
Notes; Tables; Details; Plans Notes; Tables; Details; Plans Notes; Tables; Details; Plans Notes; Tables; Details; Plans

Professional Seal Required No No No Yes Yes Yes Yes Yes Yes No Yes Yes No Yes Yes Yes Yes Yes

(except Table of Property Releases)

Traffic Signal

Notes; Tables; Details; Plans

Yes

Lighting

Notes; Tables; Details; Plans

Yes

Landscape Pavement Markings Utility and Drainage Large Culverts Retaining Walls Bridge Plans Estimate of Quantities

Notes; Tables; Details; Plans Notes; Tables; Details; Plans Notes; Tables; Details; Plans Notes; Tables; Details; Plans Notes; Details

Yes Yes Yes Yes Yes Yes No

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21.3.9.2 Guidance for Plan Sheet Preparation

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Sections 21.3.9.2 A through 21.3.9.2 X provide guidance regarding the preparation of plan sheets. Many of the plan sheets are produced by starting with a Cell from the Cell Library in Microstation. Cells referenced in this section can be viewed (.pdf format) at the Chapter 21 Internet Page Sample Plan/Proposal Sheets link. Please note that most contracts do not include all the types of plan sheets discussed in this Section. This Section provides a general listing of different types of plan sheets and the content that is typically included on them. The level of detail and types of plan sheets included in any given contract should be commensurate with the type of project.

A. Title Sheet A title sheet shall be prepared for all projects. The title sheet should be prepared by starting with an empty DGN file and placing the title sheet cell using the Place Plan Sheet command in MicroStation. The title sheet cell and the Place Plan Sheet command work with ProjectWise attributes to automatically update title block information. The following items should be provided on the title sheet as applicable:

A.1 Contract title. Include: Type of Work, Route Number, Municipality(ies), State Highway Number The following are examples to aid in providing a contract title: Parking Lot Construction in The Town Of Warwick Replacement of Signs on Various Routes Structural Steel Repair on Route 97 Bridge over Delaware River S.H. 5671 in Hancock Pile Repair Wantagh State Parkway Bridge over Sloop Channel S.H.9511 Traffic Signals & Overhead Sign Installation At Various Locations in Region 3 Pier Protection Replacement/Rehabilitation on Route 440 S.H. WSE 67-1 in New York City Replacement of County Road 1 Bridge over Conrail in the Town of Alden Replacement of Route 244 Bridges over Genesee River and Feathers Creek and the Greenwich Street Bridge over Phillips Creek S.H. 1559

A.2 County(ies)

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A.3 Contract Number A.4 Indication of Federal Funding. For Federally funded projects, the phrase F.A. Project should be provided below the contract title to indicate federal participation.

A.5 Signatures. An approval signature indicating that the procedural steps prerequisite to PS&E transmittal have been accomplished, and that the project design is consistent with established standards, policies, and regulations is required on the title sheet. This approval signature shall be completed by the Regional Director (or, pursuant to current Official Order, his or her authorized designee). A co-approval signature by the Regional Design Engineer is also required when the Regional Director is not a professional engineer licensed in New York State, and any portion of the contract plans were prepared by Department design staff. Additionally, the Regional Director may require the signatures of the Regional Design Engineer and other Group Directors to signify their recommendation for approval of the plans. Signature blocks not used should be removed from the title sheet. If a consultant has designed all or part of the project, the responsible person must sign the title sheet (individual's name, signature, PE license number, name of firm represented). If the consultant designed only a portion of the project, a note indicating the work performed should be shown with their signature (Example: Structures designed by ). Consultants shall include the professional seal of the person responsible for the production and include their consultant firm name on each individual plan sheet they prepare. A signature block for the Federal Highway Administration shall not appear on the title sheet. When required for certain Federal-aid projects, FHWAs PS&E approval is obtained by DQAB in letter form. Obtaining contract title sheet signature(s) of approval from local government chief executive(s) (Mayor, Town Supervisor, and/or County Executive3) is required under any of the following conditions: If the project is funded in part by county or local government monies; If there will be county or local maintenance of some constructed or reconstructed facet of the project following construction completion; and

The signature of another official, e.g., City Engineer, does not suffice to signify approval unless specific resolution or statute confers this approval authority. For projects within New York City, it is acceptable to substitute the signature of the Commissioner of the New York City Department of Transportation (and/or other NYC agency as appropriate) for the local government chief executives signature.

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If in the opinion of the Region local road use patterns are significantly affected either during construction (detours) or following construction completion. Local government chief executive signature of approval on the title sheet signifies local approval of the specifics of the project undertaking, and provides additional practical and legal benefits beyond the general terms contained within statutory requirements (i.e. resolutions and/or agreements, see Highway Design Manual Chapter 14 for additional information). Obtaining signature(s) under the above conditions also provides a clear, concise and readily-accessible record that both the opportunity for input on and agreement with the final plans and the details of future maintenance responsibilities has occurred. If for some reason a required local official signature cannot be obtained by the Region, it should be noted in Item 15, Incomplete Items, of the PS&E Transmittal Memo. Lack of a required signature may jeopardize contract advertisement, letting, and award. A.6 Location Map. A location map 9.25 wide by 4.5 high maximum size on B size paper shall be provided above the words PROJECT LOCATION. Maps in MicroStation format are available for copy out through ProjectWise which can be attached as reference; the section of map that contains the project area can then be clipped to fit in the area provided on the title sheet cell. Since the map is labeled NOT TO SCALE it is not necessary to provide a scale for the map. Text imported from the maps shall be changed to the appropriate text height/width of the plot scale used for the title sheet. Location maps should always have true orientation (north is up). The project location shall be shown on the map indicating the contract limits (by station and reference marker or circle the site location for contracts such as bridge replacement), and the Federal-aid project limits (where more than one project or combination State-funded and Federal-aid work is involved) on the map, if practical. A short statement of approximate project location, which would enable someone to locate the project with an ordinary road map, should be provided in the space below the words PROJECT LOCATION.

A.7 Title Block (lower right corner). There are four lines for contract information; a fifth may be added if necessary. The route number, State Highway names and numbers, and county(ies) should be included in this block (or State Highway numbers only when improvements are being made at numerous locations).

A.8 Index Sheet Reference. Indicate, in the block provided, the sheet number where the index is located. A.9 GreenLITES Certification Symbol The appropriate GreenLITES Certification Symbol (available as a cell in the nyu_sheet.cel library) for projects receiving GreenLITES

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Certification should be placed in the lower left box labeled Area for GreenLITES cell certification.

B. Index and Abbreviations Sheet An index and abbreviations sheet shall be provided for all projects. The standard index and abbreviation sheet is available as a cell. The index can be specific (indicating categories of details shown on each sheet; e.g., Sheet 44 - Drainage Details; Sheet 175 - Structure No. 5, Bar List) or general (indicating plan categories; e.g., Sheets 4-10 - Typical Sections; Sheets 210-230 - Structure No. 3, Route 66 over Erie Canal). The total number of sheets should be included on the Index and Abbreviations Sheet. The list of standard sheets which are applicable to items of work in the contract should be placed on the Index and Abbreviations Sheet. The list of all approved Standard Sheets is provided as a cell.

C. Legend Sheets Legend Sheets shall be provided for every project. The legend sheets should be prepared by starting with an empty design file and placing the legend sheet cells using the Place Plan Sheet command. These sheets should be provided for all projects and include standard symbols shown on the plans. A separate legend block should be placed on plan sheets which contain feature symbology not included on the standard legend sheets.

D. Typical Sections Typical sections should be prepared for most projects. The standard typical section border is available as a cell. Two columns for item numbers, descriptions, and units, followed by a single column for notes are provided on the bottom of the sheet. All text in the lower blocks is placed using data entry fields. All typical sections should identify the horizontal control, theoretical grade line, and point of rotation locations. Refer to HDM Chapters 3 and 9 for guidance regarding what should be shown on these sheets.

E. General Notes General project notes that are not provided as Special Notes (see Section 21.5) in the contract proposal, may be provided on a separate plan sheet. The utility quality level (as defined in Chapter 13 of this manual shall be included in the General Notes. Indiscriminate use of General Notes can create uncertainty or potentially call out questionable requirements. Conflicts between plans, the proposal, and specifications may result in higher bid prices and/or claims. General notes which modify or otherwise conflict with specifications or standard sheets should be avoided. General notes should not include

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statements already contained in Section 100 of the Standard Specifications, or other already stated specification provisions. F. Small Scale Plans 1:1200 (1= 100) or Smaller Scale Small Scale Plans should be provided in addition to General Plans (see Section 21.3.9.2.N) for projects that contain extensive plan content (such as a reconstruction project in a residential or commercial setting). The purpose of Small Scale Plans in this case is to provide a general overview of the project limits, impacts, and types of work, without the clutter of numerous pay items and leader notes. Small Scale Plans should generally show the same type of information shown on the Preliminary Plans (see Section 21.3.5.1). Detailed plan content can then be shown on separate, larger scale plan sheets - the General Plans. For projects where there are too many details for the General Plan sheets, the plans should be further separated into utility and drainage plans, sign plans, lighting plans, landscape development plans, ROW plans, bridge plans, etc., as necessary for clarity. Small Scale Plans may be used in lieu of General Plans for projects of significant length and minor plan content, such as Interstate resurfacing or pavement marking projects, where larger scale plans are not necessary. For these type of projects, all necessary plan content can be conveyed on the Small Scale Plans. Small Scale Plans should include: 1. Major project elements (such as those shown on the Preliminary Plans, Section 21.3.5.1). 2. Other information deemed important for a general overview of the project, and to facilitate readability of the plan set. 3. When appropriate, provide a key for locating General Plans Sheets on the Small Scale Plans. This is particularly helpful on projects with intersections, ramps, or a number of changes in direction when the project is not linear. 4. The information listed under General Plans (Section 21.3.9.2.N), if General Plans are not being prepared for the project.

G. Small Scale Profile (1=100 H, 1=20 V) or smaller scale Small scale profiles should be provided whenever small scale plans are included in the plan set. The profiles should contain the following information: 1. Datum elevation. 2. Theoretical Grade Line

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3. Vertical Curve Information - P.V.I. station and elevation, length of V.C., center correction, stopping sight distance or headlight sight distance 4. Existing ground profile. 5. Ramps, bridges, and crossroad center lines. Centerlines of major driveways should also be labeled. 6. Begin and end paving limits.

H. Work Zone Traffic Control (WZTC) Plan This section of the plans should include plans, profiles and typical sections of detours, staging plans, construction signs, channelization, temporary barriers, temporary pavement markings, temporary signals, work site access, temporary drainage, traffic control plan notes, temporary sidewalks and driveways, special traffic control plan sheets for structures, and any other WZTC information. Information shown on the Standard Sheets should not be repeated on the plans. Refer to Chapter 16 of this manual for guidance regarding this section of the plans and to the 619 Series Standard Sheets.

I. Survey Control Sheets Survey Control Sheets provide a logical place to show related information as follows: Plan view of proposed centerline and baseline with the tables listed in Miscellaneous Tables K1, K2, K3 and K4 below. In lieu of dedicated sheets for Survey Control, this information may be shown on sheets elsewhere in the plans.

J. Plan and Table of Highway Maintenance Jurisdiction The table of highway maintenance jurisdiction should state maintenance responsibilities for the highway mainline; sidewalks (See HDM Chapter 18, Section 18.14 of this manual); utility strips; lighting, landscaping, relocated and rebuilt side roads; structures; drainage facilities (located on the state ROW or on a permanent easement); permanent water treatment facilities, existing roads destroyed by construction, discontinued, or for which maintenance responsibility is transferred as a result of construction; and snow and ice control. An appropriate scale plan should be included to show maintenance jurisdiction limits. Refer to Chapter 15 of this manual for additional guidance regarding the preparation of these sheets.

K. Miscellaneous Tables Tables should show contract information which may not be shown elsewhere on the plans, or data which may be conveniently summarized to show proposed contract item use. The

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tables listed below are commonly used; working copies of most tables can be obtained from the tables cell library (ny_detail_tables.cel). Particular contracts may warrant additional tables. 1. Road Alignment Data - Show when not included in General Plans. 2. Horizontal Control - Provide horizontal control line (HCL) point, HCL station, baseline station, offset, and coordinates (northing and easting), and equalities. 3. Right of Way Information Right of Way Acquisitions. (Required for all projects w/ROW acquisitions). Show map no., parcel no. reputed owner, trn no., dwg. no., type of take, area (yd2, acres), and remarks. Existing Monumentation to be Tied, Preserved, and/or Replaced. Show point number, baseline station, side, offset, type, reestablishment record, type. Proposed Acquisition Right of Way Markers. Show baseline station, side, offset. Existing Highway Boundary Right of Way Markers. Show baseline station, side, offset. Permanent Survey Markers. Show baseline station, side, offset. 4. Survey Control Base Line Ties. Show when not included in General Plans. Project Survey Baseline. Show station, bearing, distance, northing, easting, reestablishment record. Project Benchmarks. Show benchmark number, baseline station, side, offset, description, and elevation. Horizontal Control Stations. Show monument, northing, easting, elevation, and description Vertical Control Stations. Show monument, elevation, and description. 5. Removal of Structures and Obstructions. Show location, side, description. 6. Cold Milling. Show location, length, width, and depth. 7. Drainage Structures. Show structure number, location (station and offset),structure type, elevations, description of work, and for closed drainage structures, show the structure (basin or pipe) that the structure connects to. 8. Underdrain. Show location, side, and outlet. 9. Guide Rail, Median Barrier, and End Assemblies. Show item number, location, length, payment factor and payment length (in accordance with applicable specification). 10. Highway Barricade. Show item number, location and length. 11. Fence. Show location, and side. 12. Driveways. 13. Curb. Show item no., location and side. 14. Sidewalks. Show location, side, length, curb ramp type. 15. Mailboxes. Show location, side, and quantity.

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16. Care, Thinning, and Removal of Trees. Show location, side, description. 17. Planting. Show item number, symbology and/or the abbreviation of the plant, plant name, and quantity. 18. Bank and Channel Protection. Show location, side, length, width, and depth. 19. Paved Gutters. Show location, side, and length. 20. Delineators. Show location, side, color, spacing. 21. Reference Markers. Show location, side. 22. Snowplowing Markers. Show location, side. 23. Utility Specials (water and sanitary lines, etc.). Show item number, location and length. 24. Stripping/Storing Topsoil: Show location and depth. 25. Ditches. 26. Property Releases: Show purpose of the release, property owner, and date release was obtained. 27. Clear Zone Widths. Required on certain contracts. Refer to HDM Chapter 10 discussion on Clear Zone Documentation and the corresponding Sample Table of Clear Zone Widths.

L. Miscellaneous Details The purpose of drawing a detail is to provide the dimensions of critical elements in a design. The following guidelines should be considered when preparing details: 1. Scale. Although details are drawn to scale for drafting ease and proportion, they are not meant to be scaled from the printed drawing, and should therefore be labeled NOT TO SCALE in the plan sheet title box. 2. Pay items. Pay items shall be stacked up flush right or flush left depending on whether the leader is to the right or left. 3. Leader lines and dimension lines. Leader lines and dimension lines shall be arranged in a manner to clearly depict the intent of the drawing. Care should be taken to minimize any crossing or overlapping of either leader lines or dimension lines. 4. Labeling and text. For each detail, the detail title shall be labeled using the applicable title text size for the plot ratio used. Detail titles shall be located under the applicable detail. Station to station limits where the detail applies shall be labeled using subtitle size text for the plot ratio used. Do not underline title or subtitle text. Refer to Chapter 20 CADD Standards and Procedures of the Highway Design Manual for guidance regarding text size associated with plot ratios.

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The following types of miscellaneous details should be provided as applicable to the project: 1. Special guide rail and barricade details. 2. Intersection details. 3. Special slope protection treatment should be shown or reference made to the applicable standard sheet. 4. Special drainage structures, ditches, and culvert inlet design. Payment lines for trench and culvert excavation should be shown in accordance with the item specification. 5. Utility facility line excavation should be detailed showing excavation and backfill payment lines. 6. Special Driveway Details. As noted in Appendix 5A of this manual, standard sheets exist for driveways. 7. Channelization details. 8. Any other special job details.

M. Earthwork Summary Sheets These sheets, located in the nyu_sheet.cell library are required for most projects with items 203.02, 203.03, 206.02, and/or 206.04 in the Engineers Estimate. Refer to Chapter 9, Section 9.8.1 of this manual for guidance regarding preparing these sheets.

N. Special Plans Special plans should be used for special situations, at scales appropriate to the level of detail needed to be shown. Following are examples of special plans: 1. 1:480 scale (1=40) or smaller plans may be used to show limits of unsuitable excavation where extensive removal is necessary. 2. 1:480 scale (1=40) or smaller grading contour plans: are required for interchanges and rest area layouts. may be needed to show wetlands or wetland mitigation. are recommended for major construction projects and should also show drainage for the contract. Subsurface exploration symbols should be shown. should be considered for parks, plazas, parking lots, and areas to be heavily planted. 3. Paving contour layouts may be needed for intersections. Drainage structures should be shown on these contour plans.

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4. Separate ROW plans may be needed to legibly document acquisitions, or to clearly show contract items for disposal of buildings. 5. PCC Pavement Joint Layout. The need to provide a complete joint layout in the plans varies with project complexity. Generally, it is not practical to provide a complete joint layout in the plans because moving one joint during construction alters the layout significantly. It is recommended that the longitudinal joint locations be included in the plans if there are multiple stages of work zone traffic control. Separate sheets devoted solely to joint layout, showing the longitudinal joint locations and projections within 10 in of the bottom of the PCC slabs, are helpful to both the Contractor and Engineer when laying out joints at the project. It is highly preferable to align longitudinal joints between travel lanes with the final longitudinal pavement markings. The Contractor is required to submit the final joint layout based on construction staging and the locations of projections, tapers, irregular areas, etc. The joint layout is subject to the Engineers approval. Guidance for joint layout is found in the Standard Sheets. For PCC intersections, a proposed joint layout should be included in the plans to provide the Contractor with a reasonable expectation of the work required. Intersection joint layouts are typically complex because of projections and intersecting centerlines. In the plans, reference Note 1 on Standard Sheet 502-08, Utility Isolation and Joint Layout - General Notes, to inform the Contractor that the joint layout is proposed only, and they are responsible for developing the final joint layout. The Field Engineering II Section of the Materials Bureau is available to assist in developing the proposed joint layout. When designing a PCC intersection, extend the PCC limits to the point where hot mix asphalt (HMA) rutting and shoving are likely to begin. 6. Landscape plans may be needed to specify desired planting locations and other landscape features and treatments such as tree removals and protection of existing vegetation. 7. Environmental impact mitigation details and plans. (noise barrier, wetland mitigation plans, erosion control plans, details and notes related to historic sites and structures, hazardous material removal, etc.).

O. Erosion Control Sheets Consult Regional Landscape Architect or Certified Professional in Erosion and Sediment Control (CPESC).

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P. General Plans 1:480 (1=40) or Larger Scale

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Most projects should contain General Plans at a scale of 1=40 or larger. Some projects (for example Interstate resurfacing or pavement marking projects) may only need Small Scale Plans (Section 21.3.9.2.F) to sufficiently convey plan content. Some projects (for example urban reconstruction projects) may include Small Scale Plans in addition to General Plans to sufficiently convey plan content. General Plans should include: 1. A North arrow (grid). The north arrow (grid) should point to the upper right quadrant of the sheet. (Grid north is the north direction within the NYS Plane Coordinate System of 1983) In cases where this would cause numerous match lines, this may be modified. Avoid north arrows pointing diagonally down or to the left. 2. The stationing of equalities. 3. A graphic scale bar. 4. Match lines (See section 21.3.7.2 for guidance). 5. In addition to existing features shown on the Preliminary Plan (See Section 21.3.5.1) and Small Scale Plan; show existing fences, walls, hedges, sidewalks, stairs, size and type of trees, culverts (size, type, direction of flow, invert elevations), utilities (cables, poles, gas lines, water mains, sewers, etc.) guide rail, signs, billboards, parking lots, playgrounds, and any existing features identified during the design. 6. Contract limits with stationing to the nearest foot. Contract Limit - The limits that encompass all advanced/trailing signing for the project. For contracts with multiple sites, the contract limits may be defined as a single larger limit if the sites are in close proximity, or as multiple sets of contract limits if the sites are widely separated. On site contract work cannot be conducted outside the contract limits. If it is not practical or possible to show the physical location of one or more of the contract limits on the plans, then a note defining the contract limit(s) or referring to the Standard Specification definition shall be included on the appropriate plan sheet(s). Contract Limits do not need to be shown on side roads or other Work Limits within the contract. These Work Limits are considered within the Contract Limits. 7. Project begins, Project ends, with stationing to the nearest foot. Project Begins and Project Ends identify the extreme limits of the improvements accomplished under the project. There is only one Project Begins, usually shown on the left side of the first plan sheet. There is only one Project Ends, usually shown on the right side of the last plan sheet. 8. Work Limits, all with stationing to the nearest foot. Work Limits identify limits of improvements - other than the Project Begins and

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Project Ends associated with the project - such as on a side road. There can be multiple work limits, (or there may be none if there are no side roads) and they can be located on any plan sheet. Work Limits are considered within the overall Contract Limits 10. Fund source limits, with stationing to the nearest foot. If applicable, it is necessary to indicate on the plan sheets the location of change in Federal-aid fund source, or the separation of a Federally-funded section of the contract from a 100% State-funded section of the contract. 11. Existing highway boundaries (with year acquired, if known) including existing ROW monuments. New right of way line(s) (indicate W/A or WO/A) including proposed ROW monuments. Property lines, corner markers, and reputed owners. Individual ROW parcels, map and parcel numbers, and type of acquisition. 12. Survey baseline. Stations, ties, azimuths, and relation to new center line. Bench marks. 13. Stationing. Project stationing should increase from the south to the north or from west to east. Stationing should always be increasing from left to right and from bottom to top on a plan sheet (with the exception of ramps or other anomalies). For 1:480 scale (1=40) plans, the centerline should be stationed with annotated major ticks every 100 and minor ticks every 50. 14. Alignment data. Label the roadway centerline as follows - PC, curve number, and station; PT, curve number, and station, etc. Label centerline tangent bearings or azimuths. When spirals are used, spiral data should be labeled (i.e., TS, curve number, and station). Show alignment data for crossroads and frontage roads. 15. Tabulated curve information. Provide the curve number, radius, length of circular curve, and central angle (similarly, provide spiral data for spiral curves). See curve boxes provided as cells in ny_sheet.cell library. 16. All proposed features to be constructed: for example - pavement, shoulders, driveways, new culverts, drainage structures, sewers, gutters, special ditches (show invert and other control elevations), new guide rail, major sign structures, traffic signals, fencing, pavement markings, new planting locations, legends for plant material, incidental work on private land (if a release has been obtained), etc. 17. Access to properties where existing road is abandoned. 18. Grading limits - toe and top of slopes. 19. Location of subsurface explorations, limits of unsuitable material to be removed, and special soils treatments:

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Plan location of all subsurface exploration, by appropriate symbols. Limits of unsuitable material removal, shown in sufficient detail to indicate both the extent and depth of removal. Areas requiring lightweight fill, stabilizing beams, undercuts, etc.

20. Buildings to be removed.

Q. Profile (e.g., 1:480H (1=40), 1:96V (1=8) or Smaller Scale) The horizontal scale for the profile should be the same as the general plans scale. The vertical scale should be chosen to adequately show the needed details. Generally, the ratio between horizontal and vertical scale should be 1 to 5. Separate profiles should be provided for crossroads, ramps, closed drainage, ditch lines, and sewers, as appropriate. Profiles related to drainage should include Hydraulic Grade Line and Energy Grade Llines. The profile should contain the following information: 1. A graphic scale bar shall be shown. Place the scale bar showing horizontal and vertical scale utilizing the Drawing Utility Tool Box > Place Scale Bar. 2. Annotation. Display curve information with the InRoads View Vertical Annotation command. Annotate the following information: Datum elevation Existing ground line Proposed grade line Percent of grades The original surface and the proposed surface elevations Station and elevation of P.V.I. Length of V.C. Center correction for vertical curve Station of P.V.C. and P.V.T. Stopping sight distance (SSD) at crest vertical curves and headlight sight distance (HSD) for sag vertical curves. SSD automatically calculates and labels on all curves. The HSD on sag curves are calculated correctly but must be edited to be HSD not SSD. Stationing of equalities Superelevation and transitions. These items should be generated using Inroads commands. 3. Ramp noses 4. Special ditches 5. Location of intersecting roads 6. Cross culverts and closed drainage systems. 7. Bridge(s). Label with the Bridge Identification Number (BIN) and a short description.

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The structure can be shown very simply. 8. Intersecting utilities as deemed appropriate.

R. Signs and Sign Structures Contracts that contain signs, sign structures, reference markers, and/or delineators as part of the work should be presented in the contract documents as discussed in Sections R.1 through R.3. R.1 Sign Location Plan The Sign Location Plan provides an overview of the project signing, addressing new signs, existing signs that are to remain in place, existing signs that will be relocated or removed, etc. The Sign Location Plan should communicate conceptually what signing work is to be done, without the clutter of details to distract from this purpose. 1. New Sign Symbol (Bubble) For each new sign on the Sign Location Plan, an arrow should be placed that points to the approximate sign location. It should be annotated with the symbol, (bubble), as shown below:

The L in this symbol (bubble) is the Location Number of that particular sign. The designer should assign Location Numbers so that they progress sequentially in the direction of the centerline stationing per plan sheet, i.e. signs on the first Sign Location Plan sheet would have location numbers, 1-1, 1-2, 1-3, etc. Signs on the second Sign Location Plan sheet would have location numbers 2-1, 2-2, 2-3 etc. In this way, a plan user could quickly find a particular sign on a particular sheet without flipping through extraneous sheets. 2. Sign Face Graphic The Sign Face Graphic (i.e. sign text for the sign assembly) shall be shown on the Sign Location Plan, for new and relocated signs. Location plans should be drawn to a scale that allows the placement and readability of all Sign Face Graphics for new signs 3. Post Item Numbers and Quantities Under each sign face graphic, the item number for the post and the quantity of posts, for that installation must be shown. (Posts are associated with a location and a sign assembly, and do not appear on sign data sheets.) 4. Sign Removals A sign removal table should be provided that shows each removal

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location, in Station and Offset format, with the associated item number and a brief description. (In the absence of survey data, uncoordinated stationing may be provided for reference purposes.) The sign removal table should be placed on the sign location plan (space allowing). Otherwise there should be a note referencing the table on a separate sheet. Special circumstances, such as sign relocations, or incidental signs to remain, should be provided in note format on the Sign Location Plan. 5. Pavement Markings If clarity is not reduced, pavement markings (See Section 21.3.9.2.S) should be shown on the Sign Location Plans. 6. Reference Markers The Start and End of reference marker locations (if applicable) may be shown on the sign location plans. 7. Delineators Location of delineators (if applicable) can Location Plans, space allowing. be shown on the Sign

R.2 Sign Data Sheet(s) 1. New Signs Sign Data Sheets should contain data tables that provide additional information about the sign panels shown on the sign graphics in the Sign Location Plans. (empty table is located in the nyu_sheet.cel library) Each unique sign panel on the Sign Location Plan has a corresponding entry in a Sign Data Table. The various locations of the panels are shown in the Location Column of the table, which corresponds to the location symbols on the plan sheet. The plan user must consult the sign graphics on the sign location plan to determine the placement of the panel within the sign assembly. 2. Notes The Sign Data Sheet(s) contains standard notes typically used on all projects. Additional project specific notes may be added to the Sign Data Sheet(s). Sample entries from a Sign Data Table with sample notes are illustrated on the following page. Guidance for table entries is provided.

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Table 21-6 Sample Sign Data Sheet Entries

DESIGNA TION & COLOR (SEE NOTE 2) SIZE LOCA TION TEXT ITEM P A YM ENT A REA (SEE NOTE 3)

A REA TOTA L P A YM ENT (SEE NOTE 3) A REA

R1-1

2-13, 2-16, 2-34, 2-35

30 X 30 645.5202 4* 6.2 SF

6.3 SF

25.2 SF

M6-1 WHITE ON BLUE

2-2, 2-19, 2-11 3 2-11, 2-29 2-2, 2-11 2-17A, 2-19 6

21 X 15 645.5102 2.2 SF

2.2 SF

6.6 SF

21 X 15 645.5102 2.2 SF

2.2 SF

M6-1 WHITE ON GREEN

13.2 SF

* Number of l oca tions

SIGNING NOTES: 1. SIGN LOCATIONS AS SHOWN ON THE PLANS ARE APPROXIMATE. THE CONTRACTOR SHALL INSTALL NEW SIGNS IN ACCORDANCE WITH THE MUTCD AND NYS SUPPLEMENT. 2. THE COLOR IS SHOWN ONLY WHEN THERE IS A COLOR OPTION THAT MUST BE SPECIFIED. 3. THE AREA, AND PAYMENT AREA, FOR SIGNS ARE FROM THE APPLICABLE STANDARD SHEETS OR SIGN FACE LAYOUTS.

Guidance regarding the information to be provided under each column description is provided below: Designation and Color: Sign Designation (and color as necessary, when there is an option) as defined in the MUTCD and NYS Supplement. Location: L in the New Sign Symbol (Bubble) as defined in 21.3.9.2 R.2 1 above.

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This box should show a graphical representation of the required sign panel. The sign graphics used do not have to be to scale or be an exact duplicate of the actual sign. Item: NYSDOT item number for the corresponding sign panel. Area: Actual Area of the Sign Panel, used for computing wind moments and sizing the sign posts. Payment Area: Area used for computing payment for the sign. This may be different from the actual area used for computing wind moments.

R.3 Other Sign Related Information As applicable, the following sign related information should be provided in this section of the plans: Sign Structures. Refer to: - Overhead Sign Structures Design Manual - BD Sheets - Location/Elevation Diagrams for Overhead Sign Structures Post Item Numbers and Quantities A separate summary table should be provided containing the item number for the post and the quantity of posts. (See table cell library: ny_detail_tables.cel)

S. Traffic Signal Plans Traffic signal plans should be provided for each intersection at which signalization is proposed. The traffic signal plan should include the horizontal alignment or project control and highway boundary/ROW lines. Existing features should be illustrated for infrastructure that is not replaced or to be removed by the project. Show existing highway features such as drainage structures, and all utility facilities (e.g., above and below ground) which have the potential to conflict with the proposed traffic signal installation depending on actual field location. Show proposed pavement markings, signs, driveways, turn lanes, sidewalks, sidewalk ramps, and crosswalks. The traffic signal design should be drafted to display any proposed spanwire, mast arm and pedestrian signal poles, power supply, controller, proposed vehicle and pedestrian signal head layout including signal face numbering, vehicle and pedestrian detectors including numbering, pullboxes, conduit, and traffic control phase numbering. Adjacent intersection control features such as overhead lane designation signs should be illustrated if located within plan boundary. If space permits, each proposed feature should be identified with a leader arrow and item number. In cases of insufficient space availability, leader arrows with

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numerical identification bubbles are optional. Notes specific to the detailed intersection traffic signal design, or referencing specific portions of the contract plans for the subject intersection, should be provided. If space is available on the plan sheet, a table of estimated quantities should be included. Otherwise, a master table of estimated quantities for all intersections should be provided on a separate detail or table sheet. Show signalization details on a separate sheet (if necessary to improve clarity). Tabulate how the traffic signal is designed to operate and be constructed. Include Tables of Operations, Clearances, Quantities (this should indicate what work items are to be performed: item number, description, quantity, work unit and a legend corresponding to the work location shown on the signal plan), Switchpacks, Input Wiring, Loop Wiring, and Interconnect or communication device details. Also include a phasing diagram. Traffic signal design shall be consistent with the MUTCD and NY Supplement, Chapter 11 of this Manual, and active Engineering Instructions on traffic signal topics. Consult the Regional Traffic Safety and Mobility Group for additional design guidance if necessary.

T. Lighting Plans Refer to Chapter 12 of this manual for guidance regarding lighting plans.

U. Landscape Plans Consult Regional Landscape Architect. V. Pavement Marking Plans Depending on the complexity of the project, pavement marking plans can be stand alone plans, combined with sign location plans, or for very simple projects shown on the general plan sheets. Pavement marking plans should indicate pavement markings to be applied at each pavement location (pavement edges, pavement center line(s), gore area, etc.) by item number (type of pavement marking material), line type (broken line, solid line, etc.), and width (4, 6, 12 etc.). Use a pavement marking legend to show additional information not included on the plan due to clarity reduction, and pavement marking details to depict complex pavement marking patterns or where pavement marking placement in relation to pavement joints must be considered. The Department has issued a series of 685 standard sheets which provide pavement marking details. Several of the details have options which must be specified in the contract documents. Other details include default values or details which will apply unless otherwise indicated in the contract documents. Designers need only include appropriate details in the plans for special marking situations not covered by the Standard Sheets. Options related to the standard sheets which must be specified in the plans include:

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1. 2. 3. 4.

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Hatch Island Detail. 15 Hatch Line, 20 Hatch Line, or 45 Hatch Line Stop Line. 18 or 24 wide Cross Walk. Standard, Ladder Bar or Ladder Bar with Transverse Lines Parking Details. Indicate if Standard Markings or the Alternate Markings will be used.

* These values are noted as the default values on the Standard Sheets unless otherwise specified by the designer in the contract documents. The Railroad crossing markings distance should also be indicated. For line types defined on Standard Sheet 685-01 (sheet 1), line codes for pavement marking lines and supplemental lines are provided on the standard sheet and can be used on the plans in lieu of the full description. Note: Refer to the MUTCD and NYS Supplement for guidance regarding the type of line to be specified. Refer to EI 87-30 Pavement Marking Policy, and EI 92-44 "Pavement Marking Policy Epoxy Pavement Markings 6" Wide Pavement Markings Wet Night Visibility Spheres" for guidance on pavement marking material and line width specification.

W.

Utility and Drainage Plans

Show existing utility facilities, existing Utility Quality Levels (e.g. QLA, QLB, etc), proposed utility facility relocation and/or adjustment, and any new utility facilities. An example note to be included on the Plans is as follows: Underground utilities known on this project: * Waterlines: Sta. 0+035 lt. - Sta. 1+030 lt.= QLA; lt.=QLC; etc. Sta. 1+030 lt.-Sta. 2+035,

Sanitary Sewers: (Town) Sta. 5+020 rt.-7+090, rt.=QLD; (City) Sta. 7+090 rt. Sta. 9+015 rt. = QLD; etc.

Utilities and utility facilities are discussed in Chapter 13 of this manual. Drainage features are typically shown with the utility plan, clarity allowing.

X. Large Culvert Details (Reinforced Concrete Box Culverts and Similar Structures) Inlet and outlet treatments, and excavation and backfill details for each large culvert should

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be shown. Plan, profile, and structural details should be shown when required for clarity. See Chapter 19 of this manual for additional design guidance and more specific plan requirements.

Y. Retaining Walls Show station, offset, elevation, dimensions, and type of wall. See Highway Design Manual Section 9.4 for guidance. Refer specific questions to the Regional Geotechnical Engineer.

Z. Bridge Plans Bridge plans should be prepared consistent with the Bridge Manual.

AA. Estimate of Quantities Sheet(s) The Estimate of Quantities Sheet(s) shall be prepared by DQAB for all projects. DQAB will add the estimate of quantities plan sheet(s) utilizing the Engineers Estimate provided at the time of Final PS&E submission. To determine how many sheets will be needed to accommodate the estimate of quantities, use an estimate of 60 items per sheet. Regions shall include these sheets in the index and count them in the tally of total number of sheets shown on the index. 21.4 SPECIFICATIONS

Specifications discussed within this Section are the body of directions, requirements, etc. contained in the Standard Specifications, together with all special specifications, to be furnished as part of a Department contract. Project developers (e.g., designers) should choose Standard Specifications whenever possible. Only when a standard specification does not exist to provide instruction regarding a necessary contract work item, should a special specification be considered. Special specifications are authored by the Regions, various Main Office functional groups, and other agencies such as the Thruway Authority to specify work not provided for in the Standard Specifications. Special Specifications may include Proprietary Items (Section 21.4.1.2F) or Experimental Items (Section 21.4.1.2G). Special specifications to be used on a project shall be contained in the proposal, and are to be provided by the Region with the PS&E submittal. An inventory of Department Specifications is contained in the Pay Item Catalog where the current approval status of the Specification is shown. (See Section 21.4.4) The approval status will be one of the following:

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General - Specifications approved for use on any project. PINONLY- Special Specifications that must be approved for use on a project by project basis (Section 21.4.2.3C). Inactive Previously approved Special Specification Items (including serialized numbers) that have not seen a single usage in the past five calendar years. Special Specifications with an inactive status need to be re-approved for project use (Section 21.4.2.3G) Disapproved Specifications disapproved for technical reasons, that should not be used on Department Contracts

Refer to Sections 21.4.1 and 21.4.2 for guidance on preparation of specifications that are not already in the inventory, or for specifications that need approval prior to use. Department personnel can refer to the link for Main Office Program Area on the IntraDot to determine the appropriate coordinator to contact if questions arise during specification use or development. Consultants should contact the regional project liason for assistance in specification use or development. DQAB will post all special specifications to the P drive at P:\Toolbox\Documents & Resources\Special Specifications. 21.4.1 Preparing Specifications The major Sections of the Standard Specifications are organized as follows Section 100 General Provisions Section 200 Earthwork Section 300 Bases and Subbases Section 400 Flexible Pavement (Hot/Warm Mix Asphalt) Section 500 Portland Cement Concrete and Rigid Pavement Section 550 Structures Section 600 Incidental Construction Section 700 Materials Requirements Special specifications numbering shall be assigned to correspond with the appropriate Section of the Standard Specifications. Standard and special specifications shall be prepared using Microsoft Word to facilitate use and consistency.

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21.4.1.1 Format A. General Standard specifications contained within Sections 200-600, and special specifications, shall be written following the format guidelines established by the American Association of State Highway and Transportation Officials (AASHTO) and frequently referred to as the AASHTO format- with the additional requirements established by the Department pertaining to item number and title. The complete Specification includes an item number and title, and the five sections prescribed in the AASHTO format that make up the body of the specification Description, Materials, Construction Details, Method of Measurement, and Basis of Payment. Each of these sections shall be included in a specification. If there are no requirements for a section, None specified or something similar should be stated to prevent any questions regarding whether or not the section may have been inadvertently left out.

A.1 Item No. The format of a standard specification contract item is a 3 digit root number, a decimal point, and then either a two, four, or six digit extension number (XXX.XX, XXX.XXXX or XXX.XXXXXX) The three digit root number denotes the standard specifications section to which the contract pay item relates. (ie. 564 /Structural Steel) The format of a special specification contract pay item is the same as the standard specification contract pay item number, but a two digit origin code number is added as a suffix so that there are 8 digits to the right of the decimal point (XXX.XXXXXXRR). Section 21.4.1. A.1.b below provides more information on origin codes. A.1.a Serialized or Tablized item numbers As a general rule, the 3rd 4th 5th and 6th digits after the decimal point may be used for tablized items and the 5th and 6th digits are for serialized items. Tablization and Serialization allow the designer to more narrowly define an item efficiently with numbers. This is best illustrated by example: Serialization Item 573.0100NN

Structural Steel Painting Field Applied, Total Removal

A contract to paint 10 Superstructures would have pay item numbers: Item 573.010001, Item 573.010002, Item 573.010003, Item 573.010004, Item 573.010005, Item 573.010006, Item 573.010007, Item 573.010008, Item 573.010009, Item 573.010010 Each Item represents the pay quantity for a unique Structure at a unique location in the contract. Serialization is accomplished in the 5th and 6th digits after the decimal point.

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(Serialization should start with the 6th digit after the decimal point as shown above.) All possible serializations should not be entered in Trnsport; rather only the serializations that are needed should be entered. Generally, the designer should include a table in the plans that correlates pay item number and proposed work location, or show the pay item directly in the plan details. Serialized pay items are generally used when the specification author wishes to establish separate bid prices for similar work items. Tablization Item 604.32XXYY Rectangular Drainage Structure with Concrete Cap Rectangular Drainage Structure with Concrete Cap provides a good example of tablization. By definition (in the standard specifications and the drainage standard sheets), the XX digits allow the designer to specify the particulars of the vertical portion of the drainage structure - the inside width and length dimensions, and the YY digits allow the designer to specify the particulars of the concrete cap (frame type). The combination of XX digits with YY digits allows the designer great flexibility in specifying the exact combination of the two. Definitions of the XX and YY should be provided in the specification. Allowable values of XX and YY may be provided in the specification or standard sheets. The original tablized pay items were the landscape planting series, which initially could have amounted to thousands of pay items if all possible combinations of plant type, size, quality, and so forth were individually entered into the system. Other pay items that use this type of entry include signal pay items, such as conduit, traffic signal poles, conductors, and so forth. Thus, sometimes, all the possible combinations of XX and YY are not entered in Trnsport. Rather they may be entered on demand. A.1.b Origin Codes The last two digits of an item number (i.e., 7th and 8th digit after the decimal point) designate the Region, Main Office group, or other Agency (e.g. Thruway) that originated the special specification. Origin codes are also called program area indicators. 63 designates a pay item associated with an emergency standby contract, and may be assigned by any Region or Main Office group. Listed below are the currently used program area indicators and corresponding program area. None ....... Standard Specification Item 01-11 ....... Regions 1 through 11 12 ....... Canal 13 ....... Planning 14 ....... Traffic and Safety 15 ....... DQAB 16 ....... Structures

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17 18 19 20 21 22 23 24 25 39 63 91 ** ....... Geotech ....... Materials ....... Research ....... Construction ....... Maintenance ....... Environmental ....... Railroads ...... Landscape ....... Thruway ....... New York City ....... Emergency ....... Experimental (See Section 21.4.1.2G) ......... Letters such as AL, NA, LL etc. to designate special specifications developed by local municipalities

A.2 Title The title should be descriptive of the type of work required but should be kept as short as possible. Department software limits the title or full description to 120 characters and the abbreviated description to 40 characters. Therefore, the title of all specifications shall be less than or equal to 120 characters, including spaces. The title does not have to explain all the work that is required; that information belongs in the description section of the specification. Below are a few rules and recommendations: Repeat the title at the top of each page of a specification, in a header that also contains the pay item number Avoid the names of utilities, municipalities, highways, and base line stations in the title. No abbreviations are allowed (i.e., F&I, ea, ft). Although limited in length, the title should be understandable. The following illustrates commonly used words which should be avoided, and recommended alternatives. Words to Avoid furnishing installing transporting relocating permanent complete removal of existing new Recommended alternatives furnish install transport relocate _ remove

To facilitate shorter yet descriptive titles, someone should be able to understand

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the title when printed using 2 lines of no more than 60 characters each.

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When a specification is tablized or serialized (e.g. white or yellow pavement markings, of different thicknesses), the specification title may be shortened by using an abbreviated title and showing the xx or xxyy as placeholders in the item number. The abbreviated title would be accompanied by a general description common to all of the items. And on the last sheet, following the Basis of Payment, complete pay item numbers (no placeholders) should be listed with the unique part of the full title for all item numbers.

A.3 Description The Description section should provide the Contractor with a brief but precise, general description of the work involved. The following phrase should be used to begin this section: "This work shall consist of" Use of As ordered by the Engineer (AOBE) or As directed by the Engineer (ADBE) is discouraged, because the Engineers control of the contract work is provided for in Standard Specifications Section 100. However, when it is determined that it is necessary to use one of these phrases, the Description Section of the specification is the only section where it should appear.

A.4 Materials Rather than providing material requirements in this section, material requirements from the Standard Specifications should be referenced whenever possible. (In addition to not duplicating information already available elsewhere, this practice will provide Site Manager Administrators with the information necessary to complete the mandatory data field for a material reference in the Site Manager Software, for each pay item.) The following guidance should be adhered to regarding references: When referencing a materials section of the standard specifications (for more than one type of material), use a listing format, with the referenced sections of the standard specifications listed in numerical order. For example: Cast-In Place Concrete-Class A Frames and Grates Concrete Repair Material Precast Concrete Drainage Units 501-2 655-2 701-04 706-04

When a reference to a proprietary product is necessary (generally only appropriate for special specifications), list the names of the product and supplier instead of including them in a paragraph. Include the statement "or equal as approved by__________". Proprietary products should not be specified simply to

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give the contractor a sample of the quality of material required or to assist the contractor in locating the material. The following illustrates the desired format: AA Splice Plate Manufactured by Big Steel Company 12 Allen St. Troy, NY 11111 Or equal as approved by ____________ It should be noted that the above example is a reference to a proprietary product as opposed to a proprietary specification. A proprietary specification does not give the contractor options. Refer to Section 21.4.1.2 F for guidance regarding use of proprietary specifications. Material References for Precast Concrete Item Specifications There have been orders-on-contract required because special specifications for precast items contained incorrect information or did not contain enough information to fabricate, sample, test and accept precast units in accordance with Materials Bureau procedures. This can be avoided by referencing Materials specification 704-03 Precast Concrete-General in all specifications (i.e., standard and/or special) for precast concrete items which are to be fabricated under the authority of the Materials Bureau. Section 704-03 contains all the general material, fabrication, sampling, testing, and acceptance requirements for precast items made under the Materials Bureau's authority. If the item is made under the authority of the Office of Structures, then the Prestressed Concrete Construction Manual should be referenced instead of 704-03. Consult the Materials Bureau or the Office of Structures if needed. Corner Splice Plate Manufactured By Best Steel Box 223 Albany, NY 22222

If an appropriate material reference is not available, use the Materials Section of the specification as the place to provide all necessary material requirements, as well as any required tests for the material, or any options available to the contractor in supplying the material.

A.5 Construction Details The Construction Details section should explain the work in the sequence that it will be performed. Below are some recommendations regarding terminology: "Shall" and "will". Use "shall" for things that the Contractor is to do. Use "will" for things that are to be done by the State. "Any". Use "any" only when a choice is intended. Otherwise use "all". "To the satisfaction of" or "acceptable to". These subjective phrases should not be used because they leave the Contractor guessing what the Engineer may want done.

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"Furnish and place" should be reserved for items that are prefabricated. "Construct" should be used for items that the Contractor builds in the field.

A.6 Method of Measurement The Method of Measurement section specifies the units that will be used to measure the work, where the measurements will be taken, and how the quantity will be calculated. One of the following is recommended to start this section. The second statement is acceptable even though payment is mentioned. This work will be measured as the number of ... This work will be measured for payment as the number of ... Frequently, specifications are prepared that discuss money in this section. As a general rule of thumb, matters related to money and payment factors should be discussed in the Basis of Payment section. "Will" rather than "shall" is used in this section because the State is the party that should be doing the measuring. The manner in which the work is to be measured should be given consideration. Possible scenarios are as follows: Walls can have two sides, two ends, and a top. The method of measurement should state which area is to be measured. Temporary sheet piling may be measured by the area of the exposed face. If staged construction results in both sides being exposed, the method of measurement should state that only one exposed face will be measured, if that is what the designer intends. Linear measurements along a highway should state if the measurement will be taken along the edge of the roadway (resulting in two measurements, one on each side), or along the centerline (in which case only one measurement would be made). The following units of measurement are available for use Acre, Bag, Barrel, Board Feet, Calendar Day, Cubic Feet, Crew Day, Calendar Week, Cubic Yard, Cubic Yard Mile, Day, Dollars and Cents, Each, Each Pair, Each Intersection, Each Location, Gallon, Hour, Inch, Intersection Month, Pound, Linear Feet, Lane Mile Calendar Day, Lane Mile, Lump Sum, Light Day, Thousand Board Feet, Thousand Gallon, Mile, Thousand Linear Feet, Month, Percent, Pressure Distributor Day, Quality Unit, Square Feet, Site, Square Yard, Thousand Man Hour, Ton Mile, Tons, Unit Month, Vehicle Calendar Week, Vehicle Day.

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A few things to note Items having units of measurement Quality Units and Dollars and Cents are always Fixed Price. Items having unit of measurement Lump Sum always have a Quantity of 1. Dollars and Cents unit of measurement is very similar to Fixed Price Lump Sum unit of measurement except the Quantity and Unit Price figures are switched (the Unit Price is always 1). This unit of measure was created because the Quantity figure can be adjusted much more accurately in Site Manager than the Extended Amount. Fixed Price Lump Sum unit of measure should not be used when payments are based on the Contractor producing receipts for payment or when the total price for the item is very small (less than or equal to $1000). This is because the Dept. accounting system is not able to reconcile the final figures accurately in such situations. Instead Dollars and Cents unit of measure should be used.

A.7 Basis of Payment A.7.a General It is important that the specification be very clear about the basis of payment for an item of work. The following statement should cover the majority of specifications: "The unit price bid (include unit and item of work, e.g., for each end section, or per linear feet) shall include the cost of all labor, materials, and equipment necessary to satisfactorily complete the work." Some specifications require more individualized statements addressing the basis of payment. For instance, clarification is often necessary when parts of the work are described in the Description Section of the Specification, but paid for under different items (e.g. earthwork). The basis of payment section should be written so that this is clear to the reader. Similarly, if a certain portion of work is normally included under the standard specification covering similar work that should be clearly communicated as well. Regardless of the particulars, the basis of payment section should be written so that there is no confusion as to exactly what work the payment is to be made for, and what work it does not cover.

A.7.b Progress Payments Progress payments are partial payments for an item of work, made to the contractor for work that is not yet complete. The terms under which progress payments will be made should be described in the basis of payment section of the specification, when applicable. Progress payments may be considered in the following situations:

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Lump sum items because the contractor expends money throughout the contract, but cannot be paid until all the work is complete. It is anticipated that there will be a delay between the time something is removed and when it is reinstalled. It is desired to pay a percentage of the bid price when the item is installed, and the remainder when it is removed from the site. The contractor has up front costs, such as designing a temporary bridge, that occur a significant time before construction.

Progress payments shall be provided for in water and sanitary sewer main specifications because payment for water main work is often held up until testing of the system is complete. This often results in the payment being delayed a considerable time after a majority of the work is completed. The following statement is to be included in the basis of payment section as appropriate. Progress payments will be made at the unit price bid for 80 percent of the quantity of pipe installed. The remaining 20 percent will be paid once the system has been tested and found satisfactory.

A.7.c Special Considerations The following Basis of Payment options are appropriate in a limited number of situations and should be used sparingly (except for pay units that are supposed to be fixed price such as Quality Units, Dollars and Cents, etc.) The project manager and Regional Estimate Engineer should collaborate on the appropriateness of these payment options for the particular use under consideration. Fixed Price The fixed price is established by the Department for an item of work, and is displayed in the contract proposal. Fixed Price basis of payment is appropriate for items where the item price is pre-negotiated with another entity, such as a Utility. Fixed Price can also be appropriate when the lump sum quantity of work is unknown and the Fixed Price sum is drawn down as work progresses. The following language should be added as the final paragraph in Basis of Payment (when there are multiple items in a spec, please also spell out the items that are Fixed Price) FIXED PRICE ITEM(S) The fixed price shown in the proposal is not to be altered in any manner by the bidder. Should the amount be altered, the new figure will be disregarded and the original price will be used to determine the total amount bid for the Contract.

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Minimum Bid Price For certain items of work, the designer may want to force a bid by the Contractor. This strategy is used very sparingly. The Minimum Bid Price is established by the Department and is shown in the proposal. The following language should be added as the final paragraph in Basis of Payment (when there are multiple items in a spec, also spell out the items that are Minimum Bid) MINIMUM BID PRICE ITEM(S) The minimum bid price shown in the proposal is the lowest a bidder is allowed to bid for that item. If the bid price submitted is lower than the figure shown in the proposal, the bid price will be disregarded and the minimum price shown will be used to determine the total amount bid for the Contract.

Maximum Bid Price For certain items of work, the designer may want to prevent excessively high bidding by the Contractor. This strategy is used very sparingly. The maximum bid price is established by the Department and is shown in the proposal. The following language should be added as the final paragraph in Basis of Payment (when there are multiple items in a spec, also spell out the items that are Maximum Bid) MAXIMUM BID PRICE ITEM(S) The maximum bid price shown in the proposal is the highest a bidder is allowed to bid for that item. If the bid price submitted is higher than the figure shown in the proposal, the bid price will be disregarded and the maximum price shown will be used to determine the total amount bid for the Contract.

B.

Simplified Specification Format

A simplified format, without all five of the sections contained in the body of the specification, is acceptable when a special specification makes only a slight modification to a standard specification. In reality, this format does contain these sections since it references those in the Standard Specifications. The simplified format shall not be used to modify special specifications. A proper and an improper example of the simplified format follow. Example 1 refers to the provisions of Section 603 of the standard specifications, whereas Example 2 refers to a pay item number. Since pay item numbers are more likely to change than section numbers, the format in Example 1 should be used. If section numbers were to change, all the special

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specs in that section would be disapproved and new pay item numbers assigned in the new section. If the standard pay item number were to be deleted or changed, the specification might continue to be used inadvertently. Example 1. (Use this Method) ITEM 603.05020007 Round Corrugated Steel Pipe (1.5 x 0.5, 6 diameter, 16 gage) with End Plugs All the provisions of Section 603 pertaining to Round Corrugated Steel Pipe shall apply, and in addition the Contractor shall plug each end of the pipe with standard galvanized steel end plugs. The cost of furnishing and installing the end plugs shall be included in the price bid for this item. Example 2. (Do not use this Method) ITEM 603.05020007 Round Corrugated Steel Pipe (1.5 x 0.5, 6 diameter, 16 gage) with End Plugs The standard specifications for Item 603.0502 shall apply, and in addition the Contractor shall plug each end of the pipe with standard galvanized steel end plugs. The cost of furnishing and installing the end plugs shall be included in the price bid for this item. C. Special Specification Format Page Layout Special Specifications are placed directly in the project proposals, so it is important that they have a uniform appearance in addition to having the necessary information, in a familiar order as described above. There should be uniformity between multiple special specifications in one proposal, as well as uniformity from one proposal to another. Specification format is independent of the author and of the reviewer. Adherence to the following formatting guidance when creating special specifications will ensure consistency and pleasing aesthetics in the contract proposals.

C.1 Text

C.1.a Item Number The word "ITEM" shall be used before the pay item number and both should be provided in the same header. A maximum of 16 spaces may be used for the pay item number and separation of the pay item number from the title. The pay item number

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itself can take up to 12 spaces including the decimal point; the remaining 4 spaces are used to separate it from the title of the specification. The author shall adhere to one of the following options pertaining to item number, presented below. Provide a portion of the Pay Item Number. The first digits of the item number are the specification book section and the last digits are the Origin code. (e.g., 570.XXXXXX03). XXXXXXs should be provided as placeholders for the remaining interior digits which will be filled in by the Main Office. If the specification is returned to the Region for revision with an assigned pay item number (complete with interior digits), the assigned pay item number should be used from that point forward and should be included in the resubmitted specification.

The entire pay item number may be provided and shown with the specification (e.g., 570.00010003). When selecting a pay item number, review the Pay Item Catalog to verify that the number to be used has not already been assigned to a special specification. In addition, the transmittal memo must indicate that the specification is new and that the pay item number has been selected by the author. This option allows the tentative pay item number to be placed on the plans, referenced in special notes, and used in the preparation of the Engineer's Estimate. DQAB will occasionally need to specify the use of a different number. DQAB will enter pay item number(s) into TrnsPort after special specification approval. See section 21.4.2 for thecomplete process for specification approval.

C.1.b Page Number Page numbering should be provided in a footer which appears centered on all pages of the special specification. The footer should contain the word PAGE, followed by (page number) of (total pages in specification) i.e., PAGE 3 of 7.

C.1.c Date The date should be in the month year format and be flush right. See Figure 212. The Date Code should not be used because it updates each time the specification is opened in MS Word. Special specifications that undergo minor revisions should be identified by replacing the original date with the revised date. The diagram on the following page illustrates the desired format for a special specification. Notes 1 through 4 discuss the document formatting.

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Figure 21-2 Special Specification Format

ITEM 203.17050815 - THE TITLE GOES HERE DESCRIPTION Start text below the heading using Times New Roman Font- size 12. MATERIALS CONSTRUCTION DETAILS METHOD OF MEASUREMENT BASIS OF PAYMENT PAGE 1 OF 1 Rev. Aug. 2010

Note 1. Margins. A 1 inch border should be provided to facilitate binding, and accommodate the additional information (contract number and proposal page number) placed onto the specification page during creation of the contract proposal. Margins (other than the top margin) may be slightly reduced in order to prevent a few lines of text from being carried over to an additional page. The footer (page numbers and date) may be placed below the 1 inch bottom margin. Note 2. Fonts. All fonts, including the title, should be 12 point Times New Roman. The title of the specification and item number should be, capitalized, underlined, and bold. Note 3. Paragraph format. Paragraphs should be block format (not indented) and text should be left justified. Note 4. Text. Text associated with the five sections should start on the line below the section heading.

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C.2 Drawings Associated with Special Specifications In some cases it is appropriate to provide drawings as part of a special specification, to properly convey the details of the required work. Drawings associated with a special specification shall be created using the same standards used for creating a contract plan sheet. The drawing should be scaled for an 8 x 11 sheet of paper. The file name of the detail should be the same as the special specification file, except "doc" should be replaced by dgn, e.g. 202.11000002.dgn. If there are multiple sheets to the detail, the sheet number should be added before the second decimal, e.g. 202.11000002-1.dgn. The drawing shall be supplied to Main Office DQABs Specifications and Standards Section along with the specification file. The drawing will be stored in Projectwise at the following location NYSDOT\Documents\RESOURCE INFORMATION\DQAB The drawing(s) will be converted to .pdf format and attached to the .pdf version of the specification by DQABs Specifications and Standards Section. Also the MS Word version of the special specification will contain the path of the .dgn file as the last page. 21.4.1.2 Specification Considerations and Provisions The specification author should be mindful of the following general guidance when preparing specifications.

A. Standard Specification Section 100 Section 100 contains the general provisions applicable to all Department construction contracts. Special notes, special specifications, and notes in the plans should not contain provisions which modify any of the general provisions.

B. Measurement and Payment Specifications should not be prepared that provide payment items for very small quantities, unless these quantities are for discrete items (e.g., mailboxes, delineators) which are paid on an "each" basis. For example, the Establishing Turf item should not be used on projects with less than 1000 SY to seed. Similarly, specifying 1 CY of unclassified excavation, 200 lbs of reinforcing steel or 1 CY of concrete creates unnecessary item measurement and payment, and will cause overrun problems if an excessive item unit bid price is received. A composite specification (see below) should be written to include related work under one payment item.

C. Composite Specification

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Highway work is divided into logical elements or pay items in order to reduce risk and provide progress payments. Sometimes, however, this practice produces the undesirable side effect of having too many items with small quantities. In addition to increasing the time and effort needed to estimate and measure these numerous small quantities, the practice invites unbalanced bidding. The solution is to combine work items of varying complexity, quantity and cost associated with a particular work operation, work items which otherwise would have been paid for separately. Specifications that do this are referred to as "composite". In general, composite items cause no problems when their components are in constant proportion to each other and to the measured quantity. When this is not the case, such as for items with high set up or other fixed costs, composite items may lead to losses or windfall profits for the contractor. Varying site conditions which alter the proportion of the elements of the work can also lead to the same problems. In order to provide an equitable basis for bidding and contract payments, each designer should be aware of the aforementioned problems. Work of a composite nature may be included in an item only when it can be reasonably estimated and there is little potential for significant variations in quantities. In the latter case, a special payment item should be provided and the quantity should be estimated as realistically as possible to reduce potential windfalls via unbalanced bidding. ITEM 608.0105NN09-CURB RAMP is a good example of a composite specification. Work under this specification requires small quantities - in relatively constant proportion to each other - saw cutting, excavation, disposal, fill, subbase material, compaction, repairs to affected asphalt, etc.

D. Salvage Items Miscellaneous highway appurtenances, dismantled bridge superstructures, and bituminous concrete millings which are determined to have little maintenance value should typically be turned over to the contractor for disposal in lieu of salvage to avoid the costs associated with re-handling of these materials. Contract bid prices should then reflect the scrap value of these items. "Appurtenances" is defined to include such items as signs, signals, light poles, guide rail, bridge rail, wood posts, frames, grates and manhole covers, hydrants and other similar materials. The Department may elect to salvage appurtenances and bituminous concrete millings for future maintenance use by the State or local governments. Bridge beams, girders and other superstructure materials from dismantled bridges are also appropriate for salvage. When special specifications and notes are written or used which entail reference to items to be salvaged, prior written approval of such salvage should be received from the Regional

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Director of Operations/Regional Maintenance Engineer or Regional Traffic Engineer (for signal and lighting equipment). No credit to Federal-aid funding is required for salvaged items so long as the following conditions are met: 1. Salvaged materials are to be used for highway maintenance purposes and not sold as scrap. 2. Additional cost is not incurred for special handling or replacement of material damaged during salvage operations. 3. Generally, specifications shall not provide for delivery by the Contractor of salvaged material to State or local agency maintenance yards. Occasionally, exemptions to this federal policy (stated in 23 CFR 635D, Section 635.407g and adopted as State policy), regarding transport are appropriate. Requests seeking exemption will be based on meeting the requirements of 1 and 2 above, in addition to providing environmental benefits as a result of incorporating the salvage material into future highway maintenance activities (recycling versus disposal). Good judgment should be exercised when requiring the contractor to transport materials offsite. Final destinations should be within a reasonable distance of the contract site so that excessive transport costs are not incurred. The following procedure is to be followed when seeking approval of a special specification which includes transport of salvage material off the job site: 1. The designer, through the Regional Special Specifications Coordinator, sends the justification and regional specification approval request to the Main Office Program area responsible for the specification. For projects requiring FHWA PS&E approval, (Per Design Related Approval Matrix Exhibit 4-2 of the Project Development Manual) the submission shall request Main Office DQABs Specification and Standards Section to also obtain FHWA approval for transport of salvage material off the job site. 2. The Main Office program area (and FHWA if applicable) reviews the justification to see if it adequately addresses all of the required points. On all projects except those requiring FHWA PS&E approval, the Main Office program area will also approve satisfactory justifications. 3. The Main Office program area documents and files the decision to approve the justification, and transmits this approval to the Region for their project files. 4. Use and approval is documented in the PS&E transmittal memo. Refer to the Federal-Aid Policy Guide (FAPG) 23 CFR 140I for requirements pertaining to

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salvage on railroad work, and 23 CFR 645A for utility work.

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E.

Warranty Clauses

Section 105-19 provides the Departments standard specification provisions regarding warranties and guarantees. Use of warranty clauses in specifications is strongly discouraged. If warranty provisions are absolutely necessary in a specification, consult the Office of Construction for the proper method and/or wording.

F.

Proprietary Specifications

A special specification is said to be proprietary if:. 1. It requires, either directly, or by reference, that a product or process be that of a certain named manufacturer or: (Note: If more than one such product or process is mentioned and the words, "or equal as approved by ________" are added, the specification is not proprietary, although 3 or more product/process names are preferred for a non-proprietary specification.) 2. While not mentioning a manufacturers name, the specification's structure, language and detailed requirements are such that only one manufacturer can furnish a product(s) meeting the specification requirements. This will usually happen when the manufacturer's guide specification is incorporated into a DOT specification, or unnecessary requirements are called out. Restrictions on Use: It is the policy of the federal government and the State of New York to foster competition and to obtain the best possible products at the lowest possible price. Because putting an unnecessary limit on the number of competitors is essentially unfair and can potentially lead to higher prices, the policy of both the federal government and the State is not to use proprietary specifications. It is recognized, however, that there will be a limited number of special cases where exceptions to this policy may be appropriate. (See Section 21.4.2.3E for the approval process). FHWA and the State will not participate in the costs of a proprietary material, specification or process unless: 1. The proprietary article is being bid competitively against non-proprietary material or articles; or 2. The State certifies either that the use of such patented or proprietary item is essential for synchronization with existing facilities or no equally suitable alternate exists; or

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3. The patented or proprietary item is being used for research or experimental purposes, or 4. For federally funded projects, the FHWA Division Administrator approves the States request for use of a proprietary product as being in the public interest (See Section 21.4.2.3E) , as provided in 23 CFR 635.411 (c).

The above guidance is pursuant to 23 CFR 635.411. ). For project work funded by municipalities, or funded by others, competitive bidding requirements found in the General Municipal Law, or in other statutes, may also prohibit or limit the use of proprietary specifications.

G.

Experimental Specification

The purpose of an experimental specification is to evaluate new or innovative highway technology, or alternative standard technology, under actual construction and operating conditions by means of a program or experimental construction project. An experimental feature may be a material process, method, equipment item, traffic operational device or other feature that: (1) has not been sufficiently tested under actual service conditions to merit acceptance without reservation in normal highway construction, or (2) has been accepted, but needs to be compared with alternative acceptable features to determine their relative merits and cost effectiveness. An experimental specification: Shall have a work plan (See Section 21.4.2.3.F) submitted with the first request for approval of use of the item(s). All subsequent approval requests for the item(s) shall reference the approved work plan. Shall have a 91 suffix on the item number and be PIN approved. Shall not be used in more than five (5) Contracts unless an approved work plan requires more projects for good data. Will sunset (be marked inactive) after two (2) construction seasons unless stated otherwise in the work plan. Need not be issued by an Engineering Instruction May eventually be disapproved, depending on the results. 21.4.2 Specification Review and Approval All new specifications, and existing PINONLY special specifications, are to be reviewed and approved to ensure technical appropriateness and consistency with policies. The request for specification review and approval must contain enough supporting information so a reviewer

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can make a decision regarding its suitability. No specifications will be reviewed or approved without supporting justification as discussed below. 21.4.2.1 Justification When preparing a justification, the following information should be provided: A discussion of why the work is required, what the work consists of, and what other standard or special specifications, if any, pertain to the work and why they are not acceptable. If a change is made to a standard specification or another special specification, explain what is being changed, what the change will accomplish, and how the change is better. If an existing specification does not accomplish the work for which it was intended, request that it be disapproved so that it is not used in other projects. If a specification is experimental, indicate how this experimental use of the item fits into a work plan (see Section 21.4.2.3.F) If a specification contains provisions for contractor salvage transport beyond the contract limits or it contains proprietary references, it must be justified using the guidance provided in Section 21.4.1.2 D and 21.4.1.2 F respectively. State if the specification is to be approved for General Use or project by project (PIN ONLY). Note the review process is the same for both. State if there are any warranty and/or guarantee provisions in the specification. State if any pay item is fixed price, maximum bid or minimum bid.

Listed below are examples of justifications that have been submitted, and while they may be true, they do not meet the criteria in the previous paragraph, and are not acceptable: No standard specification exists. This specification was developed by the Regional Landscape Architect, Geotech Engineer, Materials Engineer, etc. Approval is requested for the following specifications. There is no other specification that covers this work. Please review the attached special specification and assign a pay item number for our records. Request to use this previously PIN approved specification on the subject contract. The specification is modeled after a Region X special specification. This is a new specification that is being used by order-on-contract on an existing project. The Region has expressed an interest in using this item on future projects. This specification is similar to item xxx.nnnnnnRR with minor changes recommended by the Regional Construction group. This item is required to satisfactorily construct the project. This item is required to process the estimate for this project. We request approval for the following pay item numbers.

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Attached is a list of eleven USC general-use special specifications for your review and approval. This specification is needed for inclusion in an upcoming amendment for the subject project.

21.4.2.2 Review and Approval of Standard Specifications New standard specifications and revisions to existing standard specifications are typically developed by main office personnel in conjunction with the Regional offices. They are issued via Engineering Instruction (EI). To have the new specification, or revised standard specification, become part of the contract documents, a copy of the new or revised standard specification must be inserted directly into the contract proposal. DQAB will take this action when the corresponding item number appears in the Engineers Estimate for the project. Approximately every five years, the Standard Specifications are published in a bound volume with all of the interim changes included. At times within the five years, interim specifications may be collected and issued as Addenda to the specifications. Then the Addenda may be included in the contracts by reference. This cuts down on the volume of specifications that must be inserted directly into proposals. Note: Unofficial Updated Standard Specifications are posted 3 times per year on nysdot.gov, for informational purposes only. They are the current version of the bound Standard Specifications, modified with officially issued changes. 21.4.2.3 Review and Approval of Special Specifications The Review and Approval of a Special Specification differs depending on the type of Special Specification. The following sections, A-G provide guidance on the process, based on the type of Special Specification. Each section A-G refers to the Status of Special Specifications Table. The use of this Table is a Quality Control measure that is used in combination with the Estimate Checks program. The table should be created for a project when the first Special Specification Approval is requested. As the project progresses, the table should be continually updated until it is ultimately submitted to DQAB with the PS&E transmittal memo. Existing generally approved Special Specifications do not need to be included in the Status of Specifications Table. Additional current guidance (for Dept. personnel) pertaining to Special Specifications can be found on the Intradot.

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A. Review and Approval of New Special Specifications Prepared by the Region and on behalf of the Region New special specifications prepared by the Region, or on behalf of the Region by consultants, are typically a result of a need for a specification to perform a given aspect of project work which is not covered by a Standard Specification. As such, the specification may have limited applicability across the state, and the review and approval process is not as encompassing as the process associated with special specifications prepared in the Main Office (MO). The following bullets briefly describe the process associated with the review and approval of special specifications prepared by the Region. After the specification and justification have been reviewed within the Region and comments resolved, the proposed specification and justification should be provided (by the Regional Special Specifications Coordinator) to: 1) the Main Office Program Areas assigned to that item and; 2) the DQAB Specification and Standards Section (S&S Section) for review and approval, at least 4 weeks prior to final PS&E submittal. Comments should be provided and resolved within this 4 week period. After approval by the MO program area, the Region should provide the DQAB S&S Section with an electronic version of the specification for posting and entering the pay item number into TRNSPORT. The Regional transmittal to DQAB should copy the MO program area also involved with approving the specification. The Status of Special Specifications Table should be completed for each project containing special specifications. The completed table should be submitted to DQABs PS&E Section with the PS&E transmittal memo.

B. Review and Approval of New Special Specifications prepared by the Main Office New special specifications prepared by a Main Office program area are typically the result of a need for a specification to perform an aspect of project work having state-wide applicability and not covered in a Standard Specification. As such, the specification should be issued by Engineering Instruction. After approval and issuance, DQAB will post the specification, and enter the pay item number into TRNSPORT. New Special Specifications prepared by the Main Office will normally be designated as General in the ID column of the Pay Item Catalog.

C. Review and Approval of Existing PIN ONLY Special Specifications Existing special specifications requiring approval on a project by project basis (i.e., special specifications designated as PIN ONLY in the ID column of the Pay Item Catalog), shall be

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designer, and approved for use by the Regional Special and the Main Office program area responsible for that item. It is copy of the Existing PIN ONLY specification when requesting specification is sufficient. (Special Specifications reside on

justified for use by the Specifications Coordinator not necessary to email a approval. A link to the NYSDOT.gov)

Approval Status of PIN ONLY special specifications should be entered into the Status of Special Specifications Table. The completed table should be submitted to DQABs PS&E Section with the PS&E transmittal memo.

D.

Existing GENERAL Special Specifications

Existing special specifications designated as GENERAL in the ID column of the Pay Item Catalog are approved for general use and do not require additional review/approval. Existing special specifications designated as GENERAL in the ID column of the Pay Item Catalog do not need to be included in the Status of Special Specifications Table.

E.

Review and Approval of Proprietary Specifications

Approval for a proprietary specification is on a project by project basis. Proprietary specifications are special specifications and follow the same review and approval process as a special specification, with the following additional requirements: 1. The justification should document why the proprietary item is appropriate for use on the project. (i.e. why it is appropriate to limit the number of competitors. See Section 21.4.1.2 F) 2. The manufacturers name, address, and product name or identifying numbers should be verified during proprietary specification preparation. 3. The Regional Special Specifications Coordinator shall formally request approval (by email) from the DQAB Specifications and Standards Section for each proprietary specification, after all comments from the MO Program Area assigned to that item have been resolved. 4. DQABs approval of the proprietary specification, if granted, will come in the form of an e-mail notifying that the item number is available. (For projects that require FHWA PS&E approval, DQAB will request FHWA approval for the proprietary specification and when approved will notify the Region that the item number is available.) The date that approval is granted by DQAB Specifications and Standards Section should be documented in the Status of Special Specifications Table. The completed table should be submitted to DQABs PS&E Section with the PS&E transmittal memo. 5. For projects that require FHWA PS&E approval, Regions are strongly encouraged to allow extra time for the approval process.

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F. Review and Approval of Experimental Specifications and Associated Work Plan

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Approval for a specification with an experimental item is on a project by project basis. Specifications for Experimental Items are special specifications and follow the same review and approval process as a special specification, with the following additional requirements: Every use of an experimental item must be documented and evaluated under an approved work plan (required regardless of the reason an experimental feature is initiated.) The work plan must be reviewed and approved by the Design Quality Assurance Bureau. Notification that the item number is available for the project signifies DQAB approval. The work plan should include the following (per FHWA guidelines): 1. Description and objective of the experimental feature (with respect to purpose, expected implementation, and benefits to be derived) 2. Program area or individual responsible for inspecting, reporting and evaluation 3. Characteristics of the experimental feature to be evaluated 4. Reporting, inspection and evaluation requirements to be conducted by responsible parties (both during and after construction) 5. Control sections to be studied 6. Method of construction to be used 7. Estimate of total cost (itemized breakdown) and how the experimental feature will be funded 8. Attachments: plan sheets, special provisions, work drawings, etc., as appropriate 9. Estimate of time and number of projects to complete evaluation and when final report will be submitted 10. Contact information of the responsible program area or individual for the final report. 11. Final report documenting the observations, results and recommendation(s) 12. Planned distribution of the final report

One hard copy of the final report shall be sent to the Transportation Research Library and another copy shall be sent to the Design Quality Assurance Bureau (DQAB) to be sent to the FHWA. DQAB shall also receive an electronic copy of the final report. DQAB will make the Final Reports and Approved Work Plans available to all NYSDOT staff with a link from the Specs and Standards Section page. DQAB will notify Regional Construction Engineers, Regional Design Engineers, the Office of Technical Services, the Office of Construction and the Office of Design when new Final Reports or Approved Work Plans are added. Experimental Items should be entered into the Status of Special Specifications Table. The completed table should be submitted to DQABs PS&E Section with the PS&E transmittal memo.

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G. Review and Approval of Inactive Specifications Inactive Specifications are Special Specification Items (including serialized numbers) that have not seen a single usage in the previous five years. Because availability and appropriateness may have changed during that period, specifications flagged as inactive will require approval before they may be included in a project. Note: Regions will be given advance notice of specifications that are scheduled to become inactive. A list of these specifications will be generated each December, and with no objection from the Regions, will become inactive the following March. Inactive items will not appear in the TrnsPort Estimator catalog, but will appear in the Pay Item Catalog database marked as Inactive. An inactive specification may be reactivated (approved) with proper justification. When requesting reactivation, established procedures for existing PINONLY Special Specifications shall be followed. After approval by the MO program area, DQAB S&S Section will remove the inactive status from the specification in the Pay Item Catalog, update the Trnsport Estimator catalog, and advise the Region that the item is available. The Status of Special Specifications Table should be completed for each project containing inactive special specifications that are being reactivated. The completed table should be submitted to DQABs PS&E Section with the PS&E transmittal memo. 21.4.3 Specifications to be Considered for All Contracts 21.4.3.1 Mobilization The estimate for all projects (except specialty contracts for plumbing; heating, ventilating and air conditioning; electrical work, or to Job-Order, Where and When, and Work Order Contracts) shall include the pay item 699.040001 for mobilization. The item should be added to General Building Contracts. Mobilization shall be allocated to each estimate share by multiplying the total share by the contract mobilization factor (usually 4%). 21.4.3.2 Training Requirements For contracts with an Engineers Estimate of $5 million or more, Designers shall include special specification 691.03000020, subject to concurrence of the Regional Construction Engineer.

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For contracts with an Engineers Estimate between $1 million and $5 million, Designers shall confer with the Regional Construction Group to determine if special specification 691.03000020 should be included by exception. Such determination is based on the likelihood of the contract including meaningful and effective construction training opportunities compared to future contracts to be let in the Region, the Regions need to address programmatic construction contract Equal Employment Opportunity shortfalls, and the need to evaluate the potential benefits of a lower criterion in future years. Concurrence from the Office of Construction will be required. The quantity for special specification 691.03000020 Training Requirements should be estimated as 1,000 (the unit price for a Dollars-cents item is $1.00) placed in the largest dollar value engineering share. 21.4.3.3 Field Change Payment The Field Change Payment provides a contract contingency allowance for the timely payment of authorized extra work that was completed to fulfill the intent of the original contract documents. It is a payment mechanism only, and does not indicate an authorization for extra work. Contract Pay Item 697.03 Field Change Payment shall be specified consistent with the applicability criteria provided in Table 21-7. Table 21-7 Field Change Payment Applicability Criteria Applicability Criteria Projects for which there is little or no opportunity for use regardless of cost (e.g., single-payment contracts; response contracts, including standby and where and when contracts; force account based contracts; lump sum only contracts, including bridge washing; etc.); and projects with an Engineer's Estimate less than $100,000. All projects with an Engineer's Estimate greater than or equal to $100,000, except as listed above.

Include / Do not Include

Do not Include

Include

The quantity for this item shall be determined as a function of the Engineer's Estimate (EE) as shown in Table 21-8. The quantity should then be distributed over all the engineering shares proportionally based on the cost of each share. [FCP Cost x (Engineering Share Cost / EE Eligible Items)]. Any engineering share value of less than $20,000 need not include the FCP item. The Field Change Payment item has a Dollars-Cents pay unit, where the number of dollars is entered as the quantity, and the price is fixed as $1.00.

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Table 21-8 Estimating Item 697.03 Field Change Payment *Engineer's Estimate (EE Eligible Items) $0.1 M to $5.0 M $5.0 M to $10.0 M $10.0 M to $25.0 M $25.0 M to $155.0 M $155.0 M and Above Item 697.03 Quantity (FCP Cost) 0.05 x EE 250,000 + 0.04 x (EE -5.0 M) 450,000 + 0.03 x (EE -10.0 M) 900,000 + 0.02 x (EE - 25.0 M) 3,500,000 Quantity Rounding Nearest 1,000 Nearest 10,000 Nearest 10,000 Nearest 10,000 None Price (Fixed) $1.00 $1.00 $1.00 $1.00 $1.00

* Items to be excluded from the FCP calculation: Mobilization and Time Related Contract Provisions (e.g., incentive/disincentive, lane rental or similar items).

21.4.3.4 Price Adjustment Items Price adjustment clauses provide additional compensation to the Contractor for increases, or refunds to the Department for decreases, in the price of asphalt, fuel, or steel/iron products. Since the inclusion of price adjustment items in a contract affects the bid prices of other items, and cannot be added by order-on-contract after bid letting/contract award, it is Department Policy to include these items in all contracts and delete them after construction, if they are not used. The only exceptions to this policy are Job Order Contracts, Contracts where the only biddable items are percent overhead and profit, Bridge Cleaning/Washing Contracts, Bridge Painting Contracts and Pavement Marking Contracts. The amount included in each contract should be estimated based on the price adjustment formulas for eligible items and recent market trends. Guidelines for estimating the price adjustment items are available at the DQAB Design Support Section cost estimating web site and will be updated periodically. To ensure that any payments or refunds are shared by the various funding participants, the price adjustment items shall be distributed based on funding as discussed in section 21.6.3.5 (It is not necessary to distribute these items among various engineering shares that use the same funding source. The entire quantity may be included in the largest engineering share. Refer to section 21.6.3.5 for more information regarding engineering shares and funding.) However, adjustment items should not be placed in the shares of municipalities or utilities, unless the share is very large, and contains significant adjustment eligible work. Separate shares that require the Department to seek additional funds from outside entities, which is resource intensive, time consuming, and may cause potentially compensable delays to the contract, should only be contemplated if the potential amount of funds warrants the significant additional effort.

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21.4.3.5 Engineers Field Office/Laboratory, Communications, Inspection, and Administration Each department construction contract must be properly staffed and equipped to provide for adequate construction inspection and administration. This is achieved by including standard and/or special specification items that are applicable to the individual contract. The items may include provisions for a field office and office supplies, field laboratory, equipment, testing supplies, and administrative systems. The following provides guidance on selecting the appropriate items for a particular project. Divergence from the recommendation is acceptable if it will better meet the project needs or will add cost-effective capabilities and quality improvements to the construction work environment. Expect input from the Regional Construction Group during the Advance Detail Plan Review regarding the resources that will be needed for construction inspection and administration of the project (see Section 21.3.8.1). A. Office/Structures

A.1 Engineers Field Office The type of field office to be selected should be based upon the estimated number of inspection staff that will be assigned to the construction contract. An engineer's office should not be specified on small contracts such as demolition or signing jobs which can be adequately supervised from a nearby Regional Office or Residency. A.2 Field Laboratory As per Chapter 9, Subsection 9.7.3.2 of the Highway Design Manual: The contract should include a payment item for a laboratory building when one is needed. It should be included on any projects that will require significant field testing or processing of samples for testing. On projects requiring minimal field testing or processing of samples, the Engineers Field Office will serve this purpose. The Regional Geotechnical Engineer should be consulted regarding the need for a laboratory building. B. Communications Standard Specifications Section 637 contains several communication equipment pay items (Mobile telephone, Pager, and Two Way Radio System) for which the actual quantity of equipment units to be provided are not defined on the Estimate of Quantities sheets of the contract proposal. Therefore, the actual quantity of equipment units to be provided should be identified in a Proposal Special Note entitled Section 637 Pay Item Quantities as shown below. If the Number of Units to be included in the Contract is zero for any of the items, either do not include the item in the note, or place a 0 in the column so that its omission will not appear to be an oversight.

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B.1 Mobile Telephone(s) A mobile telephone should typically be supplied for each member of the inspection staff without a state issued mobile telephone. B.2 Pager(s) When the Regional Construction Group indicates that a mobile phone is not necessary for each person assigned to the contract, yet there is a need for providing a method of contacting personnel over long distances or from off-site or non-Department sources, pagers should be included in the contract. B.3 Two-Way Radio System If there is inadequate mobile telephone service, then the twoway radio system contract pay item can be used to provide the on-site communications system. Only the necessary components of the Two-way Radio System should be specified (example: just the handheld radios). The Special Note shown below Section 637 Pay Item Quantities should be used to specify the individual number of base stations, in-vehicle radios and handheld radios to be provided. Figure 21-3 Special Note Section 637 Pay Item Quantities

SPECIAL NOTE SECTION 637 PAY ITEM QUANTITIES

Pay Item Description Mobile Telephone Pager Two-Way Radio System

Pay Item # 637.21 637.22 637.23

Number of Units to be included in Contract

Base Stations _____ In-Vehicle Radios _____ Handheld Radios _____

C. Miscellaneous Devices

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C.1 Rain Gauge A rain gauge system should be included on all construction contracts that require coverage under the NYSDEC SPDES General Permit for Stormwater Discharges from Construction Activity. D. Inspection and Testing D.1 Inspection Vehicle Contractor-provided inspection vehicles are typically included only when State-provided vehicles will be unavailable or are incapable of providing the necessary services. D.2 Inspection Boat An inspection boat may be included if necessary for construction inspection. The determination of whether a Type A or B inspection boat should be specified based on the water conditions in the vicinity of the site, number of personnel to be concurrently in the boat, and the available docking facilities. D.3 Construction Testing Supplies Consumables This item is for the purchase and supply of consumable testing materials for projects. The Designer should budget $100 in each contract for item 637.36. Testing supplies may include but are not limited to: cylinder molds and lids; asphalt & emulsion collection tins; Ottawa sand for compaction testing; replicator tape for testing anchor profile; and sample containers, bags and ties for shipping purposes. D.4 Concrete Cylinder Curing Box Contracts that will have structural concrete (bridge, major culvert, etc.) poured on-site should typically include the concrete cylinder curing box contract pay item in the bid documents. The Regional Materials Group should be consulted they may determine that the cylinders could be cured in their lab, for example.

E. Contract Administration E.1 Office Technology Supplies The intended use of the office technology supplies contract pay item is to provide technology-related materials and supplies only in situations when they are unavailable from the State. The Construction Supervisor and Designer may determine a need exists for this contract pay item, and the appropriate amount to budget. E.2 Partnering Workshop The Partnering Workshop contract pay item should be included if any of the following criteria apply: 1. Projects located in Regions 01 - 09 that are estimated to cost $5 million or more. 2. Projects located in Regions 10 & 11 that are estimated to cost $10 million or more. 3. Projects that are complex, controversial or involve new or unusual technology, regardless of cost. 4. Projects with substantial involvement of utilities, railroads, community groups, other agencies etc., regardless of cost.

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5. Projects of regional significance, as determined by the Regional Director, such as projects critical to local safety, traffic or other program needs. 6. Projects that contain time related provisions (A+B, Incentive/Disincentive, Lane Rentals, etc.). A quantity of 5,000 is recommended for this Dollars-Cents pay item.

E.3 Critical Path Method (CPM) Scheduling CPM scheduling is appropriate for certain projects. Its use during construction provides a fully modeled and detailed plan for the execution of the project, and the CPM Schedule is an excellent written and graphic means to aid in the communication of those issues between all project stakeholders. Collaborative use of CPM Scheduling by the Contractor and the Engineer assists in planning and scheduling work activities, and then managing change as it occurs through proactive decisions and contract administration, thereby avoiding or minimizing costly delays. CPM Scheduling is also an industry accepted method to resolve delay disputes and claims. Project selection criteria have been developed to identify those projects where CPM scheduling is most suitable:

1. Projects that contain incentive/disincentive (I/D) provisions for early completion,

projects that use cost-plus-time bidding (A+B bidding), lane rental, or have other time-related contract provisions, such as interim milestone dates or a contract completion date with significant liquidated damage provisions. Time is of the essence in contracts with these provisions, and time equates to direct monetary costs. CPM scheduling provides a rational method to measure time and the apportionment of both delays and advancements. For projects with very short I/D phases or limited, time-related work, the CPM may be required for only part of the project. The Designer should contact the Regional Construction Group to develop the appropriate special notes.

2. Projects that require the Contractor to coordinate activities with utility companies,
railroad companies, or other contractors. The other parties work must be significant to the extent that it has a controlling stake in the contract completion. This includes projects with other contracts in close proximity where adjacent highway sections must be coordinated, as well as buildings that are constructed with multiple contracts, i.e., Wicks Law contracts. CPM on these projects will help avoid timerelated disputes and potential delay disputes.

3. Projects of Regional significance, as determined by the Regional Director, that would

warrant additional effort to ensure timely completion.

4. Projects estimated to cost more than $20 million. Large projects such as a major
interchange construction or reconstruction projects with several bridges, multiple construction phases, numerous subcontractors, etc., should be scheduled using CPM due to their size and complexity.

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The project designer shall determine if a project meets the criteria for the CPM schedule item. The project designer shall contact the Regional Construction Engineer (RCE) to confirm the appropriateness of including a CPM schedule item, and the appropriate item to use. If a CPM item will be included, the project designer will indicate such in the Advance Detail Plan (ADP) distribution letter. The RCE may request that the CPM schedule be required for only part of a project - for example, a short duration I/D phase. The RCE may also justify use of a CPM item for projects not meeting the selection criteria. In these situations, appropriate special notes shall be developed and the appropriate item shall be included in the plans. The estimated cost of the item shall be adjusted in proportion to the value of the work in the schedule period, and the number of months that Progress Schedule submissions are required, using the cost estimating equation below. Use the following equation for cost estimation purposes when using a CPM scheduling item in the Engineers Estimate: Estimated CPM Scheduling Cost = $10,000 + [(0.0005) x (Total Engineers Estimate) x (number of Monthly Progress Schedule submissions required)] (Note: Round the estimated cost to the nearest $1,000)

21.4.4 Pay Item Catalog

The Pay Item Catalog is an electronic version of the Department's Inventory of Pay Items. It contains the approval status of all specification pay items. The status of all existing special specifications to be included in the project should be looked up in the Catalog to determine if they need approval for the project. Approval requests must be made at least 4 weeks before PS&E. (DOT personnel see Deadlines.) The following information is contained in the Pay Item Catalog: 1. Item Number - Item Number is discussed in section 21.4.1.1.A1. 2. Link to the Bid Price History Data 3. Approval Status information regarding the approval status of the pay item number. It would be GENERAL, PINONLY, INACTIVE, or DISAPRV. 4. Special Specification Indicator - If the Specification is a Special Specification, it is noted with a check mark. 5. Effective Date date the current Approval Status was effective (except Inactive Specifications) 5. Units the abbreviated unit of payment for the specification. Item numbers that are fixed price, minimum, or maximum bid items are explicitly called out. 6. Links to the Special Specification Document and to the issuing EI. Message - A message may provide information regarding the specification. Messages

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are listed when the "Estimate Checks" program is run after the Engineers Estimate is uploaded to Trnsport PES. 7. Description - the pay item full description (i.e., special specification item number full description or title, or the standard pay item full description) 21.5 PROPOSAL SPECIAL NOTES Proposal Special notes should state special directions, provisions, or requirements specific to the project. Section 21.5.1 provides guidance regarding the use and preparation of Proposal Special Notes. Proposal Special Notes which are commonly used are listed in Section 21.5.2 of this Chapter. 21.5.1 Guidance and Format Indiscriminate use of special notes can lead to a set of contract documents that is hard to follow and confusing. Conflicts between plans, the proposal, and specifications may result in higher bid prices and/or claims. The following items provide guidance regarding the use of special notes: Proposal Special Notes should not relate to specific plan details. Notes for this purpose should be placed directly with the details on the plan sheets. Proposal Special Notes should not include statements contained in the General Provisions (Section 100) of the Standard Specifications (see US Customary Standard Specifications ), or other already stated specification provisions. Proposal Special Notes which modify existing specifications should be avoided. A special specification should be written when modification of a standard or existing special specification is required. Manufacturers' names should be avoided in Proposal Special Notes and on the plans. If trade names cannot be avoided, the same procedure should be followed as if a proprietary reference or proprietary special specification were being prepared. See Section 21.4.1.2 F and 21.4.2.3 E. for guidance regarding proprietary specifications. Proposal Special Notes should not refer to a specific contract completion date. Proposal Special Notes should not require that bidders submit anything with their bid (e.g., listing of equipment, subcontractors, etc.). If for some reason this is desired, the issue should be brought to the attention of the Contract Management Bureau. Special notes should be prepared in MS Word using 12 point Times New Roman font and a 1 inch border all around. Each Special Note should have a title in bold, all capital letters. Multiplepage Special Notes should be numbered Page 1 of 2, etc. Single-page Special Notes may be numbered. As indicated in Section 21.9, Special Notes may be submitted with the PS&E either as a single .pdf file containing all Special Notes, or as separate .pdf files with a name unique to each Special Note. If Special Notes are submitted as a single .pdf file, more than one Special Note may be shown on the same page.

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21.5.2 Special Notes Commonly Prepared By The Region Special notes are commonly prepared on the following subjects: Coordination With the Utility Schedule. Examples are provided in Appendix 13E of Chapter 13 of this manual (see HDM App. 13E). Landscape Architecture: These are provided, as needed, by the Regional Landscape Architecture Group to supply any additional projectspecific information on planting or other landscape/aesthetic features. For example: topsoil type, fertilizer type and method, color, existing features to be matched, etc. Permit parameters. If any permit required for the project contains specific construction constraints or conditions, the constraints or conditions should be included in the contract proposal in the form of special notes. Special Note pertaining to Section 637 Items. (see Section 21.4.3.5) Others, based on contract requirements. For example: 1. Projects subject to a State Pollutant Discharge Elimination System (SPDES) permit shall contain shall contain the special note illustrated in Section 4.3.B.3 of the Environmental Procedures Manual (soon to become Section 4.4.8Stormwater Management of The Environmental Manual (TEM)).. 2. Buildings on state financed contracts require a special note as discussed in Appendix 21A. 3. Section 104-08 of the Standard Specifications provides for restricted highway designation upon contract award unless otherwise specified. The designer should identify non-restricted highways, when appropriate, by special note in the contract proposal. See Chapter 16.4.6.3 for guidance on when this is appropriate. All other highway contracts will be designated Restricted Highways by the Regional Director when awarded and therefore no special note should be provided. 4. Special Note - Availability of R.O.W. This special note shall be provided consistent with the guidance provided in the Office of Right of Way Instruction A02-1-8 (see A02-1-08 - Projection of ROW Availability on Capital Projects). The need for this note is also discussed in Section 21.9.2.5 B 13a of this Chapter. 5. Specialty Items, per Section 108-05 of the Standard Specifications. A Special Note designating Specialty Items should only be prepared on an exception basis when appropriate for the contract. Additional information on the designation of Specialty Items can be found at the Tools You Can Use page of the PS&E Sections Intradot site.

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Special notes applicable to bridge projects are discussed in Section 17 of the Bridge Manual (see Bridge Manual). 21.6 ESTIMATE

This section provides guidance regarding the estimate within the context of the project development process. The estimate is an attempt to determine a "reasonable cost" to perform the work if the project were to be bid at the time the estimate is made. Estimates are prepared and refined throughout the life of a project to: Develop and update the capital program. Estimate design resources. Compare the cost of alternatives within a project. Determine the cost/benefit of doing the project. Judge the reasonableness of the bids at letting.

21.6.1 Milestones Estimates shall be produced at the following key milestones during the project development process. Additional intermediate estimates should be prepared as the scope of work is refined or significantly changed. Initial Project Proposal (IPP) Approval - Conceptual Estimate. Scope Approval - Preliminary Estimate. Design Approval Updated Preliminary Estimate. Advance Detail Plan Submission - Detailed Engineers Estimate. PS&E Approval Final Detailed Engineers Estimate.

21.6.1.1 Initial Project Proposal (IPP) Approval - Conceptual Estimate The construction cost estimate at this stage is usually made without benefit of detailed field investigations or project design details. Rules of thumb based on experience can be used (cost per mile, cost per square foot, etc.). It should be understood that the degree of accuracy of this cost estimate will vary considerably by complexity of project and the extent of unknowns. Nevertheless, it should be the most accurate cost estimate possible; for the project scope most reasonably expected at construction completion. 21.6.1.2 Scope Approval - Preliminary Estimate At this stage, major design elements for the simplest projects can be identified and major quantities can be estimated with a fair degree of certainty. The project scoping process benefits from field investigations; and from detailed scoping activities involving representatives from all functional areas with project interests or responsibilities. The preliminary cost estimates for all

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alternatives considered should be the most accurate possible estimate given the available information. 21.6.1.3 Design Approval - Preliminary Estimate At this stage, field investigations and condition data collection are essentially complete. Preliminary design has been accomplished and design approval is imminent. Project scope is not expected to change, except through the refinement of design details. The cost estimate should be updated with the most accurate possible estimate. 21.6.1.4 Advance Detail Plan Submission - Detailed Engineers Estimate At Design Phase V, a detailed estimate should be created based on the items necessary and quantities calculated for the work to be performed. 21.6.1.5 PS&E Approval - Detailed Engineers Estimate The project cost estimate is refined throughout detailed design, culminating with the Engineers Estimate for PS&E. The estimate at the time of PS&E should reflect the anticipated cost of the project in sufficient detail to permit an effective review and comparison of the bids received. The estimate accuracy at this phase must be credible to be effective. The preparation and accuracy of the engineer's estimate should be reviewed if estimates are consistently higher or lower than the bids received, or if other anomalies consistently recur. The low bid/engineers estimate (LB/EE) ratio is expected to fall within the range of .85 to 1.05, 50% of the time. The remaining 50% of the time LB/EE ratios are expected to be fairly equally distributed above and below these limits. By monitoring the results using these criteria, estimating procedures can be reviewed, and adjustments can be made to improve accuracy. The engineers estimate should include the total contract cost, and total cost and quantity for each pay item, in significant figures appropriate for the total quantity. Additional discussion regarding quantity estimates is provided in Section 21.6.3.2. 21.6.1.6 Contingency Factors for Project Development Estimates Cost escalation of a project from the conceptual stage to the final project acceptance has a severe detrimental effect on the Department's ability to efficiently deliver the capital program. There are several factors that contribute to cost escalation including project complexity, scope changes and scheduling changes.

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Proper estimating requires risk management techniques to minimize the effects that risks may have on a project. Risk Management has long been a requirement of our project management process,4 and the basic steps in any risk management process should be followed when generating estimates throughout project development. Risk Management is the continuing process of planning, qualifying, handling, and controlling future events that may have an impact on the project success. Each time a new estimate is generated throughout project development, the potential risks to the project need to be reevaluated and the risk management strategy should be updated. Contingency is included in the estimate to account for substantial uncertainties in quantities and unit costs and the possibility of currently unforeseen risk events related to quantities, work elements, errors in predicting the rate of inflation, (inflation is applied as a separate factor in the estimate based on guidelines issued by the Policy and Planning Division) or other project requirements. The purpose of this guidance is to establish contingency factor ranges to be considered by the estimator when estimates are developed at IPP, Scoping, Design Phase I to Design Approval and at ADP. The following table includes the suggested ranges:

Table 21-9 Contingency Factor Range CONTINGENCY FACTOR RANGE % of Estimate 25-40 20-25 15-20 5-10

PROJECT PHASE IPP SCOPING Design Phase 1 to Design Approval ADP

These ranges are provided as suggestions. Contingency is to be established with the endorsement of the Project Manager and/or Regional Estimate Engineer who is familiar with risk management. It is important that the estimator be cognizant of the definition of estimate in determining the contingency factor for a particular project. An estimate is the most probable cost for a project, consisting of normal costs, contingencies, and the probable cost of risk events5. Thus, an estimator will be justified in using a higher contingency in the estimate if the risk potential to the project can warrant the higher contingency. Regardless of the phase of project development, the estimator needs to first perform a risk analysis in order to establish the contingency. Estimators need to be familiar with preparing estimates of the project type and complexity and they should draw on experience needed to sufficiently qualify the risks. Understanding project complexity will allow for the determination of appropriate risk and contingency factors. The contingency should not account for items that should be known and detailed at the given project phase. Known miscellaneous items that may
4 5

Procedure for Managing Projects, Third Working Draft, pp. 81, 82 September 3, 1991 NCHRP Report 574 Guidance for Cost Estimation and Management for Highway Projects During Planning, Programming, and Preconstruction, p A-155, A-156, and C-2

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reasonably be estimated should not be included in the contingency. The estimator's focus needs to be on arriving at the most probable cost of the project. It is imperative that the estimator recognize the importance of the estimate at the time of its development, appropriately detail the estimate and establish a reasonable contingency commensurate with the risk to the project. This guidance is not applicable to projects with an estimated total cost of $100M or more (cost in "year of expenditure" dollars). Such projects require an annual Financial Plan (Intradot LinkNYSDOT personnel only, Internet Link ) and all contingencies should be sufficiently detailed and managed. 21.6.2 Estimating Programs The Department uses transportation software, Trnsport, supported by AASHTO and used in numerous other State Highway Agencies. There are various modules available within the software to support a project from its inception through preliminary design, final design, construction, and historical archiving of the Engineers Estimate, bidding, and final cost data. Consultants shall prepare and submit cost estimates to the NYSDOT project manager in accordance with Consultant Instruction 03-04, Requirements to Use Trans*port Estimator Program for Preparing and Submitting Engineer's Estimates. Manuals, training needs and general questions concerning usage of the software should be directed to the Regional Estimating Engineer. Additional information regarding Trns*Port Estimator is available through the Departments website. 21.6.3 Engineers Estimate The engineers estimate is the estimated cost of the project based on the quantity and unit price estimate for each item of work (pay item) in the project. The engineer's estimate should reflect the amount that NYSDOT considers fair and reasonable and is willing to pay for performance of the contemplated work. The engineer's estimate provides information for determining whether funds are available to build the project, a basis for reviewing bids to determine whether contracts should be awarded, and a format for charging costs to appropriate fund sources.

21.6.3.1 Quantity Work-ups Quantity work-ups are an important source of information. They are needed to prepare the

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estimate, are useful to contractors during bid preparation, and are useful for the construction contractor, subcontractors, EIC and staff during construction. The EIC and staff use quantity work-ups to control project expenditures and to avoid costly orders on contract (OOC) and/or field change payments. Quantity work-ups confirm the intent of the designer regarding the pay limits of work for each item in the contract. Designers are encouraged to provide quantity workups as part of Supplemental Information Available to Bidders. Quantity work-ups can be completed using hand written computation sheets, electronically through spreadsheets, or by capturing electronic engineering data through the use of CADD or related software. Quantity work-ups for a given project can be developed using one or more of these mediums, but the final version should be combined into one file (.pdf recommended). Quantity work-ups, should be developed to an accuracy consistent with the unit of measurement for the associated pay item, as defined in its specification. Regardless of the medium used to compute overall quantities for any project, the estimator, at a minimum, should include the following information for each item of work.

PIN, BIN or CIN if available, work location, estimator & checker initials and date(s). Item number, description & unit of measurement. Sketch(s) and/or reference(s) to plan sheet(s)/details in the plans, page(s) in the proposal, and quantities derived from design programs (Noting that area is derived from CADD is not sufficient information for a quantity work-up in the absence of a corresponding sketch). A quantity should not be calculated for extremely complicated areas, lengths, or volumes, etc. directly. Rather, subtotals for smaller, simpler areas should be provided, as well as a reasonable explanation and level of detail as to how the quantities were arrived at. Quantity computations for each individual engineering share with subtotal and total amounts.

A. Mediums to complete Quantity Work-ups The medium(s) that the estimator chooses to complete the quantity work-up will depend on the project work type, extent of the work and software used during design. It would be more conducive to complete hand written computations and/or spreadsheets on projects that use a minimum number of items of work, have short project limits or limited work locations. For more complex projects that use CADD or related design software, quantities can often be derived automatically using special features of the software. In these instances, copies of the output sheets should be made available for documenting quantity work-ups. 1. Design Detail Computation Sheet (Form DIST 22) Hand written computations performed to establish an item quantity estimate should be made on form DIST 22 (commonly called "comp. sheets" or "work-up sheets") In addition, this form should be used to perform the computations leading up to the cost estimate for lump sum items, and fixed price items. The estimator shall complete the

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upper right hand corner of the form (sheet no., date, etc.). An item quantity estimate that requires more than one sheet should contain the total quantity on the first sheet, with reference to the other work-up sheets for detailed computation. Individual item quantity computations should be organized by share on the sheet. Tabulate, in a section preceding all the sheets, the total contract quantity of every item, with reference to the item work-up sheets where estimation is shown. 2. Spread Sheets Review and Approval of Existing PIN ONLY Special Specifications MS Excel Spread sheets offer the latitude of automatically computing and tallying quantities once they are set up and are easily updated as changes occur during the design process. A summary sheet listing share, item number, quantity and pay unit in each field can be easily imported into Trns*port Estimator that will automatically generate the pricing information. Refer to the NYSDOT Trns*port Estimator Guidelines and Chapter 8 of the Trns*port Estimator Users Guide for further instructions. 3. Microstation Inroads Quantity Manager Surfaces that are modeled in INROADS or drawings created in 2d or 3d are a source of Electronic Engineering Data that can be used to generate quantities in an XML file format that also can be exported/imported into Trns*port Estimator. Users of this CAD software can seamlessly generate quantities through Quantity Manager, and as the design of the project evolves the quantities in the XML file are updated accordingly. Guidance on the use of this software is available through the Engineering Technology Section of the Design Quality Assurance Bureau. 4. MathCAD This stand alone application has the functionality of creating more advanced spreadsheets where not only the design calculations can be completed but quantity work-ups could be shown as well. Graphic images such as bitmaps or jpg files can be imbedded into the worksheets to illustrate the computations and work-ups. Guidance on the use of this application is available through the Office of Structures.

B. Quality Control of Quantity Work-ups All quantity work-ups and supporting documentation shall be checked. It would be advantageous to have someone that is not familiar with the project to be the checker for the quantity work-ups, to assure that not only the computations are complete, accurate and legible; but more importantly to assure there are no omissions or discrepancies in the design documents and the quantity work-ups. This will assure there is no misunderstanding of the intent of the scope of work that needs to be accomplished once the project is being constructed. It's recommended that the designer list the items of work at the bottom of each plan sheet corresponding to the tables, sections and details shown. The estimator and checker can then highlight each item number as they complete their estimate to assure quantity work-ups

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are accurate and that no items of work are being omitted from the estimate taken from the plan sheets. Similarly, quantity work-ups taken from tables and details in the proposal need to be addressed in the same manner. For rehabilitation projects, designers should be aware of ever degrading field conditions that occur over time. This can change the quantities and limits of work and in some cases the scope of work for a project. Designers/estimators need to reevaluate the quantities in the field if an inordinate amount of time elapses between when the quantities were first field verified in design to when the project is scheduled for letting.

21.6.3.2 Estimating Item Prices Item price estimates are confidential information until the award of the contract. See Section 21.6.5 Confidentiality of the Engineers Estimate & Unit Bid Prices. A. Estimating the cost of unit items There are basically three techniques used to estimate the cost of unit items: 1. The use of historic data from recently awarded contracts is a cost-effective method to develop the engineer's estimate, however, solely relying on historic data may not be appropriate when the data is based on a non-competitive bidding environment. This method requires the collection of previous unit bid prices according to type, size, and location of project Upcoming projects should be matched to the most recent projects to develop base prices for estimating the value of the unit prices. Under this approach, bid data are summarized and adjusted for project conditions (i.e., project location, size, quantities, etc.) and the general market conditions. This approach requires the least amount of time and personnel to develop and produces an adequate estimate for use in budgeting/programming, as long as competitive bid prices are used to build the estimate. Non-competitive bidding and unbalanced practices are the least recognizable using the historic data approach to estimating. Further adjustment of the base prices should be considered based upon the age of the similar projects. 2.. The cost based approach takes into consideration factors related to actual performance of the work (i.e. the current cost of labor, equipment, and materials; sequence of operations; production rates; and a reasonable value of overhead and profit). This approach requires the estimator to have a good working knowledge of construction methods and equipment. Also the estimator should have resources available for determining production rates from actual work performed by the contracting industry on similar type projects as well as resources for determining current construction methods and equipment. While adjustments for current market conditions may be required, this

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approach typically produces an accurate estimate and is useful in the bid review process in aiding the decision to award or reject the project. It is also useful in estimating unique items of work where there is insufficient bid history. However, this method may be more time consuming and may not be practical for all projects. 3. The third approach combines the use of historical bid data with actual cost development. Most projects contain a small number of items that together comprise a significant portion (e.g., 70 percent) of the total cost. These major contract items may include portland cement concrete pavement, structural concrete, structural steel, asphalt concrete pavement, embankment, or other items. Prices for these items are estimated from actual costs and adjusted for specific project conditions. The remaining items are estimated based on historical prices and adjusted as appropriate for the specific project. Regardless of the approach used to estimate the cost of unit items, the age of the bid price information, the impact of the allowable contract time, construction staging and other unique project requirements also need to be considered when preparing the price estimates. For most items, historical bid price data can be used to estimate the cost of an item. Bid price data is available from a variety of sources including Trns*Port Estimator bid history catalog, Weighted average bid price data, Bid tabulation reports produced by Trns*Port LAS and the Historical bid price listing. The Regional Estimate Engineer should be consulted for pricing information and insight into current price trends. B. Adjusting Estimates for Inflation After an estimate is completed to reflect current year dollars, the estimator should adjust item prices to reflect any anticipated cost escalation due to inflation. The NYSDOT Policy and Planning Division periodically issues inflation assumptions for the Program Update Process. These rates are also included in the Departments Program Support System (PSS). To be consistent with PSS estimates, whenever estimates are projected to the mid point of construction, the Program Update/PSS inflation values shall be used. Questions regarding these inflation rates should be directed to the Regional Planning and Program Manager.

C. Estimating the Cost of Lump Sum Items Unless otherwise instructed by an Engineering Instruction or other Sections within the HDM, the cost of all lump sum items shall be determined using a labor, material and equipment price analysis. Lump sum price analyses shall be kept separate from the quantity work-ups for other unit price items. For projects that require FHWA PS&E approval, the lump sum price analyses shall be submitted to DQAB with the PS&E. Lump sum items involve cost based estimating where labor, material and equipment usages are determined by estimating time durations to complete a certain task or item of work. Production rates are established usually through construction personnel that are familiar with the contractor's operations from similar type projects. In absence of expert opinion,

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inspector reports from similar type projects would be another source of information. The estimator can reference the RS Means Catalog for Heavy Construction, rental rate blue book and the NYS prevailing wage schedule to determine labor, material and equipment rates that can be used to calculate the subtotal lump sum cost. Appropriate markups would then be applied for overhead and profit to calculate the total lump sum costs for a particular type of work. The Regional Construction Office is also a good resource for price information from Order on Contract price analysis data. In Estimator, lump sum items must always be entered with a quantity of 1.0 in each category. 21.6.3.4 Engineer's Estimate Book This is a complete set of documents that contains the estimate (unit price estimates and their extensions) as well as quantity work-ups, organized numerically by item number. The Engineers Estimate Book should be transmtited to the Engineer-in-Charge with the Handoff Memo (see Section 21.13). 21.6.3.5 Engineers Estimate Shares An Engineering Share is a grouping of items that relate to one another in some way. For example, this could include items that are all associated with a roadway, bridge, specific work site location or items to be paid for with specified funds such as Federal Aid or a utility. Although our estimating software provides the flexibility to create multiple Engineering Shares per contract with an unlimited number of items per Engineering Share, the creation of too many Engineering Shares complicates the estimating, letting and construction process. Multiple Engineering Shares may temporarily be developed to facilitate the estimating process, however, at PS&E the number of Engineering Shares should be held to the minimum required in accordance with the following guidelines.

A.

Contracts That Do Not Include Bridge Work

For contracts that do not include bridge work,separate Engineering Shares are only needed at PS&E to facilitate cost reimbursement by the various funding participants. If all items in a contract are eligible for payment using one fund source such as 100% State Funds or one Federal Aid fund source and an associated matching state fund source (for example, 80% NHS, 20% SDF State Dedicated Funds), then all items should be included in 1 Engineering Share. If the work will be paid for using more than one Federal/State match or other multiple fund sources then one of the following methods will be used. 1. Item and Quantity level funding based on fund eligibility If a contract includes items and quantities of work that are eligible for reimbursement by multiple funding participants, the

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items must be segregated based on funding eligibility. Questions regarding funding and funding eligibility should be directed to the Regional Planning and Program Manager. Some examples include: On a Federal Aid project, if particular pay items are ineligible for Federal Aid, a separate 100% State Engineering Share is needed which includes those items and quantities ineligible for Federal Aid ( Eng. Share 1 = all items eligible for 80% NHS, 20% SDF State Dedicated Funds, Eng. Share 2 = all items funded with 100% SDF State Dedicated Funds). Separate shares are needed to identify items and quantities eligible for different Federal Aid or State fund source combinations used on the same contract. For example, if a contract includes work at multiple sites and one site is eligible for Federal Aid Interstate Maintenance funds (90% IM, 10% State Matching funds) and the rest of the sites will be funded with Federal Aid NHS funds (80% NHS, 20% State Matching funds), the contract should include 2 Engineering Shares. One Engineering Share would include all items and quantities of work at the site eligible for Interstate Maintenance funds; a second Engineering Share would include the items and quantities of work for all other sites. Utility work performed by the contractor that will be paid for by the utility under a utility work agreement (HC-140) shall be included in a separate Engineering Share. Each utility funded in this manner shall have a separate Engineering Share. Refer to HDM Chapter 13. Betterment work performed by the contractor that will be paid for by others shall be accounted for in a separate Engineering Share. Refer to HDM Chapter 14 and Section 21.6.3.6. Distributing Overhead items between funding participants NYSDOT and Contractor overhead items such as: Mobilization; Engineer's Field Office, Laboratory and Equipment; and Field Change Payment shall be considered and included as applicable in all Engineering Shares. Refer to HDM Section 21.4.3 for specific guidelines on estimating these items of work. Work Zone Traffic Control items and Survey Operations should normally be prorated between the various funding participants on a percentage basis. 2. Rollover Funding If a capped fund source(s) will be used for a contract in conjunction with an additional fund source to cover the balance, only one Engineering Share is required for the estimate. In this situation, capped fund sources will be exhausted in priority order (assigned after PS&E) before billing against the remaining fund source.

B. Contracts That Include Bridge Work For contracts that include bridge work, in addition to creating separate Engineering Shares to group items for cost reimbursement as discussed above, the Office of Structures requires

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certain bridge item groupings in a separate Engineering Share to help comply with the Departments responsibility to report unit bridge costs for New and Replacement Bridges to the FHWA. These same bridge item groupings are also used to support the Preliminary Estimate Worksheet for New and Replacement Bridges, which is used early in the project development process to estimate bridge costs. Therefore, for contracts that include new and replacement bridges, a separate Engineering Share shall be created for each new and replacement bridge. Separate Engineering Shares are not required for bridge rehabilitation or maintenance work. However, separate Engineering Shares may be created to support the estimate development process. For example, a contract to perform major rehabilitation work on a few bridges at various locations may be submitted with separate Engineering Shares for each bridge. A contract to paint, clean or perform minor maintenance work on 30 bridges should not be developed and submitted with separate Engineering Shares for each bridge. Additional information regarding the Bridge Estimate can be found in Section 16 of the Bridge Manual. 21.6.3.6 Betterments A Betterment is considered any additional work performed by the State on behalf of, at the request of, and at the expense of others. Replacement-in-kind is defined as an equivalent replacement, taking into account present day standards as required by Code, Law, Rule, Regulation, or mandated by any public or private agency or authority. A utility of the same size and on the same alignment is a replacement-in-kind. Replacement-in-kind due to impacts from a Department project is not considered a betterment.

A. Separating Costs Associated with Betterments When a betterment is being provided, the costs that are above and beyond the replacementinkind costs are placed in a separate engineering share that will be paid for by the owner; and costs equal to the replacement-inkind work are placed in a separate NYSDOT participating engineering share. The following procedure shall be used to separate the betterment costs from the replacement- in-kind costs. 1. Establish a separate engineering share for items and quantities to be paid by each betterment owner(s), and a separate engineering share for the corresponding NYSDOT participating items and quantities associated with replacement-in- kind cost. 2. Items added solely for the betterment shall be included in the 100% betterment owner(s) engineering share. 3. When an increase in item quantity is necessary for a betterment, the increased quantity shall be included in the betterment owner(s) engineering share; the replacement in kind" quantity shall be shown in the NYSDOT participating engineering share. The inkind quantity is the quantity that would have been necessary to construct a system

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comparable to the existing system being replaced. 4. If an improved or betterment item (e.g., increased pipe size) is to be substituted for an in-kind replacement item, quantities of the improved item must be apportioned between the betterment owner(s) and NYSDOT participating engineering shares on the basis of estimated item price ratios. 5. When determining whether Work Zone Traffic Control and Survey & Stakeout should be included in the betterment engineering share, consider whether they are needed to complete the betterment work. For instance, it would be reasonable to assume that installation of a utility on a new bridge would not require additional Work Zone Traffic Control. A new water main not previously existing, and outside of any proposed excavation for other purposes may require additional Work Zone Traffic Control as well as Survey and Stakeout. Installation of a utility on a bridge rehabilitation project may require additional Work Zone Traffic Control if the utility work is not completed within the time frame of the rehabilitation work.

B. Documentation for Betterments Betterment work sheets showing computations for apportionment of quantities to each engineering share, as described above, shall be prepared for all projects. The basis for determining whether or not to apportion an item between the engineering shares should be included in the work sheet. These work sheets should be submitted to DQABs PS&E Section with the PS&E transmittal for projects that require FHWA PS&E approval (based on the design related approval matrix Exhibit 4-2 of the Project Development Manual). The worksheets should be retained in the project file for all other projects. The Utility Work Agreement (form HC 140) must include the estimated total betterment cost, plus necessary overhead costs. The amount of the Agreement shall be the total of these two costs, plus a 15% additive for engineering (e.g., construction inspection and administrative/design effort). Refer to Chapter 13 of this manual for guidance regarding preparing the HC 140. 21.6.4 Alternate Bid Items Alternate bid items can be used to require a contractor to bid on one or more alternate designs, such as alternate bridge types or alternate rehabilitation methods. Also, different items can serve as alternates for each other, which means that a bidder can choose to bid on one item or the other, but not both. To code these items in Trns*Port Estimator the first two characters of the item alternate code specify the alternate set and the third character indicates the choice within the set. If alternate bid items are included in the estimate, the designer must "code" these items AAA for Alternate A (which should be clearly identified in the plans and should be the lowest cost option) or AAB for Alternate B (also identified in the plans). A 99 suffix and explanatory special note can also be used to account for additional quantities of an item included in an

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A sample special note for alternate bidding is shown below. For additional guidelines on using alternate items, contact the Regional Quality Control Engineer and/or DQABs PS&E Section. Figure 21-4 Sample Alternate Bid Special Note This Contract contains Alternate Designs for Pavement and Bridge Deck items that must be bid on in accordance with this Special Note. The itemized proposal contains all items that can be bid, including the alternate design items. Alternate design items are designated by an alternate item code included with the item description in the itemized proposal. In addition to the alternate item codes, certain items in the contract will include a suffix of 99 to facilitate the bidding process. ALTERNATE AA PAVEMENT ALTERNATE DESIGN The Contractor will have the choice of bidding one of two alternates for replacing the full depth concrete panels. ALTERNATE AAA ITEM 202.97000099 PAVEMENT REMOVAL ITEM 502.0039 PORTLAND CEMENT CONCRETE PAVEMENT, UNREINFORCED, NONPROFILOGRAPHED, HES, FRICTION TYPE 9 OR ALTERNATE AAB ITEM 18502.3101 FULL DEPTH PORTLAND CEMENT CONCRETE (PCC) LIFT OUT ITEM 502.01000091 INSTALLATION OF PRECAST CONCRETE HIGHWAY PAVEMENT SLABS The Contractor must bid on all alternate AAA items or all alternate AAB items. NOTE: Item 202.97000099 represents the additional pavement removal required under alternate AAA. Whenever this item appears in the contract, the provisions of specification pay item 202.97000001 shall apply. 21.6.5 Confidentiality of the Engineers Estimate & Unit Bid Prices Section 38 of the Highway Law, and Official Order No. 539" established the confidentiality of the Engineers Estimate and the Bidders Unit Bid Prices. The Engineers Estimate, which includes the unit prices used to establish the estimate, shall be considered as confidential until award of the Contract. The Contractors Unit Bid Prices are also confidential information until the award of the Contract. When all bids are rejected this information remains confidential until

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award, following the re-letting. To minimize the possibility of disclosure of confidential information, this information will only be made available to authorized personnel on a need-toknow basis. 21.6.6 Bid Evaluation Process During the bid evaluation process, Design Estimators may be asked to review bid data to assist the Regional Director or the Office of Construction in determining whether or not to recommend award of the contract. The procedures used during the evaluation of bids are contained in MAP 7.1-5, COMPARISON AND EVALUATION OF LOW BID WITH THE DEPARTMENTS CONSTRUCTION COST ESTIMATE. This procedure categorizes contracts as CASE I or CASE II based on the difference between the engineers estimate and the low bid. The CASE I definition identifies contracts that are within acceptable cost thresholds so that the Office of Construction can recommend award of the contract with minimal review from the Region. The CASE II definition identifies contracts that require the Regional Director to recommend award due to higher than anticipated costs. Although these contracts may require a re-evaluation of the original estimate, it should be noted that the criteria used to determine if a contract is CASE I or CASE II is not intended to be a measure of the accuracy of the engineers estimate. Adherence to the guidance established in Section 21.6.1.5, 21.6.3.1 and Section 21.6.3.2. will minimize the number of detailed CASE II analyses required. 21.7 STANDARD SHEETS Standard Sheets are standard drawings, approved for repetitive use, which show design and/or construction details associated with a particular item of work. Standard Sheet numbers correspond to the respective section of the Standard Specifications (e.g., 606 series guide rail Standard Sheets correspond to Section 606 of the Standard Specifications, and the pay items provided in that section). Standard Sheets corresponding to items of project work should be reviewed to determine the need for additional details in the plans, to aid in pay item selection, and to understand the work requirements. Some Standard Sheets have multiple pages to make a complete set. All the pages have the same number (e.g. 606-01 - Cable Guide Railing has 3 pages and all 3 pages have the same number 606-01). The Standard Sheet number with its effective date defines a sheet uniquely. When changes are made to a Standard Sheet, the number stays the same but the effective date changes. A standard sheet should not be copied and pasted into the plans. As previously stated in Section 21.3.9.2 B, Standard Sheets which are applicable to those items of work in the contract shall be listed on the contract plans Index and Abbreviations Sheet. Referencing a Standard Sheet with multiple pages (e.g. 606-01) automatically references all the pages of that sheet, and all pages become part of the contract documents. In instances where a detail from the standard sheet is being modified for project specific reasons, there should be no reference to the

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standard sheet on the Index and Abbreviations Sheet, and the modified detail should be drawn directly into the contract plans. All active and recently superseded Standard Sheets are posted on the Department website. Note: Standard Sheets should not be confused with Bridge Detail Sheets (BD Sheets). BD Sheets are intended to show how typical parts that make up a bridge are to be detailed. BD Sheets are modified and included in the plans, rather than referenced into the plans as Standard Sheets are. 21.8 SUPPLEMENTAL INFORMATION AVAILABLE TO BIDDERS Form CONR 9 - Supplemental Information Available to Bidders, shall be completed and submitted with the PS&E materials for all projects. Project designers should assess pertinent data used during design for individual projects. Providing this data can assist bidders in gaining project familiarity, and can reduce perceived risks attributed to unknown conditions, resulting in lower bids. Supplemental Information Available to Bidders is a component of the Contract Documents, and is referred to as Base Line Data in Section 102 of the Standard Specifications. Section 102 also lists the order of precedence of the Contract Document Components. Electronic format is the preferred format for all Supplemental Information Available to Bidders. Documents shall be named intuitively or in accordance with Appendix 14 of the Project Development Manual. The Supplemental Information shall be supplied on CD or DVD media, and the completed CONR 9 should be included on the CD/DVD. Hyperlinks from the text in the Information Column on the CONR 9 form, to the appropriate document or folder on the CD/DVD, should be provided. A document offering guidance on the preparation of a hyperlinked CONR 9 is available on the Tools You Can Use page of the PS&E Sections Intradot site. Alternatively, a document that correlates the information listed on the CONR 9 with the file names stored on the CD/DVD may be provided. In either case, the user of the Supplemental Information Available to Bidders should be able to easily find the particular information he/she is looking for on the CD/DVD. 21.8.1 Conveying Supplemental Information to Prospective Bidders Traditionally, Supplemental Information is made available for review and sale only at the Regional Office during the project advertisement period, either on CD/DVD and/or hard copy. Bidders requesting hard copies of information listed as being available should be charged consistent with PUB1, Sale of Printed Material and Services. Bidders requesting a CD/DVD should be charged in accordance with guidance provided by the Contract Management Bureau. Alternatively, the Supplemental Information may be made available to bidders with the bid documents, both on the bid document CD that is available for sale at MO and Regional Plan Sales Offices and through Bid Express, the subscription-based service. For this to occur, the Supplemental Information must be submitted electronically with the remainder of the PS&E materials. Advance arrangements must be made with the PS&E Section to accommodate

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conveyance of the Supplemental Information in this manner. A revised CONR 9 form and Special Note are highly recommended. 21.8.2 Content of Supplemental Information listed on CONR 9 Form The information covered by the CONR 9 is summarized below: 1. Applicable Asbestos Blanket Variances and/or Asbestos Reports may be provided in Adobe PDF format. 2. CADD Information in MicroStation DGN and InRoads (DTM, ALG, XML) format. CADD information in MicroStation format shall include all documents containing contract plan sheets (cph and cpb document categories- see Table 14-2 Project Development Manual) and their associated reference documents (map and fea document categories). CADD information in InRoads DTM format shall include the original ground DTM, the finished grade DTM, subgrade DTM, and the proposed nontriangulated features DTM; this information should also be made available in XML format. CADD information in InRoads ALG format shall include the survey baseline, existing highway boundary lines, proposed ROW lines, and project horizontal and vertical control; this information should also be made available in XML format. 3. Cross Sections should be provided in Adobe PDF format and prepared in accordance with the guidance in Section 21.3.5. 4. Quantity Work-ups. Quantity work-ups provided as supplemental information should be provided in accordance with the guidance in Section 21.6.3.2, and should typically include the designers quantity work-ups for all of the pay items in the contract other than lump sum items or any other items that are estimated using labor, material and equipment rates. If Quantity work-ups for all pay items (other than lump sum items) will not be made available, indicate such on the CONR 9, and specify which quantity work-ups will be available. Drainage Item work-ups, Earthwork Item work-ups, and Utility Item work-ups are among the most useful to bidders. Quantity work-ups made available to bidders must not show the engineers estimate of unit costs. 5. Record Plans. If Record Plans are checked as available, the contract numbers should be included on the form. In addition, consideration should be given to indicating the sheet numbers of interest associated with the record plans contract. Most Record Plans are available electronically on the P drive at: P:\Record Plans 6. Rock cores. Rock Samples (i.e., cores) obtained for the project should be available for inspection. Rock cores are not available for sale. 7. Sign Face Layouts in Adobe PDF format. Sign Face Layouts are drawn to scale and fully dimensioned.

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8. Stormwater Pollution Prevention Plan in Adobe PDF format. 9. Subsurface Information. Subsurface information, if prepared for the project, will be provided to the Designer by the Geotechnical Engineer. For example: a. Subsurface Exploration Logs, with soil sample descriptions. b. Undisturbed Sample Logs, with soil sample descriptions. c. Laboratory Test Data from Soil Samples (This data may be in summary form or included on the logs described above.) d. Tabulated Results of Probing e. Tabulated Depth to Bedrock as determined by geophysical investigations (seismic). f. g. h. i. j. Rock Core Evaluation Logs Compression Test Data from Rock Samples Rock Outcrop Maps Granular Materials Resource Survey Reports Terrain Reconnaissance Reports

10. Subsurface Information, Other Information. a. Pertinent subsurface information or data obtained from sources outside the Department and used in the design of the project. b. Information pertaining to sources of granular material and aggregates. c. Special reports, drawings and documents that contain subsurface information or data pertinent to the construction of the project. The above information that are in readily reproducible form can be sold to bidders, unless the proprietary rights of others prohibit such sale. Subsurface information included under 9 and 10 shall be sold in complete sets, that is, a complete set of bridge logs, a complete set of highway logs or both sets together. 11. Anticipated Construction Schedule. If an anticipated or suggested construction schedule (for example, a bar chart) was developed in collaboration with the Regional Construction Group in final design, it should be provided in pdf format. 12. Special Reports or Other Information. Examples of information which shall be made available include: a. The results from analytical testing procedures used for environmental sampling in hazardous waste and contaminated materials assessments. b. Permits. (If any permit required for the project contains specific construction constraints or conditions, the specific constraints or conditions should be included in the contract proposal in the form of special notes.) c. Design Approval Document (DAD) and related information (e.g. all documents and information included in appendices).

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d. Other pertinent information assimilated into the design which can aid the contractor in evaluating costs and methods of construction (e.g., the Environmental Commitments & Obligations Package (ECOPAC) for Construction form). e. Survey Control Report in Adobe PDF format. f. Wetland Compensation Report in Adobe PDF format.

21.9 PS&E SUBMISSIONS This section states the requirements for a PS&E submission, including the required format and content for PS&E transmittal memos. If it is determined during the preparation of the PS&E submission that changes will be required, the PS&E should be held and revised in order to avoid changes after PS&E Submission (Section 21.9.3) and/or the amendment process (Section 21.10). Requirements for Design Phase IV submission, and instructions regarding the procedural steps to be followed in Design Phase IV for the type of project being progressed, are provided in Chapter 4 of the Project Development Manual. Preliminary plans and Advance Detail Plans should be prepared for submittal as discussed in Section 21.3.5 and 21.3.8 of this Chapter. PS&E components shall be posted electronically to the PS&E Transmittals folder on the P Drive, with e-mail notification to affected Main Office program areas of the availability of the PS&E materials. See Section 21.9.2.5 for directions on the e-mail notification. The notification e-mail should not be sent until the plans, proposal materials, and supporting materials for project processing have been posted to the P Drive in accordance with the requirements of this Section; and the engineers estimate has been uploaded to Trns*port PES. Please note that all Department staff have read/write access to the P drive folders discussed in Sections 21.9 and 21.10. This does not include the ability to rename or delete files in these folders. If files placed in the folders need to renamed and/or deleted, the PS&E Section should be contacted at dot.dl.pse.section. 21.9.1 Deadlines The Project Management Bureau issues the Departments bid opening schedule annually. The schedule is posted on the DQAB PS&E Sections Intradot site. This schedule tabulates letting dates, PS&E submission deadlines, special specification approval submittal deadlines, and amendment deadlines, among other information. These are dates by which material must be received by DQAB and must be followed in order to maintain the scheduled letting. Deadlines for projects requiring FHWA PS&E approval are critical due to FHWA review time requirements.

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21.9.2 Format and Submittal The PS&E submission to the DQAB, PS&E Section, shall consist of the following components: 1. Plans, if applicable (See Section 21.9.2.1). Some projects may be prepared and submitted in proposal only format as discussed in Section 21.2 of this Chapter. 2. Proposal materials (See Section 21.9.2.2) 3. Supporting materials for project processing (See Section 21.9.2.3) 4. Engineers Estimate (uploaded to Trns*port PES, see Section 21.9.2.4) 5. PS&E transmittal memo (See Section 21.9.2.5) These components and the required e-mail notification are described in further detail in the following pages. PS&E processing will not commence until the above components have been submitted. All PS&E submittal components other than the Engineers Estimate shall be submitted by posting the files to the Bid Documents directory on the P Drive at:
P:\Toolbox\Documents & Resources\Bid Documents\Mailbox\PS&E Transmittals\Dnnnnnn,

Where Dnnnnnn is the contract number for the individual project. Separate subfolders for Plans, Proposal Materials, and Supporting Materials should be created to compartmentalize the various required components. Please note that the Mailbox folder system is intended as a transfer directory only, and files will be periodically purged. Regional staff should be sure to save back-up copies to ProjectWise or another location. Also note that any changes to the PS&E materials after PS&E submission should not be placed in the PS&E Transmittals folder. Changes to PS&E materials after PS&E submission should be avoided, but if necessary must be coordinated through the PS&E Section (dot.dl.PSE.Section) or the Reviewer assigned to the project. See Section 21.9.3 for additional information.

21.9.2.1 Plans The plans should be prepared as discussed in Section 21.3 of this Chapter. All plan sheets shall be submitted ready for printing to 11 x 17 sheet size. Plans shall be submitted in Portable Document Format (pdf). In the event that signed/sealed plan sheets are scanned for submittal, be sure to follow the below best practices: Set the scanner for 300 to 600 LPI Resolution. Conduct a test scan using BITMAP mode. If the quality is not acceptable, change to Grayscale mode. Avoid RGB mode or any color scanning mode.

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Projects with 400 total plan sheets or less should be submitted as a single pdf file named: Dnnnnnn_R#_Plans.pdf. Projects with greater than 400 total plan sheets must be submitted as two or more pdf files, with no file containing greater than 400 plan sheets. Designers should choose a natural break point to separate the files so that contractor and construction personnel do not have to navigate separate volumes to review similar work (e.g., all General Plans should be in the same file, etc.) When more than one pdf file is required, the naming convention shall be: Dnnnnnn_R#_Plans_VolXofY.pdf, Where Dnnnnnn is the contract number, R# is a two-digit number representing the Region (i.e., 01, etc.), and VolXofY indicates the planset volume number, for example Vol2of3. It shall be the responsibility of the designer to ensure that changes and amendments to the PS&E plans are coordinated in such a manner that the Microstation files transferred to Construction and the pdf files submitted to DQABs PS&E Section remain in synch.

21.9.2.2 Proposal Materials All proposal materials shall be submitted ready for printing to 8 x 11 sheet size. Proposal materials shall be submitted in pdf format as separate pdf files as indicated below. The pdf files should be generated directly from native file formats whenever possible. If sealed/signed pages are scanned, the above best practices should be followed. Contract numbers should not be applied to the proposal materials supplied by the Region. Proposal materials provided by the Region include the following: Signed Title Page (for proposal only projects) submitted as a pdf file named: Dnnnnnn_R#_Title Page.pdf Professional Seal and Violation Note Page (for proposal only projects) submitted as a pdf file named: Dnnnnnn_R#_ProfSeal.pdf Additional Location Map(s) (for proposal only projects, if necessary) submitted as a single pdf file named: Dnnnnnn_R#_LocationMap.pdf Earthwork Definitions and Earthwork Summary Sheet (for proposal only projects, as discussed in HDM Section 21.2.1) submitted as a single pdf file named: Dnnnnnn_R#_Earthwork Summary Sheets.pdf

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Project Detail Sheets (for proposal only projects, if appropriate as discussed in HDM Section 21.2.1) submitted as a single pdf file named: Dnnnnnn_R#_Project Details.pdf Special Notes (discussed in Section 21.5). All Regional Special Notes shall be submitted in .pdf format either in one .pdf file containing all special notes or in separate .pdf files for each special note. Dnnnnnn_R#_Special Notes.pdf Special Specifications (discussed in Section 21.4). Each separate Special Specification shall be submitted as a separate pdf file. A Special Specifications subfolder should be created within the Proposal Materials folder. Form CONR 9 Supplemental Information Available to Bidders (discussed in Section 21.8), submitted as a pdf file named: Dnnnnnn_R#_CONR9.pdf. Railroad Agreement (if required and available), submitted as a pdf file named: Dnnnnnn_R#_RR Agreement.pdf Listing of Additional Insured Parties (discussed below) submitted as a pdf file named: Dnnnnnn_R#_Additional Insureds.pdf A listing of Additional Insured Parties (Refer to Section 107-06 A.4. of the Standard Specifications and the below guidance) for which the Contractor must provide insurance coverage must be submitted with each PS&E. DQABs PS&E Section will include this listing within the Required Contract Provisions section of the proposal. The listing of Additional Insured Parties should include the State of New York/New York State Department of Transportation; any municipality (i.e. Village, Town, City, County) in which the work is being performed; and any public benefit corporation (e .g. Metropolitan Transportation Authority and its subsidiaries, NYS Thruway Authority, etc.), railroad, or public utility (e.g. National Grid, NYSEG, Verizon, etc.) whose property is occupied or facilities are affected by the work. The listing of Additional Insureds should also include the following statements: Coverage must also be provided for any consultant inspecting engineer or inspector (and their agents) working for or on the project, and; The above listing supplements Section 107-06 INSURANCE of the Standard Specifications. For emergency contracts or other contracts where the precise location(s) and impact(s) of the contract work is not known at the time of the PS&E submission, the listing of Additional Insured Parties should include any known entities in accordance with the above guidance. In addition, for these types of contracts, the listing of Additional Insured Parties should include the following statement:

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As the location(s) of work becomes known, the Engineer-In-Charge will call for the addition of Additional Insured Parties to the contractor's insurance requirements as specified in Section 107-06 A.4. of the Standard Specifications.

21.9.2.3 Supporting Materials for Project Processing Supporting Materials for Project Processing shall be submitted in file formats as indicated below. Supporting Materials may include the following: ROW Certificate and any accompanying materials (See Section 21.9.2.5.B, Content of PS&E Transmittal Memo, for additional information), submitted as a single pdf file named: Dnnnnnn_R#_ROWCert.pdf ECOPAC, submitted as a single pdf file named: Dnnnnnn_R#_ECOPAC.pdf Status of Special Specifications Table, submitted as an Excel file named: Dnnnnnn_R#_SpecialSpecStatus.xls GreenLITES Scorecard (required for all projects other than emergency standby, where and when, or job order contracts), submitted as an Excel file named: Dnnnnnn_R#_GreenLITESScorecard.xls Request for Change in Goals Form, HC 258 (only when a change from the assigned goal(s) is being requested, see Section 21.9.2.5.B Content of PS&E Transmittal Memo for additional information), submitted as a pdf file named: Dnnnnnn_R#_HC258.pdf Lump Sum Price Analyses The computations performed to estimate the cost and quantity for lump sum items (only required for projects requiring FHWA PS&E approval). These should be submitted as a single pdf file named: Dnnnnnn_R#_LS Price Analyses.pdf Betterment Work Sheets Work sheets used in determining how to allocate project costs between funding shares when a betterment is provided, see Section 21.6.3.6 (only required for projects requiring FHWA PS&E approval). These should be submitted as a single pdf file named: Dnnnnnn_R#_Betterment Sheets.pdf Resolutions and/or Agreements Required executed resolutions and/or agreements, as determined by the Region, should be submitted as separate pdf files with intuitive naming conventions, for example:

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Dnnnnnn_R#_Village of Hoosick Falls_Lighting Resolution.pdf 21.9.2.4 Engineers Estimate Submittal The Region shall upload the Engineers Estimate to the Trns port Proposal & Estimates System (PES), run several quality control processes to ensure the estimate is ready for submittal, and enter several key data components to the project in PES prior to providing e-mail notification of the availability of the PS&E materials. These steps are explained in further detail at the Tools You Can Use page of the PS&E Section Intradot Site.

21.9.2.5 PS&E Transmittal Memo The PS&E transmittal memo formally transmits the project from the Region to the Main Office to prepare for advertisement and letting. It should be prepared by the functional group responsible for the design and forwarded by the project manager via the Regional Planning and Program Manager (RPPM) to the Regional Director for signature. The RPPMs recommendation denotes administrative approval of the project (i.e., it is consistent with the Regions program). The Regional Directors signature constitutes the Regions recommendation to proceed to contract advertisement and letting. The PS&E transmittal memo informs various groups that the PS&E is being submitted, and provides information needed for the Main Office to: distribute the PS&E materials for review; prepare the final contract documents; request FHWA PS&E approval (when required as indicated by the Region) and authorization to advertise the project (when federal funds are involved); advertise for letting; and let and award the project. Guidance and requirements regarding the distribution and content of the PS&E transmittal memo are provided in Sections A and B on the following pages. The PS&E Transmittal Memo shall be submitted as a pdf file named: Dnnnnnn_R#_PSE Transmittal Memo.pdf

A. Notification of Availability of PS&E Transmittal Memo and PS&E Materials After the plans, proposal materials, and supporting materials for project processing have been posted to the P Drive in accordance with the requirements of this Section; and the engineers estimate has been uploaded to Trns*port PES; a notification e-mail should be sent from the Region to DQABs PS&E Section and appropriate MO Functional Units. The e-mail should come from the individual responsible for submitting the PS&E, and be addressed to DQABs PS&E Section at dot.dl.PSE.Section. It should include the PIN, D# and a brief project description. The e-mail should also provide a hyperlink to the path to the PS&E Transmittal Memo and PS&E materials available on the P drive. Regional

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notification of the availability of the PS&E Transmittal Memo and materials may also be built into this process. Main Office Functional Units must be copied on the notification e-mail as indicated below: Main Office Functional Unit DQAB PS&E Section (All Projects) Project Management Bureau (All Projects) Office of Construction (All Projects) Contract Management Bureau (All Projects) Geotechnical Engineering Bureau (All Projects) Office of Right of Way (All Projects) Statewide Policy Bureau (All Projects) Office of Environment (All Projects) DQAB DSS, Rail Agreements Unit (Projects Involving Railroads) Office of Structures (Projects Involving Bridges) Office of Traffic Safety and Mobility (Projects Involving Safety Programs, Intersection Improvements, and Intelligent Transportation Systems) , Office of Transportation System Maint. (Projects Involving Pavement and/or Bridge Preventive Maintenance) Outlook Group Name dot.dl.PSE.Section

dot.dl.Project.Mgmt

dot.sm.mo.construction

dot.dl.PSE.contracts

dot.dl.mo.Geotech

dot.dl.RE.programming

dot.sm.mo.green.litesmailto:

dot.dl.MO.Landscape.Architecture.REL

dot.dl.MO.Rail.Agreements.Unit

dot.dl.Structures.PSE.Review

dot.dl.MO.Traffic.Safety&Mobility

dot.sm.mo.transportation.maintenancemailto:

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B. Content of PS&E Transmittal Memo. The PS&E Transmittal Memo, in addition to transmitting the PS&E to DQAB, conveys information regarding the projects status (i.e., information to support advertisement, letting, and award) to groups within the Department and outside agencies. The latest PS&E Transmittal Memo shell is available on both the Departments Internet and the PS&E Sections Intradot sites. The shell contains sample statements for the various items. Additional guidance on completing the shell appears as redlined text. Redlined and bracketed letters [A], [B], etc. contain alternate responses from which one must be chosen. All redlined text should be deleted from the final version of the memo. Designers should always download the most recent version of the memo. General guidance on addressing the information required in the PS&E Transmittal Memo is provided below. The item numbers correspond to those in the shell. At the beginning of the PS&E Transmittal Memo, the designer shall indicate if a review of the PS&E Materials by the FHWA (for projects requiring FHWA PS&E approval), NYS Thruway Authority or Canal Corporation (for projects involving those entities), the Office of Structures (for bridge projects requiring a PS&E review per Section 20 of the Bridge Manual), or DQABs Rail Agreements Unit (for projects involving railroads) is required . The PS&E Section will coordinate these reviews. B.1 PS&E Materials Indicate that the Engineers Estimate has been uploaded to Trns*port PES. List the Engineers Estimate Total, Specification Year/Units, Number of Engineering Shares, and Number of Items. List all files that have been posted to the P Drive. The notification e-mail should not be sent until the Engineers Estimate has been uploaded and all files have been posted.

B.2 Project Description The Project Description is useful to all recipients of the PS&E Transmittal Memo as a general reference, and should be particularly useful to the Regional Public Information Officer and Regional Construction staff. In addition, the information provided is used by DQABs PS&E Section to request wage rates, prepare the newspaper advertisement, and enter the project into the Record Plans database. a. Route Number(s) (State Highway Number(s)). Each Route (e.g., I 90, US 9W, NY 155, etc.) and corresponding State Highway Number that the project includes work on should be listed. For Region- or County-wide projects, emergency standby projects, job order contracts, etc., various is an appropriate response.

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b. Counties. List all counties in which contract work will be performed. c. Categories of Work. List the main categories of work that are included in the contract, such as drainage installation, pavement resurfacing, sidewalk installation, bridge rehabilitation, and so on. This information is useful for both obtaining wage rates from the Department of Labor and analyzing the D/M/WBE goals, if applicable. d. Project Limits. Using familiar local points/crossroads, describe the work begin and end points. This item will not be applicable for some projects. e. Project Length. State approximate (within 0.1 mile) centerline length of the project, if available, for general reference purposes. f. Roadway Improvements. The intent of this item is to highlight improvements that will be included in the project, such as adding a turning lane, widening or reconstructing the shoulders, replacing or adding closed drainage, adding sidewalk and/or curbs, and so on. g. Structure Improvements. Again, the intent is to highlight improvements, such as replacing the structural deck, replacing the bridge rail, joints, substructure components, and so on. The BIN for each structure being worked on should be listed. For bridge rehabilitation or replacement projects, the Bridge Type (e.g., multigirder) should be listed for inclusion in the advertisement. h. Other Public Benefits/Noteworthy Features. Other features not described above, such as a new off-street parking lot, access modifications, pocket parks, and so on. In general, things that the media, public, or Department management would be interested to know are part of your project. i. Traffic Management Plan. As brief a description as possible. Indicate whether lane closures are expected, or if a detour will be in effect. For complex, multiphase projects, a statement to that effect with a reference to the plans will suffice. j. Special Required Contract Provisions. Indicate whether the project includes alternate bidding, night work, or any time related or other special contract provisions. This information is important to prospective bidders and will be highlighted in the advertisement for the contract. k. General Project Description. Write a short sentence or paragraph that describes the project in terms understandable to the general public.

B.3 Agency Coordination List agencies directly involved in construction, maintenance, or ownership of the project, and state that the Region has provided them with a copy of the plans and other project documents as appropriate.

B.4 Project Work Type State the project work type per Appendix 5 of the Project Development Manual. If the project is a Pavement or Bridge Preventive/Corrective Maintenance project, additional information is required as explained in the PS&E Transmittal Memo shell. This information is tracked by the Office of Transportation Maintenance.

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B.5 Previous Letting(s) If the project is being relet, indicate previous Contract D number and letting date(s). Also indicate why the project is being relet (i.e. all bids were rejected or no bids were received).

B.6 Letting Date and Contract Completion Date State the suggested letting date and contract completion date. The contract completion date will be listed on page 1 of the contract proposal. As project letting dates are in a state of flux to meet the Departments program needs, it is not recommended to repeat the letting date or contract completion date in Special Notes or any other portion of the bid documents. This will enable the Department to implement changes to contract completion dates with minimal conflicts. Consult with Regional Construction before establishing the completion date. When proposing a completion date, factors to consider include the time of year construction will start, project urgency, length of construction season, waiting time for embankments, planting seasons, utility facility adjustments, lead time for materials (e.g., structural steel, signal poles), and probable construction sequencing. On landscape development contracts where planting work will be the major part of the project, the Regional Landscape Architecture and Environmental Services Group should be consulted, and contract completion dates should be set at the end of the period of establishment.

B.7 Construction Inspection State whether inspection of construction will be performed by State or consultant forces.

B.8 Prebid Meeting State whether or not a prebid meeting will be held, and if so, where and when. The notice for a prebid meeting will be included in the advertisement for project letting and on page 1 of the contract proposal. Prebid meetings are worthwhile to clarify contract requirements with contractors, and identify areas where additional or revised information is required to be issued by amendment (based on the meeting) before bids are received. In addition, they provide an opportunity to alleviate confusion and provide useful discussion concerning contract construction issues and D/M/WBE goals. Department policy is for the Region to schedule a prebid meeting for all projects with an estimated construction cost equal to or greater than $10 million. The Regional Director may approve a waiver to this policy at his/her discretion. The reason(s) for the waiver should be discussed in this section of the memo.

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For projects less than $10 million, prebid meetings are optional. Prebid meetings should be considered for these projects when they require special construction methods, equipment, time constraints, sequential operations, or exhibit unusual features. The Director of the Audit and Civil Rights Division shall notify the Regional Director of any project less than $10 million which may require a prebid meeting on the basis of affirmative action matters. Prebid meetings should not be scheduled on letting dates. Additionally it is desirable to avoid the two previous days, or at a minimum, the day before a scheduled letting. To meet the amendment deadline, the prebid meeting should be held approximately five weeks before the letting date. In order to provide bidders a reasonable amount of time to examine the bid documents and determine possible problem areas in the period between the date the bid documents are available and the pre-bid meeting, a six week ad is the minimum necessary. Although bidders will be advised to attend the prebid meeting at a specified Regional location, attendance is not a mandatory prerequisite to submitting a bid. However, attendance at prebid meetings will be viewed as an element of good faith for the purpose of clarifying D/M/WBE issues. An agenda for a prebid meeting may include a brief project description and a discussion of: 1. Unusual construction features. 2. Environmental concerns (such as protected wetlands), and special commitments included in the Design Approval Document. 3. Additional approvals, permits or requirements by other agencies or groups. 4. Special utility involvements. 5. Special notes or specifications. 6. Work Zone Traffic Control requirements. 7. Schedule conditions (incentive/disincentive clauses, etc.). 8. D/M/WBE goals and other required contract provisions. 9. ROW availability. The Regional Design Engineer will notify the different Departmental organizations, and consultants, if appropriate, who have an interest in, or are requested to participate in the prebid meeting. At the meeting, all contractors will be required to enter their name, title, and function onto an attendance sheet that notes: The contractors attendance at this prebid meeting is not a substitute for compliance with Article 3 of the Standard Form Agreement. This Article requires, among other things, the bidder s careful examination of the contract documents, the site of the proposed work as well as its surrounding territory, and all of the conditions affecting the work to be done as specified in the contract documents. The meeting attendance record will be considered part of the contract records. There will be no formal transcript of the meeting proceedings, but notes or recordings may be kept for internal Department use.

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The Regional Design Engineer will designate the individual responsible for conducting a prebid meeting. Care must be taken in prebid meetings to avoid off-the-cuff interpretations which could contradict and vary from the terms required by the contract or make interpretations without the benefit of a normal detailed review. Oral responses by Department personnel should be in conformance with specification requirements. If, as a result of the prebid meeting, any clarification of the specifications is warranted, it will be incorporated into an amendment (assuming there is time to meet the amendment deadline) and sent to all prospective bidders. If there is not time to issue an amendment, consideration should be given to postponing the letting.

B.9 Federal Aid Procedure For Federal Aid projects, state if FHWA approval of the PS&E is necessary. This determination should be based on the Design Related Approval Matrix, provided as Exhibit 4-2 in the Project Development Manual. In addition, reference the approval status of any proprietary specifications shown on the Status of Special Specifications Table. Also reference any approvals associated with the use of salvaged materials (See Section 21.4.1.2 D). For projects that require FHWA PS&E approval, the designer must also submit the computations performed to estimate the cost and quantity for lump sum items, and work sheets used to calculate utility betterment participation, if applicable.

B.10 Design Approval State the type of Design Approval Document used, the date of design approval, and who granted design approval. List any non-standard feature approvals since design approval was granted.

B.11 Priority Award State if a priority award is being requested, and if so, state why. A priority award refers to shortening the duration between project letting and award. The duration is reduced from the usual 45 days maximum to 22 days maximum. (Reference Manual of Administrative Procedures, Code 7.1-7).

B.12 Newspaper Advertisement Length Indicate the desired advertisement length. The length of contract advertisement must provide enough time for bidders and suppliers to determine estimated costs of the work to be performed. Guidance regarding advertisement durations is provided in Table 21-10 below. Cost alone may not be an appropriate guide for determining an ad length. For example, a 4-week advertisement may be appropriate for a 10 mile freeway resurfacing contract with an engineers estimate over $5,000,000, since it may not be substantially more difficult to estimate than a similar project half as long and less expensive. Conversely, an increase in the recommended advertisement duration may be appropriate for complex projects and projects requiring special trade expertise.

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Table 21-10 Recommended Newspaper Advertisement Lengths News Ad Length (weeks) 6 or more Project Parameters

Engineers estimate over $10 M. Complex projects (e.g., unusual designs, alternate bridge designs, traffic control plans consisting of several stages). Projects with pre-bid meetings (see B.8) Engineers estimate of $5 M to $10 M. Recommended ad length for engineers estimates under $5 M. Approved by Regional Director. Limited to small, noncomplex projects or projects initiated as a result of an emergency. Rare. See note below for special requirements.

5 4 3 Less than 3

Note. Projects with News Ad lengths of less than 3 weeks require special handling due to a legal requirement that contract notices be published in the New York State Contract Reporter a minimum of 15 business days prior to the date the bid is due. In addition, if the project requires FHWA PS&E approval, the FHWA has approval authority over proposed News Ad lengths of less than 3 weeks (reference 23CFR635.112 Advertising for Bids). DQABs PS&E Section should be consulted prior to proposing a News Ad length of less than 3 weeks.

B.13 Prerequisites to Advertisement Right-of-way, environmental determinations, permits, approvals, resolutions, and agreements (i.e., state-railroad force account, municipal, utility) should be finalized or obtained prior to advertisement. If any of these activities are not completed at the time of PS&E submission to DQAB, the Region shall address the status of these activities in the PS&E Transmittal Memo.

B.13.a Right of way (ROW) State that the ROW Clearance Certificate (ROW 9-14A) has been posted. In general, the ROW Clearance Certificate is prepared by the Regional Right of Way Group and provided to the Regional Functional Group preparing the PS&E Transmittal Memo (Reference - Office of Right of Way Instruction Manual Instruction A02-17 Certification of Right of Way Clearance for Capital Projects and the Project Development Manual Phase VI steps). If item (c) of the ROW Clearance Certificate is checked, the Acquisition and Clearance Status Report (ROW 9-15A) should accompany the ROW Clearance Certificate, as provided by the Regional Right of Way Group.

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If item (d) of the ROW Clearance Certificate is checked, it is indicative that necessary property will not be acquired and cleared prior to project advertisement. In these rare situations, called projections, the Acquisition and Clearance Status Report (ROW 9-15A) and Special Note Availability of ROW (ROW 9-16A) should accompany the ROW Clearance Certificate, as provided by the Regional Right of Way Group. In addition, the Regional Functional Group preparing the PS&E Transmittal Memo is responsible for preparing an engineering justification to proceed to advertisement, letting & award without having all of the right of way necessary for the project; and a contract plan sheet showing the projected area(s) with expected date(s) of availability(s). This is in accordance with Office of Right of Way Instruction A02-1-08 Projection of Right of Way on Capital Projects.

B.13.b Environmental Issues 1. National Environmental Policy Act (NEPA) - For federally funded projects, state which one of the following types of environmental determination has been made, the date of the determination, and who (i.e., NYSDOT Regional Director, FHWA, Thruway Authority, etc.) made the determination. A. Class II Project (Categorical Exclusion). Also state the type (automatic, programmatic, or categorical exclusion with documentation). B. Class III project (Finding of No Significant Impact (FONSI)). Processed with an Environmental Assessment (EA). C. Class I project (Record of Decision (ROD). Processed with an Environmental Impact Statement (EIS). For those projects subject to reevaluation, state the date that the reevaluation was made. 2. State Environmental Quality Review Act (SEQR) - For all projects, state the SEQR Type and environmental determination, the date of the determination, and who within the Region made the determination. A. Exempt not subject to SEQR B. Type II projects No Significant Effect. C. Non-Type II projects processed with an Environmental Assessment Determination of No Significant Effect (DONSE) (i.e., Negative Declaration). D. Non-Type II projects processed with an EIS - Record of Decision. 3. Environmental Permits/Approvals - List all environmental permits/approvals required for the project and their status.

B.13.c Statewide Transportation Improvement Program (STIP)/ Transportation Improvement Program (TIP) - State whether or not the project is on the STIP (and TIP, for projects under the jurisdiction of a local Metropolitan Planning Organization), and if the STIP (and TIP, if

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applicable) needs to be amended. This information should be obtained from the Regional Planning and Program Management Group.

B.13.d Resolutions/Agreements List all municipal resolutions and agreements required for the project, and the status of their transmittal to DQABs PS&E Section.

B.13.e Utility Involvement. List affected utilities and give an indication of the status of any pending agreements and other contract provisions (i.e., betterments) which have an influence on the contract award. State that a final Utilities Inventory (Form HC 203) has been submitted directly to the Design Support Services Section of DQAB by the Regional Utilities Engineer.

B.13.f Railroads. State whether or not a railroad exists within the contract limits. If a state railroad agreement is necessary, indicate the current status and anticipated completion date. B.14 Disadvantaged/Minority/Womens Business Enterprise Goals For projects funded wholly or partially with any amount of federal funds, provide the appropriate Contract Group Type # and corresponding Disadvantaged Business Enterprise (DBE) Goal for the project, and indicate if a change to the Departments assigned goal is being requested (see discussion below). The Procedural Steps for Setting DBE Goals, Table of Construction Contract Groups, Table of Region/County breakdown, and Table of DBE Goals for Construction Contracts are available through the Chapter 21 website. For 100% state-funded projects, provide the appropriate Contract Group Type # and corresponding Minority Business Enterprise (MBE) and Womens Business Enterprise (WBE) goals for the project. Indicate if a change to the Departments assigned goals are being requested (see discussion below). As with DBE goals, the procedural steps and tables for M/WBE goals are available through the Chapter 21 website. Requesting a Change to Assigned Goal(s) The Region may request a change (increase, decrease, or waiver) to the assigned goal(s). For projects which are of a specialized nature, with only a few pay items, that could result in limited opportunities for D/M/WBE sub-contracting participation, a waiver or decrease to the goal(s) shown may be requested. Changes to the assigned goal(s) may also be requested on an exception basis if the project is the result of significant public interest such as health or safety, or if there are other extenuating circumstances. Conversely, the Region or Office of Civil Rights may have an interest in increasing D/M/WBE participation on any given project.

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In the interest of expediting processing, designers should consult with the Regional Compliance Specialist in the Regional Construction Groups Civil Rigths Unit to get their advice and recommendation on the proposed goal(s) prior to submitting the PS&E. Questions regarding the appropriateness of goals may also be referred directly to the Office of Civil Rights. Changes in the Departments assigned goals must be initiated using form HC-258, Request for Change in Goal(s). The signed form should be posted with the PS&E materials. The specific reason(s) for the request must be stated on the signed form. DQABs PS&E Section will coordinate the review of the Request for Change in Goal(s) with the Office of Construction and the Office of Civil Rights. The request will be approved, modified, or denied after both Offices have reviewed the request. The PS&E Section will inform the Region of the decision and resultant goal(s).

B.15 Incomplete Items State what's needed to complete the PS&E package (e.g., indicate whether special specifications require approval, resolutions/agreements are pending, materials are to be submitted at a later date, etc.). Failure to finalize items 13a through 13f may delay proceeding to advertisement, letting, and award because these items are considered prerequisites to those activities. Proceeding to advertisement, letting, and award without completing items 13a through 13f puts the Department at risk, and may result in contractor delay claims and/or violations of law if an award is made. Therefore, it is imperative that any of these activities which are not finalized are followed up on by the Region. The project may need to be delayed/postponed, or amended to include appropriate special notes.

B.16 Contact Persons List the names and telephone numbers of a primary and secondary contact for the PS&E Submission, as well as the Program Area (e.g., Regional Design Group) responsible for the PS&E. The primary contact person and telephone number will be listed as the Regional Contact for project-related technical questions or comments on page 1 of the contract proposal.

B.17 Regional Planning and Program Management. The designer should obtain the RPPMs signature prior to forwarding the PS&E Transmittal Memo to the Regional Directors office. The RPPMs signature assures the Regional Director that the project is consistent with the Regions program.

21.9.3 Changes After PS&E Submittal If it is discovered during the preparation of the PS&E that changes will be required, the PS&E

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should be held and revised in order to avoid changes after PS&E submission. If such changes cannot be avoided or are not discovered until after PS&E submission, they must be coordinated through the PS&E Section (dot.dl.PSE.Section, if the project is not yet assigned to a Reviewer) or directly through the Reviewer assigned to the project (see Regional PS&E Submission Reports on the PS&E Sections Intradot site to see if a Reviewer has been assigned to the project). Changes after PS&E submission may require preparation of an amendment, as discussed in the following Section and in consultation with the Reviewer. All changes after PS&E submission, regardless of whether or not an amendment is required, shall be submitted to the PS&E Section by posting the files to the Bid Documents directory on the P Drive at: P:\Toolbox\Documents & Resources\Bid Documents\Mailbox\To Dqab Changes after PS&E submission should NOT be placed in the PS&E Transmittals folder on the P drive. 21.10 AMENDMENTS An amendment is a formal alteration of a proposed contract by addition, deletion, or modification, issued subsequent to the publication of bid documents and prior to the opening of bids. Changes to the contract documents that arise shortly after PS&E submittal may be able to be incorporated without an amendment. The assigned Reviewer in DQABs PS&E Section should be contacted to make this determination. The following items discuss when an amendment is, and is not, warranted. If an amendment is not warranted, the project should proceed to letting and award as advertised. 1. When errors are discovered in quantity computations, an amendment request should be prepared and submitted if the changes meet either of the following criteria: Any item quantity change with a magnitude of 20%, either plus or minus. Any item quantity change where the change, either plus or minus, multiplied by the estimated unit price, changes the total engineers estimate by more than 1%. 2. Amendment requests to add entire segments of work to a project should be avoided. The Region should request that the submitted project be returned, so that it may be redesigned to include the additional work. 3. Changes that are significant enough to warrant an amendment should not be deliberately deferred for inclusion by order-on-contract. They should be incorporated by amendment.

21.10.1 Deadlines Amendment requests shall be submitted to DQABs PS&E Section by the amendment deadline noted in the Departments highway letting schedule, available on the PS&E Sections Intradot page. As noted on the letting schedule, the amendment deadline varies with the magnitude of the changes to the contract documents; minor changes require less time to process and digest

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than extensive changes. Extensive changes and minor changes (defined below) which cannot be submitted by the published amendment deadline should be coordinated with DQABs PS&E Section on a case-by-case basis. Extensive and minor changes are defined as follows: Changes are considered extensive when the cumulative effect of modifications to the contract documents meet or exceed the following thresholds: 1. Addition, deletion and / or replacement equal to or exceeding 20% or 25 sheets of the contract plans; or 2. Addition, deletion and / or replacement equal to or exceeding 20% or 25 pages of the contract proposal; or 3. Pay item quantity changes equal to or exceeding 20% or 25 pay items, or resulting in a cost change of $250,000 or 10% of the engineers estimate at PS&E; or 4. Any addition, deletion or replacement of special contract provisions (e.g., A+B Bidding, Incentive/Disincentive Specifications, Lane Rental, Night Time Construction, etc.). Changes are considered minor when they do not meet any of the thresholds defined above. Minor changes can be reasonably processed and digested by prospective bidders in the time available. Postponement of a project to accommodate amendments should be considered when time is limited and a significant effort will be required for prospective bidders to account for the changes in their bids. If the situation is serious enough to warrant a postponement of the project, a postponement request and explanation must be submitted (e-mail is acceptable), by the Regional Director or his/her designee, to the Project Management Bureau as soon as possible prior to the scheduled letting date. Copies of the official postponement letter will be forwarded to all involved Department Units.

21.10.2 Format and Submittal Prior to preparing the amendment request, Designers should contact the PS&E Section Reviewer assigned to the project. (The reviewer assigned to the project can be determined by viewing the Regional PS&E Submission Report for the appropriate Region from the PS&E Sections Intradot page.) The Reviewer may be able to offer guidance to streamline the amendment request submittal process. Amendment requests shall be submitted electronically, with .pdf files generated from native file formats whenever possible rather than scanned. Scanned files are larger than generated files, and scanned documents are not searchable. Best practices for scanning include setting the scanner for at least 300 LPI Resolution (600 LPI is best). It is recommended to conduct a test scan using BITMAP mode. If the quality is not acceptable, change to Grayscale Mode. RGB mode or any color scanning mode should be avoided.

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Amendment request submissions should consist of the following components, as applicable: Amendment plan sheets shall be submitted as individual portable document format (.pdf) files set for printing on 11 x 17 paper. Refer to Section 21.10.3. Amendment proposal pages (replacement and added) shall be submitted as a single .pdf file set for printing on 8 x 11 paper. Refer to Section 21.10.4. Pay item changes shall be prepared and submitted in table format as specified in Section 21.10.5. The Amendment Transmittal Memo shall be prepared as outlined in Section 21.10.6. An Amendment Body document, summarizing all changes in statement form and forming the basis of the amendment sent to all plan buyers, shall be prepared in accordance with Section 21.10.7. These components are described in further detail in the following pages. Amendment processing will not commence until the necessary components have been submitted. All amendment components shall be submitted to the DQAB, PS&E Section by posting the files to the Bid Documents directory on the P Drive at: P:\Toolbox\Documents & Resources\Bid Documents\Mailbox\To Dqab\Dnnnnnn, Where Dnnnnnn is the contract number for the individual project. After the submitting individual has placed the files in the appropriate folder, he/she must send a notification e-mail to the PS&E Section Reviewer assigned to the project, with a copy to the dot.dl.pse.section e-mail address. The Amendment Transmittal Memo should be attached to the notification e-mail. Please note that the Mailbox folder system is intended as a transfer directory only, and files will be periodically purged. Regional staff should be sure to save back-up copies to ProjectWise or another location. It is highly recommended that designers use the Amendment Generator files when preparing an amendment. The Amendment Generator files are available at the PS&E Sections Intradot site. The files include detailed instructions on preparing an amendment, as well as samples of the various tables and shells required to submit the amendment.

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21.10.3 Plan Sheets Guidance on amending plan sheets is as follows: Plan sheets are typically amended with the issuance of either replacement plan sheets or added plan sheets. A replacement sheet is issued when a revision of a previously submitted sheet is necessary. This replacement sheet will supersede the previously submitted sheet in its entirety. An added sheet shall be prepared and submitted when a new plan sheet that is not a revision of any previously submitted sheet is necessary. Plan sheets may also be deleted by amendment. When deleting a plan sheet from a contract, a replacement sheet is always needed. The submitted replacement sheet should have an X through the sheet with N.I.C. (not in contract) in large bold font. Amendment plan sheets should be submitted as individual .pdf files named: Dnnnnnn_A#_Plans_Sheet #.pdf Where Dnnnnnn is the contract number, A# is the amendment request number, and Sheet # is the amendment plan sheet number in accordance with the numbering convention explained in No. 6 below. For minor changes to plan sheets (for example adding a note, deleting a detail, etc.), Designers may be able to avoid the issuance of a replacement plan sheet by simply including a statement in the Amendment Body document (see Section 21.10.7). Example statements are provided below. - On Contract Plan sheet 20, add the following note: - On Contract Plan sheet 23, delete detail A. .

When replacing, adding, and/or deleting plan sheets, a table summarizing the changes shall be prepared and submitted with the amendment. A Word file (Changes to Plan Sheets.doc) containing a sample table is available in the Amendment Generator files. Replacement and added plan sheets should include a brief description of the revision/addition, so that the change(s) is readily discernible to prospective bidders. This table may be submitted as a file named Dnnnnnn_AR#_Changes to Plan Sheets.doc, or it may be submitted as part of the Amendment Body document (see Section 21.10.7). When submitting a replacement sheet, the following note shall be conspicuously placed in the upper right corner of the replacement sheet: THIS SHEET SUPERSEDES SHEET ____. When submitting an added sheet, the following note shall be conspicuously placed in the upper right corner of the added sheet.

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THIS SHEET DOES NOT SUPERSEDE ANY SHEET. Amendment plan sheets shall be numbered as described below:

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Replacement sheets. To replace (or to delete) sheet 42 of 272, the replacement plan sheet number should be 42A1. If more than one sheet is required to replace sheet 42, they should be numbered 42A1, 42A2, etc. Added sheets. To insert a sheet to supplement sheet 42 of 272, the added sheet should be numbered 42A1. If more than one sheet is required to be inserted in this section of the plans, they should be numbered 42A1, 42A2, etc. Added sheets that do not supplement any previously submitted sheet should be numbered 272A1, 272A2, etc. Replacing plan sheets from a previous amendment. To replace sheet 42A1 of 272, the replacement plan sheet number should be 42A2, and the note should indicate THIS SHEET SUPERSEDES SHEET 42A1.

When revisions to plan sheets affect pay items (e.g., changes in quantities, prices, etc.), the guidance in Section 21.10.5 should also be followed.

21.10.4 Proposal Pages Guidance on amending proposal pages is as follows: Proposal pages are also typically amended with the issuance of either replacement proposal pages or added proposal pages. Proposal pages may also be deleted by amendment. Replacement and added proposal pages should be accompanied by a brief description of the revision/addition, so that the change(s) is readily discernible to prospective bidders. Amendment proposal pages shall be numbered as described below: If a proposal page replaces another proposal page it would retain the original page number with the suffix A1. For example, if page 292 were to be replaced by a single page, the replacement page number would be 292A1. If more than one page is required to replace page 292, they will be numbered 292A1, 292A2, etc. Added proposal pages will be numbered to indicate the logical location where each page or group of pages would be inserted into the proposal. If three added pages logically followed after existing page 153, they would be numbered as 153A1, 153A2, and 153A3.

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Amendment proposal pages should be combined and submitted as a single .pdf file named: Dnnnnnn_A#_ProposalPages.pdf Where Dnnnnnn is the contract number and A# is the amendment request number. When revisions to proposal pages affect pay items (e.g., changes in quantities, etc.), the guidance in Section 21.10.5 should also be followed.

21.10.5 Pay Item Changes Changes by amendment to the estimate in Trnsport PES (including quantities, fixed prices, and schedule changes), require a new Expedite file to be created and posted to the internet so that plan holders may download and update their electronic bid. When such changes occur, a statement in the amendment will direct the recipients to the website to download the updated Expedite file. Pay items to be deleted, added, or modified (quantity or unit price changes, changes in share distribution) should be transmitted as discussed in Tables 11a through 11e below. The tables presented are formatted to reduce the potential for errors and to facilitate data entry into Trnsport PES. They should not be combined into one table. To assist with the preparation of the tables, an Excel worksheet (Pay Item Changes.xls) is available in the Amendment Generator files. Separate tabs titled DELETE, ADD, CHANGE (SAME SHARE), CHANGE (NEW SHARE), and UNIT PRICE CHANGES corresponding to Tables 21-11a thru 21 -11e on the following page are contained within the worksheet. Tables 21-11a thru 21-11e, as applicable, may be submitted as a single Excel file named: Dnnnnnn_A#_Pay Item Changes.xls

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Table 21-11a thru Table 21-11e - Summary of Pay Item Changes

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11a. Summarize pay item(s) to be deleted from the contract as follows: Item Unit of Total Quantity by Engineering Share No. Payment Estimated 1 2 3, etc. Quantity

11b. Summarize pay item(s) to be added to the contract as follows: Item Unit of Unit Total Quantity by Engineering Share No. Payment Price Estimated 1 2 3, etc. Quantity

11c. Summarize changes in quantities to pay items already in the contract (within the same engineering share(s) as follows: Item Unit of Total Estimated Quantity by Engineering Share(s)1,2,3 No. Payment Quantity Existing New 1 2 3, etc.

1. Indicate no change (i.e., NC), if no change has been made to the share
quantity from the original submission. 2. If deleting an item from a share, indicate this with (DEL). 3. Adding items already in the contract to additional shares is to be submitted in a separate table as noted in item 4 below. 11d. Summarize changes in quantities to pay items already in the contract (but not already in the engineering share(s) in question) as follows: Item Unit of Unit Total Quantity by Engineering Share No. Payment Price Estimated 1 2 3, etc. Quantity

11e. Summarize unit price changes to pay items as follows: Item Unit Unit Price Fixed Price Item No. (See Note 1) New Old

Min/Max Item (See Note 2)

1. 2.

Indicate if the item is a Fixed Price Item by placing an FP in this column. Indicate if the item is a Minimum or Maximum Item by placing either Min or Max in this column.

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21.10.6 Amendment Transmittal Memo The Amendment Transmittal Memo explains the rationale supporting the amendment request and provides a summary of the materials submitted. At a minimum, the following information should be provided in the memo: 1. Provide the PIN, letting date, contract number (i.e., D number), and amendment number. 2. State who initiated the amendment, how the amendment improves the quality of the PS&E submittal (e.g., corrects quantities, clarifies notes, etc.), and whether it includes extensive or minor changes. 3. List what is being transmitted. (File names and contents). Include the approval status of any Special Specifications to be added to the contract. 4. The directory to which the associated files have been posted. A Word file (Amendment Transmittal Memo.doc) containing a sample Amendment Transmittal Memo is available in the Amendment Generator files. The Amendment Transmittal Memo shall be submitted as a single Word file named: Dnnnnnn_A#_TransMemo.doc

21.10.7 Amendment Body Document The Amendment Body document communicates all the changes for a given amendment in statement form. The statements are presented in a particular order to aid the PS&E Section reviewer in preparing the final amendment. The Amendment Body document contains several types of estimate changes in tabular form. These tables are required in addition to the tables described in Section 21.10.5. The tables introduced in Section 21.10.5 were designed to facilitate accurate data entry into Trnsport PES. The tables included in the Amendment Body document are designed to convey information to the plan holders. A Word file (Amendment Body Document.doc) containing a sample Amendment Body document is available in the Amendment Generator files. The Amendment Body document shall be submitted as a single Microsoft Word file named: Dnnnnnn_A#_Body.doc Figure 21-5 on the following page contains a list of statements and the order in which they should appear in the Amendment Body document. This list is not all-inclusive, but does include the majority of statements that will appear in an amendment. Note that no single statement necessarily applies to all amendments.

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Figure 21-5 Amendment Body Document

1. The letting for this contract has been rescheduled to MONTH XX, 20XX, and an
amended Expedite file has been posted.

2.

Bidders are authorized to change the cover of the Contract Proposal to read LETTING OF MONTH XX, 20XX

3. On page one of the Contract Proposal, the COMPLETION DATE of MONTH XX, 20XX
has been changed to MONTH XX, 20XX. Bidders are authorized to change page one to read MONTH XX, 20XX.

4. Delete the following items:

ITEM NO. UNIT QUANTITY CONTRACT PROPOSAL PAGE

The Bidder shall not enter a bid for these items. He/she shall CROSS OUT the above items now shown in the Contract Proposal. If the Bidder fails to make these changes, the Department will do so and adjust the TOTAL BID accordingly. Delete all other references to the above items in the Contract Plans and Contract Proposal.

5. Change the ESTIMATE QUANTITIES for the following items:

ITEM NO. UNIT QUANTITY

The Bidder shall CROSS OUT the ESTIMATE QUANTITIES for the above items now shown in the Contract Proposal and SUBSTITUTE the above quantities for the appropriate item with the bid based on the above quantities. If the Bidder fails to make these changes, the Department will do so and adjust the AMOUNT BID and the TOTAL BID accordingly.

Figure 21-5 Continued on following page

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Figure 21-5 Amendment Body Document, continued

6. The Pay Items listed below are hereby added to the Contract Proposal.

Special Specifications are attached for items marked with an asterisk. BE SURE TO RETURN PAGES _________ WITH YOUR BID. PAY ITEMS

7. In the Contract Proposal on page ____, Item XXXX.XXXX, change the Fixed Price
Amount Bid to $ ______.

8. Wherever in the Contract Plans or Proposal the old item listed below appears, the new
item shall apply. OLD ITEM NEW ITEM

8. Plan sheet deletions/additions/replacements are summarized in the following table: Old Plan Sheet # (Replaced or Deleted Sheets Only) New Plan Sheet # Dwg. # Description of Changes

9. Proposal page deletions/additions/replacements are summarized as follows: 10. Continue with additional statements to explain changes as necessary. PLEASE BE GOVERNED ACCORDINGLY WHEN SUBMITTING BIDS.

21.11 PREBID QUESTIONS During the period between advertisement and letting for a project, Department employees may be asked questions by prospective bidders, subcontractors, or suppliers. It is imperative that prospective bidders receive consistent information on which to base their bids. The contract documents indicate that all communications regarding advertised projects are to be channeled through the Contract Management Bureau, except for project-related technical questions or

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21-125

comments which may be directed to the Regional Contact listed on Page 1 of each proposal (the Regional Contact listed in the proposal will be the same individual as the Primary Contact provided in Item 16 of the PS&E Transmittal Memo). Any inquiries received by Department employees should be referred to either the listed Regional Contact or the Contract Management Bureau. The Regional Contact may respond to technical inquiries informally over the telephone, as long as he or she has determined that the response will not provide the caller a competitive advantage over other prospective bidders. In all other circumstances, the Regional Contact should record the callers name, number, and inquiry and indicate that they will return the call upon reviewing the inquiry. The Regional Contact should then determine whether the question or inquiry is a result of significant error or ambiguity in the bidding documents which requires formal clarification prior to the bid opening. If the Region determines that the inquiry requires formal clarification, the Regional Contact should return the call and indicate that an amendment to the contract documents is necessary. They shall then coordinate the preparation and issuance of an amen dment with the DQABs PS&E Section. If the deadline for amendments has passed and the revision is essential to secure valid bids, the Regional Contact should coordinate a postponement of the project letting through their RPPMs office, in order to provide sufficient time for the amendment to be issued and reviewed by bidders. It should be noted that all published amendments, including postponements, are available on the Departments internet site. If the Region determines that the inquiry does not require formal clarification, the Regional Contact should return the call and indicate that the particular issue raised does not warrant an amendment to the contract documents, and the prospective bidder should prepare their bid based on the information in the contract documents.

21.12 PROJECT LETTING AND RE-LETTING Project letting is the process by which bids are received, opened and publicly read, and apparent low bidders for each project are determined. After bids have been verified by the Contract Management Bureau (CMB), the Regional Director is notified of the letting (or bidding) results. For each project, the Regional Director then requests that Regional Design or Regional Construction make a recommendation to him for award or rejection of bids. Bids may be rejected for various reasons, for example: lack of bidders, bids are too high, bids are unbalanced, or the low bidder lacks sufficient experience, capacity, or resources for the work. Additional reasons for rejecting bids may include lack of proper permits (environmental or regulatory), lack of a railroad agreement, lack of funding, or quantity changes discovered during the bid review process which result in a change in the low bidder. The Region may reach out informally to the staff-level Contract Review Unit (CRU) when weighing whether or not to recommend rejection of bids. This outreach should be conducted through the Office of Construction. Intent to reject bids comes from the Regional Director and

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_____ ___CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE

shall be transmitted by memorandum to the Director of the Office of Construction explicitly stating the reasons for the recommendation. The staff-level CRU will evaluate the recommendation to ensure it is supported in a reasonable, factual, and verifiable way. At this point, the following steps, which are described to provide the project manager with an overview of the process and facilitate their monitoring of project activities, will take place: 1. The Director of the Office of Construction will prepare a memorandum to the Chief Engineer and Chief Counsel requesting concurrence to reject bids. Their sign-off signifies executive-level CRU concurrence. 2. When concurrence from the executive-level CRU has been received, the Office of Construction will notify the CMB by memorandum, and the CMB will issue an announcement stating that all bids have been rejected. (For projects requiring FHWA PS&E approval, CMB will request concurrence from FHWA to reject all bids. After concurrence from FHWA is received, CMB will issue an announcement to reject all bids.) At this time, DQAB will return the project to the Region for further action. 3. If the Region decides to re-let the project, the Regional Functional Group (e.g., Regional Design) reviews the bid documents to determine what changes are required to the project prior to PS&E re-submission, and then coordinates a new PS&E submittal date and letting date with the Regional Planning and Program Management Group. A new contract D number will be required. 4. The Regional Functional Group (e.g., Regional Design) prepares a new PS&E package and re-submits the PS&E in accordance with Section 21.9 of this Chapter. 5. The Main Office proceeds to advertise, let, and award the project.

21.13 DESIGN DATA TO BE SUPPLIED TO CONSTRUCTION Prior to the project letting date, the Project Manager and Designer will prepare the Handoff Memo to the Engineer-in-Charge (EIC). This memo is intended to provide for the transfer of project information from Design to Construction, who will now have the lead in delivering the project. The Handoff Memo will be sent to the EIC before the pre-construction meeting, with an electronic copy to the Construction Supervisor, the Design Supervisor, the Landscape Architecture/Environmental Science (LAES) job manager, the Work Zone Traffic Control representative and the Design Quality Control Engineer. Others may be included as electronic ccs, as applicable. The Project Manager will update the stakeholder contacts list just prior to the handoff to construction. The Handoff Memo to the Engineer-in-Charge includes conveyance of the following as appropriate for the project:

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A. The intent of the contract (i.e. what problems it is correcting). B. Supplemental Information Available to Bidders (see Section 21.8 of this Chapter). C. Additional Documents placed in the ProjectWise Construction Folder. If information listed on the Supplemental Information Available to Bidders Form exists, but was not provided to bidders, it should now be made available to Construction. A copy of the Engineers Estimate Book shall always be provided. D. Any special issues or concerns discovered. E. Status of Permission to Perform Work on Private Land for any work releases that are needed for the project. F. Commitments made to property owners or local government officials. Include their names and contact info on the Stakeholder List. G. Project Stakeholder Information (for all affected parties, i.e. emergency services, schools, public transit, local government officials, contacts for permits received for the project etc.). H. Identify any locations where construction is anticipated to be complex. I. Status of Restricted Highways located within the contract. J. Other information that the designer or the Project Manager feels is appropriate. An example Handoff Memo to the Engineer-in-Charge is provided as a template and should be altered to convey the information required for a particular project. In addition to the Handoff Memo, a site walk through with the EIC is helpful and encouraged. A site walk through provides additional opportunity for communicating details of the project, as well as establishing relationships for continued coordination throughout construction. At this point in the project development process, the Regional Design Group shall request the ProjectWise Data Manager to archive all electronic project design data for the project located in ProjectWise. In accordance with Section 20.4 of Chapter 20 of the HDM (see HDM Chapter 20), and Project Development Manual Appendix 14, the Regional Design Group shall work with the Projectwise Data Manager to create the necessary folders for use by Construction, and provide the Regional Construction Group with the appropriate access to data in those folders. Files supplied which are Supplemental Information Available to Bidders (see Section 21.8 of this Chapter) should be placed in a subfolder to the Construction Folder called Supplemental Information Available to Bidders. Guidance pertaining to the construction folder structure and file naming convention is provided in Project Development Manual Appendix 14. (see PDM App. 14).

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____________________________APPENDIX A 21-A1 PS&E PREPARATION FOR BUILDINGS ON STATE FINANCED CONTRACTS

21A.1 INTRODUCTION This section provides guidance regarding PS&E preparation of state-administered contracts that include the erection, construction or alteration of buildings for the state. It is noted that provisions similar to those contained in Section 135 of the State Finance Law, as described below, exist under the General Municipal Law and must be considered for locallyadministered contracts. Also, buildings that will be constructed or altered on locallyadministered contracts should comply with any local building codes and requirements. This section also provides guidance on initiating the necessary construction permit application process with the New York State Office of General Services (OGS). OGS is a code permitting agency employed to permit and inspect work at NYSDOT facilities.

21A.2 SECTION 135 OF THE STATE FINANCE LAW AND WHAT IT MEANS TO PS&E SUBMITTALS Section 135 of the State Finance Law requires separate and independent bidding on three subdivisions of work for projects including the construction or alteration of buildings with total costs exceeding certain cost thresholds. This results in the need for separate contracts for: (1) general building construction; (2) plumbing and gas fitting; (3) heating, ventilating and air conditioning; and (4) electrical work; when constructing (or altering) buildings for the state. Separate contracts are required when the estimated total cost of all of the work exceeds: 1. 2. 3. $3M in Bronx, Kings, New York, Queens, and Richmond Counties $1.5M in Nassau, Suffolk, and Westchester Counties $500,000 in all other counties.

Section 135 of the State Finance Law creates unique challenges in contract document preparation and contract administration for projects including comfort stations, parking garages, toll plazas, or other buildings where the total estimate exceeds these cost thresholds. Instead of one contractor on the site, who is responsible for all the work to be performed, there could be as many as four or five contractors a highway contractor, a general construction contractor, and up to three additional contractors who specialize in the subdivisions of work listed above. For such projects, it is necessary that the following guidelines be used: 1. If the project includes highway work, the general building construction work may be included in the prime highway construction contract, or it can be set up as a separate contract. 2. All contracts general construction and each of the applicable specialties shall be let on the same date. This will permit the specialty contractors to order materials early and plan their work. All contracts shall also have the same completion date. 3. The general construction contractor and the specialty contractors shall be required to

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____________________________APPENDIX A 21-A1 PS&E PREPARATION FOR BUILDINGS ON STATE FINANCED CONTRACTS

prepare a work plan in accordance with the special note titled "Relationships Between General Building Contractor and Specialty Contractors". This special note is illustrated in Section 21A.4 and shall be provided in each contract. 4. The PS&E submission for each of the four contracts shall be in accordance with Section 21.9 of the HDM. Plans, specifications, and an estimate shall be provided for each separate contract and shall contain only the work requirements for that contract. The plans and proposal materials shall include any details and notes necessary for each contractor to properly bid and coordinate their work with the other contractors. Care should be taken to make sure that all necessary work is included in the appropriate contractors plans and specifications and that no work is duplicated in the plans and specifications of others. For projects including the erection, construction, or alteration of buildings with total costs not exceeding the above cost thresholds, separate contracts are not required. However, the bidder shall submit, with his bid, a sealed envelope (sent separately by mail, if using Bid Express) containing the names of each specialty subcontractor and the agreed-upon amount to be paid to each specialty subcontractor, in accordance with the special note titled Listing of Specialty Contractors. This special note is illustrated in Section 21A.4 and shall be included in the project proposal.

21A.3 INITIATING CONSTRUCTION PERMIT APPLICATION PRIOR TO PS&E SUBMITTAL This section provides guidance on initiating the necessary permit application process. Buildings that will be owned and/or operated by a New York State Agency require a construction permit issued through the NYS Office of General Services (OGS). Time frames for the permit process should be anticipated and included in the project schedule. Early in Final Design, an OGS REQUEST FOR SERVICES and CONSTRUCTION PERMIT APPLICATION should be prepared and submitted to the OGS (see form for contact information). In addition, the designer should: Provide a copy of the completed form to the designated NYSDOT Contact for OGS Services on NYSDOT Capital Projects (in the Facilities Section in the Maintenance Program Planning Bureau). Provide additional information to the designated NYSDOT Contact for OGS Services upon request; so that the Contact can determine the appropriate arrangements for billing. Request the Cost Center, Variable, Year, and Object Code for the project from the Transportation Budgeting Bureau (TBB); and provide this information to the designated NYSDOT Contact for OGS Services.

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21-A2_______________________APPENDIX A PS&E PREPARATION FOR BUILDINGS ON STATE FINANCED CONTRACTS

The OGS staff assigned to the project will contact the Department employee listed on the REQUEST FOR SERVICES form for copies of the drawings to review. It should be noted that OGS has been requesting full sized plan sheets for performing their compliance review needed to issue the construction permit. It is recommended that the documents needed for the compliance review be discussed with OGS in advance to avoid any problems with the compliance review schedule.

21A.4 EXAMPLE SPECIAL NOTES For projects including the construction or alteration of buildings with total costs exceeding the cost thresholds presented in Section 21A.2, the special note titled "Relationships Between General Building Contractor and Specialty Contractors" is to be included in the proposal materials. For projects including the construction or alteration of buildings with total costs not exceeding the cost thresholds presented in Section 21A.2, the special note titled Listing of Specialty Contractors is to be included in the proposal materials.

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____________________________APPENDIX A 21-A3 PS&E PREPARATION FOR BUILDINGS ON STATE FINANCED CONTRACTS

SPECIAL NOTE Relationships Between General Building Contractor and Specialty Contractors This building is to be constructed under more than one contract. In addition to the general construction contract, there will be one or more specialty contracts for the following special types of work: 1. Plumbing and gas fitting 2. Steam heating, hot water heating, ventilating, and air conditioning apparatus 3. Electrical wiring and standard illuminating fixtures Therefore, each contractor will not have exclusive occupancy of the area within or adjacent to the building site. The general construction contractor and the specialty contractors will be required to coordinate their work schedules to ensure the orderly and timely progression of the work. Their respective operations shall be arranged and conducted so that delays will be avoided and the work will be performed in an efficient and workmanlike manner. The general construction contractor and the specialty contractors shall prepare a work plan as hereinafter described, for the express purpose of providing a means for the Engineer to coordinate and monitor the activities of all the contractors. As soon as possible after the opening of bids, the Department shall schedule a preaward conference with all of the contractors for the purpose of discussing their work schedules and establishing a work plan that is acceptable to all. The work plan shall be a coordinated progress schedule, in graphic format to a suitable scale. It shall include the time of performance and completion date for each significant activity. After the general construction contractor and the specialty contractors have developed a work plan that is agreeable to all contractors, the general construction contractor will furnish the Department with six copies signed by all the contractors. If such a work plan is not submitted within 25 days of the bid opening, the Department reserves the right to establish a reasonable work plan which will be binding on all the contractors, to reject all bids, or to take any other action which the Department deems to be in the best interest of the State. Each contractor shall progress its own activities so as to permit the other contractors to complete their work in accordance with the work plan. Each contractor shall notify the Engineer when each significant activity is completed and of any delay to its operations by any other contractor. The Engineer shall inspect such work, and if it is satisfactory, the Engineer shall document this fact, and advise the contractor. If a contractor's work is not completed to the satisfaction of the Engineer, the contractor shall perform any additional work required to allow the next contract activity to start. Should the work plan become obsolete, the Engineer shall notify the general construction contractor to meet with the other specialty contractors in order that they provide an acceptable, updated coordinated progress schedule.

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21-A4_______________________APPENDIX A PS&E PREPARATION FOR BUILDINGS ON STATE FINANCED CONTRACTS

SPECIAL NOTE Relationships Between General Building Contractor and Specialty Contractors (continued) The State cannot guarantee the responsibility, efficiency, unimpeded operations or performance of any contractor. The State shall not be held responsible or be in any way liable for damages or delays caused to any contractor in the performance of his/herwork, by reason of another contractor's acts or omissions, or by reason of another contractor's default in performance. Any affected contractor shall look to the offending contractor or contractors in order to recover any resulting damages caused thereby, and the State shall be held harmless from any liability arising by reason of such delays, acts, omissions, or default. Liquidated damages shall be assessed for each calendar day that any work shall remain uncompleted after the completion date provided for in all contracts, provided that due account shall be taken of any extension of time granted by the Commissioner of Transportation. The liquidated damages for each contractor will be established at the daily rate listed in Table 108-1 of Section 108-03 (B) of the Standard Specifications. In addition to liquidated damages, engineering charges shall be assessed as provided for in Section 108-03 (A) of the Standard Specifications. The number of days of liquidated damages and engineering charges levied against each contractor will be dependent upon how much the late completion of that contractor's activities contributes to the total delay in completing the contract. No separate payment will be made for any of the work required in this Special Note. The cost of such work, including but not limited to the costs of attending coordination meetings and preparing coordinated progress schedules, shall be included in the price bid for the various items of the respective contracts.

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____________________________APPENDIX A 21-A5 PS&E PREPARATION FOR BUILDINGS ON STATE FINANCED CONTRACTS

SPECIAL NOTE Listing of Specialty Contractors The bidder shall submit, with its bid, a separate sealed list that names each subcontractor that the bidder will use to perform work on the contract, and the agreed-upon amount to be paid to each subcontractor for (1) plumbing and gas fitting; (2) heating, ventilating and air conditioning; and (3) electrical work. Bidders submitting bids through BidExpress must submit the sealed list to the NYSDOT Contract Management Bureau at the address on the cover of this proposal prior to the bid opening. After the low bid is announced, the sealed list of subcontractors submitted with such low bid shall be opened and the names of such subcontractors shall be announced. Thereafter, any change of subcontractor or agreed-upon amount to be paid to each shall require the approval of the public owner and may only be changed after award based on legitimate construction need as determined by the State. Legitimate construction need shall include, but shall not be limited to, a change in project specifications, a change in construction material costs, a change to subcontractor status as determined pursuant to paragraph (e) of subdivision two of section two hundred twenty-two of the labor law, or where the subcontractor has become otherwise unwilling, unable or unavailable to perform the subcontract. The sealed lists of subcontractors submitted by all other bidders shall be returned to them unopened after contract award.

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___________________________APPENDIX B B-1 CONSTRUCTION CONTRACT NUMBERS AND STATE HIGHWAY NUMBERS

21B.1 INTRODUCTION This appendix documents past and current practices associated with the assignment of construction contract numbers and state highway numbers. 21B.2 PAST PRACTICE Prior to 1940, State Highway (SH) numbers and construction contract numbers were the same for any given project. SH1 through SH 1965 were highways built as county highways and subsequently taken over by the State. SH 5000 series were highways built without federal aid and SH 8000 series were highways built with federal aid. SH 9000 series were special highways and takeovers of existing highways; the 9000 series is still being used. Problems with the numbering system began to arise when the SH 8000 series began to approach 9000, and as roads which were previously constructed as State Highways were reconstructed and the reconstruction series overlapped increasingly over the SH series. The solution decided upon in 1940 was to use the letters FA to represent federally aided contracts, an SH series to represent new State Highways and their corresponding contracts, and an RC series to represent reconstruction contracts. The SH and RC were followed by the year the contract was let and a sequence number. Subsequent to 1940 this system was modified and expanded to include a wide variety of funding types, laws, systems, arterials, and work types. In 1975-76, the Department began logically differentiating State Highway numbers from construction contract numbers, as the State Highway number is intended to represent a physical segment of road that is owned by the Department or another State Agency, and the construction contract number is intended to identify the construction contract. This change did not affect State Highway numbers or construction contract numbers assigned prior to 1975. 21B.2.1 Construction Contract Numbers The Department began the practice of using the Audit and Control account number as the construction contract number (for example, D95201). The Audit and Control account number changed from a 5-digit number to a 6-digit number in 1981. The words Federal Aid were placed beneath the contract number on the proposal cover of federally-funded projects to indicate federal participation. The federal aid project number was listed on the plans and in the proposal as it had been prior to 1976.

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B-2

APPENDIX B CONSTRUCTION CONTRACT NUMBERS AND STATE HIGHWAY NUMBERS

21B.2.2 State Highway Numbers New highways constructed and owned by the State were assigned a sequence number based on the year in which the construction contract for it was let. New highways for which the Department had jurisdiction were prefaced by an SH (e.g. SH 76-1). New highways for which the Department did not have jurisdiction were designated as original construction and prefaced by an OC (e.g. OC 76-2). The State Highway number appeared in the title description of the proposed construction contract plans and proposal. Facilities not owned by the State used the identifying label supplied by the County, City or other owner. 21B.3 CURRENT PRACTICE Current practice for assigning construction contract numbers and state highway numbers is as follows: 21B.3.1 Construction Contract Numbers The construction contract number is assigned by DQAB at the time of the PS&E Submittal. The contract number is is 6 digits preceded by a D, for example D259001. Construction contract numbers are assigned in sequential order. The listing of the federal aid project number on the plans and proposal was discontinued at the end of 2002. 21B.3.2 State Highway Numbers New highways constructed and owned by the State will be assigned a sequence number by DQAB based on the year that Design Approval was granted prefaced by SH (for example, SH 2000-1). The State Highway number will appear in the title description of the proposed construction contract plans and proposal. Facilities not owned by the State should use the identifying label supplied by the County, City or other owner. As mentioned previously, special highways and takeovers of existing highways will be assigned numbers in the SH 9000 series. These numbers are assigned by the Operations Division by Official Order in accordance with M.A.P. 2.5-1-1.

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HIGHWAY DESIGN MANUAL

Chapter 22 Engineering Software Settings and Resources

Revision 54

November 10, 2008

This page is intentionally blank.

CHAPTER 22 ENGINEERING SOFTWARE SETTINGS AND RESOURCES Contents 22.1 22.2 22.3 Page

INTRODUCTION ....................................................................................................... 22-1 INFORMATION AVAILABLE FROM NYSDOT ......................................................... 22-1 WORKSPACE PROJECTS AND RESOURCE FILES .............................................. 22-1 22.3.1 22.3.2 22.3.3 Units ........................................................................................................... 22-3 NY_Common Workspace ............................................................................ 22-3 Workgroup Workspaces .............................................................................. 22-6 Seed Documents ...................................................................................... 22-13 DGN Libraries ........................................................................................... 22-13 Color Tables ............................................................................................. 22-13 Font Resource Files .................................................................................. 22-15 Line Resource Files .................................................................................. 22-18 Cells and Cell Libraries ............................................................................. 22-18 MDL Applications ...................................................................................... 22-19 Feature Styles (civil.ini or .xin) .................................................................. 22-20 Feature Tables (FWF files)....................................................................... 22-20 Geometry Styles (wysiwyg.ini or .xin) ........................................................ 22-21 Symbology Resource Management .......................................................... 22-21 Preferences (civil.ini or .xin) ...................................................................... 22-23 InRoads Resources and MicroStation Workspaces ................................... 22-23 InRoads Project Defaults .......................................................................... 22-23 Pay Item Database ................................................................................... 22-25 Pen Tables................................................................................................ 22-27

22.4

MICROSTATION RESOURCES ............................................................................. 22-13 22.4.1 22.4.2 22.4.3 22.4.4 22.4.5 22.4.6 22.4.7

22.5

INROADS RESOURCES ........................................................................................ 22-20 22.5.1 22.5.2 22.5.3 22.5.4 22.5.5 22.5.6 22.5.7 22.5.8

22.6

INTERPLOT RESOURCES ..................................................................................... 22-26 22.6.1

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CHAPTER 22 ENGINEERING SOFTWARE SETTINGS AND RESOURCES LIST OF EXHIBITS Exhibit Number and Title Exhibit 22-1 Exhibit 22-2 Exhibit 22-3 Exhibit 22-4 Exhibit 22-5 Exhibit 22-6 Exhibit 22-7 Exhibit 22-8 Exhibit 22-9 Exhibit 22-10 Exhibit 22-11 Exhibit 22-12 Exhibit 22-13 Exhibit 22-14 Exhibit 22-15 Exhibit 22-16 Exhibit 22-17 Exhibit 22-18 Exhibit 22-19 Exhibit 22-20 Exhibit 22-21 Exhibit 22-22 Exhibit 22-23 Exhibit 22-24 Exhibit 22-25 Exhibit 22-26 Exhibit 22-27 Exhibit 22-28 Exhibit 22-29 Exhibit 22-30 Exhibit 22-31 Exhibit 22-32 Exhibit 22-33 Exhibit 22-34 Exhibit 22-35 Exhibit 22-36 Page

NYSDOT MicroStation Workspace Components............................................ 22-2 MicroStation Workspace Projects .................................................................. 22-2 NY_Common Workspace Resources ............................................................. 22-3 NY_Construction Workspace Resources ....................................................... 22-7 NY_DQAB Workspace Resources ................................................................. 22-7 NY_Environmental Workspace Resources..................................................... 22-7 NY_Geotechnical Workspace Resources ...................................................... 22-7 NY_Highway Design Workspace Resources.................................................. 22-8 NY_Landscape Workspace Resources .......................................................... 22-8 NY_Maintenance Workspace Resources ....................................................... 22-8 NY_Photogrammetry Workspace Resources ................................................. 22-9 NY_Planning Workspace Resources ............................................................. 22-9 NY_Rail Design Workspace Resources ......................................................... 22-9 NY_Row Mapping Workspace Resources...................................................... 22-9 NY_Sign Workspace Resources .................................................................. 22-10 NY_Structures Construction Workspace Resources .................................... 22-10 NY_Structures Design Workspace Resources ............................................. 22-10 NY_Survey Workspace Resources .............................................................. 22-12 NY_Traffic and Safety Workspace Resources ............................................. 22-12 NY_Traffic Signals Workspace Resources ................................................... 22-12 NY_Utilities Workspace Resources .............................................................. 22-12 ProjectWise Seed Documents...................................................................... 22-13 Standard Color Number and RGB Values .................................................... 22-14 Presentation Plan Color Number and RGB Values ...................................... 22-14 Standard Text Fonts .................................................................................... 22-15 Presentation Text Fonts ............................................................................... 22-16 Text sizes and Corresponding Plot Ratios ................................................... 22-17 Cell Library Naming Convention................................................................... 22-18 Graphic and Point Cells ............................................................................... 22-19 Feature and Level Symbology Organization................................................. 22-22 Civil.ini Organization .................................................................................... 22-23 InRoads Project Defaults ............................................................................. 22-24 InRoads Project Defaults Folder Locations .................................................. 22-24 InterPlot Client Configuration Files ............................................................... 22-26 Line Weight Numbers and Corresponding Standard Line Widths ................. 22-27 Line Weight Numbers and Corresponding Standard Text Line Widths ......... 22-27

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.1 INTRODUCTION

22-1

The Department maintains an extensive library of resource files necessary for the efficient operation of software applications used to generate project content. This chapter provides descriptions of how these resources operate, guidance and standards for using them, and documents specific configuration settings. These resources automatically configure PCs to run Department standard software and CADD standards; such as symbology standards, printing and drafting standards, and engineering standards. Resources control level structure, feature names, survey preferences, line styles, fonts, cell libraries, scales, and many other factors of software operation. Each item shown on plans, cross sections, profiles, and ROW Maps requires resources to be generated using MicroStation and InRoads. These resources are available to both Department workgroups and consultants involved with capital projects. Consistent use of these resources is essential for software applications to be used effectively and efficiently. NYSDOT installs CADD software on its PCs in the c:\NYSDOTCADD folder. Consultants may install and configure CADD software to other locations, most commonly in the Program Files folder. Consultants should ensure configuration files are directed to the correct locations for their sites installation procedures.

22.2

INFORMATION AVAILABLE FROM NYSDOT

NYSDOT does not guarantee the accuracy or performance resulting from the use of shared computer programs or files including direct, indirect, special or consequential damages. No technical support shall be provided. No warranties are extended or granted, either expressed or implied, with respect to the accuracy and/or performance of any materials provided. Department staff and consultants shall use NYSDOT support files discussed in this chapter. Support files referenced throughout this chapter are available. Consultants should obtain these support files from the Departments Public Web site. Department staff can obtain support files referenced throughout this manual on NYSDOTs network.

22.3

WORKSPACE PROJECTS AND RESOURCE FILES

MicroStation workspace projects determine which set of resource/configuration files are used when a MicroStation file is opened. Exhibit 22-1 outlines the three components that make up a MicroStation Workspace. A workspace defines which levels, cell libraries, font resource files, linestyle resource files are available for MicroStation to use. Typically staff who work in specialized disciplines, like ROW mapping, landscape, or structures prefer to have access only to the levels they routinely use. Other staff, such as highway designers, need to work with many levels from various disciplines. One way to manage the number of levels a user works with in MicroStation is to use workspace projects to define which level libraries are available and automatically loaded in the active file. This restricts which levels users have access to automatically, but also allows for users who need access to many different levels to have them available by loading additional level libraries through level manager. For Department staff, these workspaces are designated on each work group folder using ProjectWise. ProjectWise then initiates MicroStations workspace project. For consultants and off network users, the MicroStation workspace project can be designated in the MicroStation Manager dialog. Exhibit 22-2 lists the various workspaces used by the Department. All resource files are located on each individual PC. On the Departments network these files may be u pdated routinely using LANDesk software distribution application. Consultants are responsible for assuring they are working with the latest resources provided by the Department.

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22-2

ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-1 NYSDOT MicroStation Workspace Components

Component User Description The User component points to the active workspace's Project and Interface components. Since all Department Users operate MicroStation with the same Interface component, and the Project Component is defined by ProjectWise, User is set to NYSDOT_User for everyone. A Project consists of customized resource data files, such as cell libraries, line style libraries and level libraries, identified by configuration variables in the project configuration file. Unique Projects have been created for each corresponding workgroup in the ProjectWise Security Model. e.g. ny_highway_design An Interface defines a specific look and feel of MicroStation tools and general on-screen operation. At NYSDOT, all PCs should operate with the same Interface, creating a standard and consistent look and feel for all users. The Interface is set to Default.

Project

Interface

Exhibit 22-2 MicroStation Workspace Projects

Workspace Project Name CSPM2003Photogrammetry CSPM2003Standards CSPM2003Survey ny_aviation ny_common ny_construction ny_consultant_management ny_ dqab ny_environmental ny_estimate ny_geotechnical ny_highway_design ny_hydraulics ny_landscape ny_maintenance ny_materials
ny_photogrammetry ny_planning ny_rail_design ny_row_mapping ny_sign ny_structures_construction ny_structures_design ny_survey ny_traffic_safety ny_traffic_signals ny_utilities ny_visualization

Description Photogrammetric resources consistent with the 2003 CSPM Resources consistent with the 2003 CSPM Survey resources consistent with the 2003 CSPM Aviation levels Resources common to all workspaces As-Built levels, text styles, construction InRoads resources Points to ny_common PS&E section MDLs, standard sheet border cells Environmental levels and InRoads resources Points to ny_common Geotechnical cells, levels, InRoads resources, & text styles Highway design levels, InRoads resources Points to ny_common Landscape architecture cells, levels, and InRoads resources Maintenance levels Points to ny_common Cells, levels and InRoads resources for existing information collected by Photogrammetry Planning cells Rail design levels ROW Mapping cells, levels, InRoads resources, & text styles Sign levels and InRoads resources Structures Construction levels Structures Design cells, levels, InRoads resources, mdl apps, & text styles Cells, levels and InRoads resources for existing information collected by survey Traffic and Safety cells and levels Traffic Signals levels Utility levels Visualization levels

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.3.1 Units

22-3

The Department uses U.S. Customary system of measurement. Past and ongoing projects may have been mapped using the Metric system. In order to support both units of measure during the transition from Metric to U.S. Customary, resources have been developed to work with each system. Only some resources are unit specific. The Department naming convention for resource files is as follows: ny_filename NYSDOT resource file no units associated with the file e.g. color table, or dgnlibrary. nyu_filename NYSDOT resource file U.S. Customary units nym_filename NYSDOT resource file Metric units e.g. Cell library, linestyle or font resource. Specific MicroStation resource files which determine the working units available for MicroStation to use are located in ny_common workspace in the data folder. Department standard working units are discussed in Chapter 20. Working units are predefined in the Department standard seed documents. 22.3.2 NY_Common Workspace The ny_common workspace project is the foundation to all of the Departments workspace projects. It is used to provide configuration files that are shared by all NYSDOT users, regardless of workgroup or discipline. Exhibit 22-3 listed the various files that make up the ny_common workspace and provides descriptions of their functions. Exhibit 22-3 NY_Common Workspace Resources ny_common
Sub-folder - Cell File Name nym_cross_section.cel nym_detail_miscellaneous.cel nym_detail_pattern.cel nym_plan_alignment.cel nym_plan_bridge.cel nym_plan_control.cel nym_plan_drainage.cel nym_plan_environment.cel nym_plan_geotech.cel nym_plan_its.cel nym_plan_landscape.cel nym_plan_roadway.cel Description Metric - Used to annotate features in cross sections and profiles Metric - Miscellaneous drawings, recharge basin, picnic tables, etc. Metric - Common patterns Metric - Alignment point feature cells Metric - Bridge point feature cells Metric - Survey/ROW control point feature cells Metric - Drainage point feature cells Metric - Environmental point feature cells Metric - Geotechnical point feature cells Metric - ITS related feature cells Metric - Landscape, natural, and terrain point feature cells Metric - Roadway point feature cells

11/10/08

22-4

ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-3 NY_Common Workspace Resources - Continued

Sub-folder - Cell File Name nym_plan_row_mapping.cel nym_plan_nmutcd_signface.cel nym_plan_signs.cel nym_plan_striping.cel nym_plan_structures.cel nym_plan_traffic.cel nym_plan_utility.cel nym_sheet.cel nyu_cross_section.cel nyu_detail_miscellaneous.cel nyu_detail_pattern.cel nyu_plan_alignment.cel nyu_plan_bridge.cel nyu_plan_control.cel nyu_plan_drainage.cel nyu_plan_environment.cel nyu_plan_geotech.cel nyu_plan_landscape.cel nyu_plan_roadway.cel nyu_plan_row_mapping.cel nyu_plan_nmutcd_signface.cel nyu_plan_signs.cel nyu_plan_striping.cel nyu_plan_structures.cel nyu_plan_traffic.cel nyu_plan_utility.cel nyu_sheet.cel Sub-folder - Data File Name ny_default.upf ny_units.def ny_snowman_levels.data nym_scales.def nym_sheetsizes.def nym_snowman_defaults.data nyu_scales.def nyu_sheetsizes.def nyu_snowman_defaults.data Description Metric - ROW Mapping point feature cells Metric - Sign faces from the National MUTCD Metric - Sign point feature cells Metric - Pavement Marking Symbols Metric - Structures point feature cells Metric - Traffic point feature cells Metric - Utility point feature cells Metric - Plan Sheet Borders, Legends, North Arrows, annotation, etc. US Customary - Used to annotate features in cross sections and profiles US Customary - Miscellaneous drawings, recharge basin, picnic tables, etc. US Customary - Common patterns US Customary - Alignment point feature cells US Customary - Bridge point feature cells US Customary - Survey/ROW control point feature cells US Customary - drainage point feature cells US Customary - Environmental point feature cells US Customary - Geotechnical point feature cells US Customary - Landscape, natural, terrain point feature cells US Customary - Roadway point feature cells US Customary - ROW Mapping point feature cells US Customary - Sign faces from the National MUTCD US Customary - Sign point feature cells US Customary - Pavement Marking Symbols US Customary - Structural point feature cells US Customary - Traffic point feature cells US Customary - Utility point feature cells US Customary - Plan Sheet Borders, Legends, North Arrows, annotation, etc. Description Default User Preference file Units definition file Standard levels file for Snowman Program Metric - Used to drive the model Annotation Scale factor Metric - Used to drive the model Sheet Size (printable area) Metric - Default input variables for Snowman Program US Customary - Used to drive the model Annotation Scale factor US Customary - Used to drive the model Sheet Size (printable area) US Customary - Default input variables for Snowman Program

11/10/08

ENGINEERING SOFTWARE SETTINGS AND RESOURCES Exhibit 22-3 NY_Common Workspace Resources - Continued
Sub-Folder - Dgnlib File Name ny_common_levels.dgnlib nym_common_dim_styles.dgnlib nym_common_txt_styles.dgnlib nyu_common_dim_styles.dgnlib nyu_common_txt_styles.dgnlib Sub-Folder- InRoads Data File Name ny_common.tbr nym_common.tml nym_common_wysi.ini nyu_common_wysi.ini Sub-FolderInRoads Data\Quantity Manager ExportStyles.xml nym_pay_item_aecXML.mdb nym_QMItems.xml nyu_pay_item_aecXML.mdb nyu_QMItems.xml ReportStyles.xml *.xslt Sub-FolderInRoads Data\Storm Sanitary nym_Kc.dat nym_zone.dat nym_Ke.dat nym_hydro.idf nym_structures.dat nyu_Kc.dat nyu_zone.dat nyu_Ke.dat nyu_hydro.idf nyu_structures.dat Sub-FolderInRoads Data\Super mXXYYny.sup uXXYYny.sup

22-5

Description Levels and Attributes Common to all work groups Metric - Dimension Styles Common to all work groups Metric - Text Styles Common to all work groups US Customary - Dimension Styles Common to all work groups US Customary - Text Styles Common to all work groups Description NYSDOT Standard InRoads Toolbars Metric - NYSDOT Standard template library Metric - NYSDOT Standard style library US Customary - NYSDOT Standard style library

Quantity Manager setup file for exporting files to Trns*port Metric - NYSDOT Standard Pay Item Database Metric - NYSDOT Standard Pay Items in .xml format US Customary - NYSDOT Standard Pay Item Database US Customary - NYSDOT Standard Pay Items in .xml format Quantity Manager setup file for reports Quantity Manager reports

Metric Kc head loss due to sudden contraction in pipes Metric Density, Flow rate and Area factors for zone types Metric Ke head loss due to sudden expansion in pipes Metric Intensity-Duration-Frequency Table Metric Materials, roughness coefficients, sizes and thicknesses for drainage structures and pipes U.S. Customary Kc head loss due to sudden contraction in pipes U.S. Customary Density, Flow rate and Area factors for zone types U.S. Customary Ke head loss due to sudden expansion in pipes U.S. Customary Intensity-Duration-Frequency Table U.S. Customary Materials, roughness coefficients, sizes and thicknesses for drainage structures and pipes

Metric - Superelevation rate tables according to HDM Chapter 2, XX is the superelevation rate and YY is the design speed U.S. Customary - Superelevation rate tables according to HDM Chapter 2, XX is the superelevation rate and YY is the design speed

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-3 NY_Common Workspace Resources - Continued

Sub-Folder- Macros dall.ba dall.bas DelDimStyles.ba DelDimStyles.bas Sub-Folder- Materials *.pal Sub-Folder- Materials\Bump *.jpg Sub-Folder- Materials\Pattern *.jpg Sub-Folder- Mdlapps *.ma Sub-Folder- Plan group dgnlibs ny_plan_group_dru.dgnlib ny_plan_group_gen.dgnlib ny_plan_group_lnd.dgnlib ny_plan_group_spm.dgnlib Sub-Folder- Seed nym_seed_2d.dgn nym_seed_3d.dgn nym_seed_all.dgn nym_seed_guidsign.dgn nyu_seed_2d.dgn nyu_seed_3d.dgn nyu_seed_all.dgn nyu_seed_guidsign.dgn Sub-Folder- Symb ny_common_font_2006.rsc nym_font_2006.rsc nym_linestyle_1996.rsc nym_linestyle_2003.rsc nyu_font_2006.rsc nyu_linestyle_2006.rsc Compiled version Delete all macro Compiled version Deletes dimension styles in V 8.1 files Rendering attributes for different materials Background Images used for Rendering Pattern images used for Rendering MDL Applications including NYSDOT developed MDLs Contains levels used to plot Drainage / Utility plans Contains levels used to plot General plans Contains levels used to plot Landscape plans Contains levels used to plot Signing / Pavement Marking plans Metric - nym_seed_2d Metric - nym_seed_3d Metric - nym_seed_all Metric - nym_seed_guidsign US Customary - nyu_seed_2d US Customary - nyu_seed_3d US Customary - nyu_seed_all US Customary - nyu_seed_guidsign Fonts used by all work groups Metric - fonts used by all work groups Metric - NYSDOT legacy custom linestyles 1996 Metric - NYSDOT legacy custom linestyles - 2003 US Customary - fonts used by all work groups US Customary - NYSDOT custom linestyles

22.3.3 Workgroup Workspaces To optimize the operation of CADD software, MicroStation workspace projects have been created to correspond to workgroup discipline. Exhibit 22-2 MicroStation Workspace Projects listed the workgroup workspaces available and provides an overview of what each specific configuration adds to the ny_common workspace. Exhibits 22-4 through 22-21 outline the configuration files that make up each workgroup workspace and provides a description of their various functions. 11/10/08

ENGINEERING SOFTWARE SETTINGS AND RESOURCES Exhibit 22-4 NY_Construction Workspace Resources ny_construction
Sub-folder - Dgnlib File Name ny_construction.dgnlib nym_construction_txt_styles.dgnlib nyu_construction_txt_styles.dgnlib Sub-folder - InRoads Data nym_construction.ini nym_construction_notes.dft nym_construction_notes.xml Description Construction Levels and Attributes Metric - Construction Text and Dim styles US Customary - Construction Text and Dim styles Metric - Construction Preferences Metric - Construction Drafting Notes Metric - Construction xml reports templates

22-7

Exhibit 22-5 NY_DQAB Workspace Resources ny_dqab

Sub-folder - Cell File Name nym_sheet_standard.cel nyu_sheet_standard.cel Sub-folder - Data feature.tbl Sub-folder - Mdlapps estTP.ma nysDOTDgn.ma Description Metric - NYSDOT Standard Sheet Border US Customary - NYSDOT Standard Sheet Border Feature Table for NYSDOT MDL applications Used to generate Estimate of Quantities Sheet Used to generate Estimate of Quantities Sheet

Exhibit 22-6 NY_Environmental Workspace Resources ny_environmental

Sub-folder - dgnlib File Name ny_environmental_levels.dgnlib Sub-folder - InRoads Data nym_environmental.ini Description Environmental Levels and Attributes Metric - Environmental Preferences

Exhibit 22-7 NY_Geotechnical Workspace Resources ny_geotechnical

Sub-folder - Cell File Name nym_detail_geotech.cel nyu_detail_geotech.cel Sub-folder - dgnlib ny_geotechnical_levels.dgnlib nym_geotechnical_txt_styles.dgnlib nyu_geotechnical_txt_styles.dgnlib Description Metric - used by Geotech to develop boring location plans US Customary - used by Geotech to develop boring location plans Geotech Levels and Attributes Metric - Geotech Text and Dim Styles US Customary - Geotech Text and Dim Styles

11/10/08

22-8

ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-8 NY_Highway Design Workspace Resources ny_highway_design

Sub-folder - Cell File Name nym_detail_accident_diagram.cel nym_detail_tables.cel nym_detail_turn_radii.cel nym_detail_twall.cel nym_detail_typical_sections.cel nyu_detail_accident_diagram.cel nyu_detail_tables.cel nyu_detail_turn_radii.cel nyu_detail_twall.cel nyu_detail_typical_sections.cel Sub-folder - dgnlib ny_highway_design_levels.dgnlib Sub-folder - InRoads Data nym_highway_design.ini nyu_highway_design.ini nym_highway_design_notes.dft nym_highway_design_notes.xml Metric - Highway design preferences US Customary - Highway design preferences Design Drafting Notes Design Drafting Notes xml Description Metric - Accident Diagram borders and symbols Metric - Table Borders Metric - vehicle turn radii templates Metric - T - wall cells Metric - typical section cells US Customary - Accident Diagram borders and symbols US Customary - Table Borders US Customary - vehicle turn radii templates US Customary - T - wall cells US Customary - typical section cells Highway design Levels and Attributes

Exhibit 22-9 NY_Landscape Workspace Resources ny_landscape

Sub-folder - dgnlib File Name ny_landscape_levels.dgnlib Sub-folder - Cell nym_detail_bio_engineering.cel nyu_detail_bio_engineering.cel Sub-folder InRoads Data nym_landscape.ini Description Landscape Levels and Attributes Metric - Bio Engineering Detail cells US Customary - Bio Engineering Detail cells Metric - Landscape Preferences

Exhibit 22-10 NY_Maintenance Workspace Resources ny_maintenance

Sub-folder - dgnlib File Name ny_maintenance_levels.dgnlib Description Maintenance Levels and Attributes

11/10/08

ENGINEERING SOFTWARE SETTINGS AND RESOURCES Exhibit 22-11 NY_Photogrammetry Workspace Resources ny_photogrammetry
Sub-folder - dgnlib File Name ny_photogrammetry_levels.dgnlib Sub-folder - InRoads Data nym_photogrammetry.ini nyu_photogrammetry.ini Sub-folder - seed nym_photseed.dgn nyu_photseed.dgn Description Photogrammetry Levels and Attributes Metric - Photogrammetry Preferences US Customary - Photogrammetry Preferences Metric - Photogrammetry Seed File US Customary - Photogrammetry Seed File

22-9

Exhibit 22-12 NY_Planning Workspace Resources ny_planning

Sub-folder - cell File Name nym_detail_traffic_monitoring_sites.cel nyu_detail_traffic_monitoring_sites.cel Description Metric - Details for Traffic Monitoring Sites US Customary - Details for Traffic Monitoring Sites

Exhibit 22-13 NY_Rail Design Workspace Resources ny_rail_design

Sub-folder - dgnlib File Name ny_rail_design_levels.dgnlib Description Rail Levels and Attributes

Exhibit 22-14 NY_Row Mapping Workspace Resources ny_row_mapping

Sub-folder - cell File Name nym_sheet_row.cel nyu_sheet_row.cel Sub-folder - data nym_row_mapping.csf nyu_row_mapping.csf Sub-folder - dgnlib ny_row_mapping_levels.dgnlib nym_row_mapping_txt_styles.dgnlib nyu_row_mapping_txt_styles.dgnlib Sub-folder - InRoads Data nym_row_mapping.ini nym_row_mapping_wysi.ini nym_row_mapping_notes.dft nyu_row_mapping.ini nyu_row_mapping_wysi.ini nyu_row_mapping_notes.dft Description Metric - ROW Map Borders and Notes US Customary - ROW Map Borders and Notes Metric used with cell selector MDL application US Customary - used with cell selector MDL application ROW Mapping Levels and Attributes Metric - ROW Mapping Text and Dimension Styles US Customary - ROW Mapping Text and Dimension Styles Metric - ROW Mapping Preferences Metric - ROW Mapping style library Metric - ROW Mapping Drafting Notes US Customary - ROW Mapping Preferences US Customary - ROW Mapping US Customary - ROW Mapping Drafting Notes

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-15 NY_Sign Workspace Resources ny_sign

Sub-folder - dgnlib File Name ny_sign_levels.dgnlib Sub-folder - InRoads Data nym_sign.ini Description Sign Levels and Attributes Metric - Sign Preferences

Exhibit 22-16 NY_Structures Construction Workspace Resources ny_structures_construction

Sub-folder - dgnlib File Name ny_structures_construction_levels.dgnlib Description Structures Levels and Attributes used in Construction

Exhibit 22-17 NY_Structures Design Workspace Resources ny_structures_design

Sub-folder cell File Name nym_detail_structure.cel nym_girdr.cel nym_joint.cel nym_prest.cel nym_rails.cel nym_tabls.cel nyu_detail_structure.cel nyu_girdr.cel nyu_joint.cel nyu_prest.cel nyu_rails.cel nyu_tables.cel Description Metric - Structures Details Metric - girder cells Metric - joint cells Metric - pre stressed beam cells Metric - bridge rail cells Metric - table border cells US Customary - Structures Details US Customary - girder cells US Customary - joint cells US Customary - pre stressed beam cells US Customary - bridge rail cells US Customary - table border cells

11/10/08

ENGINEERING SOFTWARE SETTINGS AND RESOURCES Exhibit 22-17 NY Structures Design Workspace Resources - Continued
Sub-folder data barriers.csf detail.csf feature.tbl gen.txt header.csv prelim.csf psbeams.csf railing.csf sheets.csf steel.csf strbar.csf tables.csf tblfeature.csv tearmet.txt Sub-folder dgnlib ny_structures_design_levels.dgnlib Sub-folder InRoads Data nym _structures_design.ini nyu _structures_design.ini Sub-folder mdlapps ctran.ma cugar.ma duls.ma est.ma girdr.ma index.ma joint.ma nysDOTDgn.ma prest.ma rails.ma steel.ma stmnu.ma stran.ma tabls.ma steel.txt steel99.stbl *.stf

22-11

Used to configure and run Structures custom MDL applications.

Structures Levels and Attributes used in Design Metric - Structures Preferences US Customary - Structures Preferences

Structures MDLs

Files used with steel.ma MDL application

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22-12

ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-18 NY_Survey Workspace Resources ny_survey

Sub-folder dgnlib File Name ny_survey_levels.dgnlib Sub-folder InRoads Data nym_sample.fwd nym_survey.fwf nym_survey.fxp nym_survey.ini nyu_survey.fwf nyu_survey.fxp nyu_survey.ini surveyattributes.fea surveyfeatures.txt Description Survey Levels and Attributes Metric - Sample field book Metric - Survey feature table Metric - InRoads Survey options Metric - Survey InRoads preferences (existing feature styles for information collected by survey) US Customary - Survey feature table US Customary - InRoads Survey options US Customary - Survey InRoads preferences (existing feature styles for information collected by survey) Feature codes for data collector Survey codes

Exhibit 22-19 NY_Traffic and Safety Workspace Resources ny_traffic_safety

Sub-folder cell File Name nym_detail_its.cel nym_detail_traffic.cel nyu_detail_its.cel nyu_detail_traffic.cel Sub-folder dgnlib ny_traffic_safety_levels.dgnlib Description Metric - ITS Details Metric - MPT and Signal symbols US Customary - ITS Details US Customary - MPT and Signal symbols Traffic and Safety Levels and Attributes

Exhibit 22-20 NY_Traffic Signals Workspace Resources ny_traffic_signals

Sub-folder dgnlib File Name ny_traffic_signals_levels.dgnlib Description Traffic Signals Levels and Attributes

Exhibit 22-21 NY_Utilities Workspace Resources ny_utilities

Sub-folder dgnlib File Name ny_utilities_levels.dgnlib Description Utilities Levels and Attributes

11/10/08

ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.4 MICROSTATION RESOURCES

22-13

22.4.1 Seed Documents Seed documents are used as templates to create documents in ProjectWise. There are seed documents provided for common applications used by the Department. MicroStation seed documents are also provided in the ny_common workspace in the seed folder. Most MicroStation parameters are not set through the seed document. The MicroStation seed documents are used to predefine working units. Exhibit 22-22 lists the various seed documents available. Exhibit 22-22 ProjectWise Seed Documents File Name Description
EXCELSEED.XLS Excel Spreadsheet IPSEED.IPS InterPlot Plot Set NY_2003STANDARDS.TML Inroads Typical Section Library POWERPOINTSEED.PPT PowerPoint Presentation SEED2D.DGN 2 dimensional seed file SEED3D.DGN 3 dimensional seed file NY_GS_SEED_2D.DGN 2 dimensional GuidSign seed file TEXTSEED.TXT ASCII Text File WORDSEED.DOC Word Document * Available through ProjectWise in the Project Seed Documents Folder

22.4.2 DGN Libraries DGN libraries are an organized method of relating other MicroStation resources, such as fonts and custom linestyles, to create standard appearance for information. DGN libraries are used to make available level names, symbology definitions, text styles and dimension styles. Level names and symbology definitions are discussed in Chapter 20. Department standard text styles are provided through the nyu_common_txt_styles.dgnlib DGN library. Placing text is discussed in Chapter 20. Text sizes, spacing, and fonts are defined in this library are based on the size definitions in Exhibit 22-25 Text Sizes and Corresponding Plot Ratios, Exhibit 22-26 Standard Text Fonts, Exhibit 22-27 Presentation Text Fonts. 22.4.3 Color Tables When using the ByLevel option in MicroStation, the color an element appears is determined by the symbology settings for its level, set in the DGN library. The available colors for MicroStation to utilize is determined by the color table. Color tables are stored as independent files. The active color table can be saved to a file for future attachment to any design file. Exhibit 22-23 outlines the Department defined color numbers and their corresponding RGB values. Exhibit 2224 outlines color numbers and corresponding RGB values used for presentation material.

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-23 Standard Color Number and RGB Values

RGB Values Color Number 0 1 2 3 4 5 6 7 Color Description White Blue Green Red Yellow Magenta Orange Cyan Red 255 0 0 255 255 255 255 0 Green 255 0 255 0 255 0 165 255 Blue 255 255 0 0 0 255 0 255

Exhibit 22-24 Presentation Plan Color Number and RGB Values

Area existing pavement proposed pavement proposed shoulder proposed curb proposed sidewalk buildings building removals water proposed buildings paved driveway gravel driveway cut/fill/grass slopes bridges (cross hatched) Line Type white pavement markings yellow pavement markings north arrow legend text (font 72) property line (wt 0) highway boundary (wt 0) town/village line (wt 2) retaining walls (wt 4) trees/shrubs R, G, B Value 0,0,0 185,185,185 185,185,185 255,0,0 105,105,105 112,73,35 185,85,135 0,210,210 255,35,185 185,185,185 222,222,222 79,255,103 250,128,114 R, G, B Value 255,245,238 255,255,0 64,64,64 64,64,64 0,150,0 235,85,85 235,85,85 210,0,0 210,0,0 0,150,0 Color 32 4 8 8 114 35 35 51 51 114 Color 9 80 80 3 160 54 53 39 37 80 48 34 46

11/10/08

ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.4.4 Font Resource Files

22-15

Font resource files control which fonts are available for use in MicroStation. Department font resource files are a part of the ny_common workspace and are located in the symb folder. These files contain the font numbers listed in Exhibit 22-25 Standard Text Fonts and Exhibit 2226 Presentation Text Fonts. MicroStation text styles (which are a component of the DGN library) use the available fonts from the font resource file, and provide the ability to preset text size, character spacing, and other text related attributes. Text is considered annotation, and is scaled by the Model Annotation Scale. Specific text sizes and their corresponding plot ratio are defined in Exhibit 22-27 Text Sizes and Corresponding Plot Ratios. Exhibit 22-25 Standard Text Fonts
Font Number 1 5 7 8 9 10 11 12 13 14 Name Proposed Mixed Case BRADD As-Built Symbols Proposed Symbols Existing Symbols As-Built Proposed Existing Proposed Mono space Arial Description Proposed, Proportional, Mixed Case for limited use by the Geotechnical Engineering Bureau for soil descriptions For use with BRADD-2 As-Built, Proportional, Symbols, Slanted, -22 Proposed, Proportional, Symbols Existing, Proportional, Symbols , Slanted, 22 As-Built, Proportional, Slanted, -22
o o o

Proposed, Proportional, used on contract plans Existing, Proportional, Slanted, 22 used on contract plans Proposed, Mono-spaced, used on contract plans Arial Font used by several Word processing applications, can be used on contract plans for tables.
o,

11/10/08

22-16

ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-26 Presentation Text Fonts

Font Number 14 15 45 55 56 57 58 62 63 65 81 82 83 84 Arial Times New Roman Univers_Light Univers Univers_Italic Univers_Condensed Univers_Cond_Italic Times_Italic Times Univers_Bold Souvenir_Light Souvenir_Light_Italic Souvenir_Medium Souvenir_Medium_Italic Name Upper, Lower, filled Upper, Lower, filled Upper, Lower, Fractions, filled Upper, Lower, Fractions, filled Upper, Lower, Fractions, filled Upper, Lower, Fractions, filled Upper, Lower, Fractions, filled Upper, Lower, Fractions, filled Upper, Lower, Fractions, filled Upper, Lower, Fractions, filled Upper, Lower, filled Upper, Lower, filled Upper, Lower, filled Upper, Lower, filled Description

11/10/08

ENGINEERING SOFTWARE SETTINGS AND RESOURCES Exhibit 22-27 Text sizes and Corresponding Plot Ratios
Plot Ratio B Size 3/4" = 1 1/2" = 1 3/8 = 1 1/4" = 1 3/16 = 1 1/8 = 1 1/16 = 1 1/32 = 1 1" = 1 1" = 2 1" = 3 1" = 4 1" = 5 1" = 10 1" = 20 1" = 25 1" = 30 1" = 40 1" = 50 1" = 100 1" = 200 1" = 500 16 24 32 48 64 96 192 384 12 24 36 48 60 120 240 300 360 480 600 1200 2400 6000 Scale Factor Subtitle Text Standard Text Height (ft) 0.0834 0.1250 0.1667 0.2501 0.3334 0.5002 1.0003 2.0006 0.0625 0.1250 0.1876 0.2501 0.3126 0.6252 1.2504 1.5630 1.8756 2.5008 3.1260 6.2520 12.504 31.260 Width (ft) 0.0640 0.0960 0.1280 0.1920 0.2560 0.3840 0.7680 1.5360 0.0480 0.0960 0.1440 0.1920 0.2400 0.4800 0.9600 1.2000 1.4400 1.9200 2.4000 4.8000 9.6000 24.000
(1.25x Standard)

22-17

Title Text
(1.5x Standard)

Dimensions Offset 0.5x 0.0417 0.0625 0.0834 0.1250 0.1667 0.2501 0.5002 1.0003 0.0313 0.0625 0.0938 0.1250 0.1563 0.3126 0.6252 0.7815 0.9378 1.2504 1.5630 3.1260 6.2520 15.630 Stacking 3x 4x 0.2501 0.3751 0.5002 0.7502 1.0003 1.5005 3.0010 6.0019 0.1876 0.3751 0.5627 0.7502 0.9378 1.8756 3.7512 4.6890 5.6268 7.5024 9.3780 18.756 37.512 93.780 0.3334 0.5002 0.6669 1.0003 1.3338 2.0006 4.0013 8.0026 0.2501 0.5002 0.7502 1.0003 1.2504 2.5008 5.0016 6.2520 7.5024 10.003 12.504 25.008 50.016 125.04

Height (ft) 0.1042 0.1563 0.2084 0.3126 0.4168 0.6252 1.2504 2.5008 0.0782 0.1563 0.2345 0.3126 0.3908 0.7815 1.5630 1.9538 2.3445 3.1260 3.9075 7.8150 15.630 39.075

Width (ft) 0.0800 0.1200 0.1600 0.2400 0.3200 0.4800 0.9600 1.9200 0.0600 0.1200 0.1800 0.2400 0.3000 0.6000 1.2000 1.5000 1.8000 2.4000 3.0000 6.0000 12.000 30.000

Height (ft) 0.1250 0.1876 0.2501 0.3751 0.5002 0.7502 1.5005 3.0010 0.0938 0.1876 0.2813 0.3751 0.4689 0.9378 1.8756 2.3445 2.8134 3.7512 4.6890 9.3780 18.756 46.890

Width (ft) 0.0960 0.1440 0.1920 0.2880 0.3840 0.5760 1.1520 2.3040 0.0720 0.1440 0.2160 0.2880 0.3600 0.7200 1.4400 1.8000 2.1600 2.8800 3.6000 7.2000 14.400 36.000

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES

22.4.5 Line Resource Files Custom line style resource files control which custom line styles are available for use in MicroStation. DGN libraries control which custom line style is used for a particular level. Department line style resource files are a part of the ny_common workspace and are located in the symb folder. 22.4.6 Cells and Cell Libraries MicroStation 2D and 3D drawings are created in a design (DGN) file as individual drawings or models. Each model can then be designated a cell and placed in the active design file. 2D and 3D cells can be placed in the same DGN file as well as the same cell library. A cell library in MicroStation is a DGN file with multiple models in it. Cell libraries have a .CEL extension. The Department has created a series of standard cell libraries for most program areas. Using these standard cell libraries in place of redrawing common details or symbology facilitates standardization, saves time, and avoids errors. 22.4.6.1 Cell Libraries A number of cell libraries have been developed which should be used during the project development process. Standard cell libraries are classified into categories, details, cross sections and profiles, plan, and sheet. Detail cell libraries contain standard details or element used in plans drawn on detail levels. Cross section and profile cell libraries are used to annotate cross sections and profiles and the cells they contain are drawn on the mapping level of the feature they are used to annotate. Plan cell libraries contain cells that are used to show symbology for plans and mapping and are drawn on mapping levels. Sheet cell libraries contain plan sheet borders, ROW map borders, etc. The naming convention for cell libraries is listed in Exhibit 22-28 Cell Library Naming Convention. Exhibit 22-28 Cell Library Naming Convention Cell Name Convention
nyu_detail_contents.cel nyu_section_contents.cel nyu_plan_contents.cel nyu_sheet_contents.cel

Type of Cell Library

Detail Cross Sections and Profiles Plans and Mapping Sheet borders

Element Symbology
Not drawn ByLevel Drawn ByLevel Drawn ByLevel Not drawn ByLevel

Each cell library contains a grouping of cells which share a common theme. The content of symbology and annotation cell libraries is determined as part of the Engineering Application Management Teams and the Engineering Technology Sections continuous improvement process. Suggestions for revisions to existing standard cell libraries or ideas for new standard cell libraries used for symbology or annotation should be submitted to your Engineering Application Management Team member. Each cell library has an Index cell included. The index cell has the letter Z in front of the index name for ease of search, making it the last cell listed in each library.

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES

22-19

Specific engineering details have been created by different functional groups in the Department. Examples of these details include the Bioengineering details and the Traffic Monitoring Details. These engineering details are then made available as standard cell libraries. Drawings intended to be distributed with an Engineering Bulletin or Engineering Instruction can easily be made into cell libraries. The Engineering Technology Section is available to assist with the cell library creation process and distribute these cell libraries. Questions regarding drawing content and suggestions for revisions to standard cell libraries containing details released through an Engineering Bulletin or Engineering Instruction should be directed to the contact person named in the issuance. 22.4.6.2 Cell Type When a cell is created, the cell origin and type are defined. The cell origin is the location around which the cell is placed. There are three types of cells: graphic, point, and menu. The attributes (color, line style, weight, and level) of a graphic cell are determined when it is created. A point cell assumes the active attributes set in the MicroStation file at the time it is placed. A graphic cell rotates when a view is rotated, while a point cell is view-independent and will not rotate with the view. Since MicroStation stores all elements as models, each cell is stored as an individual model. What makes the model a cell is the option Can be placed as a cell in the Model Properties dialog box. Exhibit 22-29 Graphic and Point Cells
Attribute Level Rotation Snap Symbology Graphic Cell Independent With View To Key Points Settings When Created Point Cell Placed on Active Level View Independent To Cell Origin Settings When Placed

22.4.7 MDL Applications MicroStation Development Language (MDL) is a development environment that lets applications use MicroStation. MDL can be used to develop simple utilities, customized commands, or sophisticated applications. The Department has developed some productivity enhancing MDLs, such as nysdot.ma, which is used to place text and dimensions adhering to Department standards. Department MDLs are a part of the ny_common workspace, located in the mdl folder.

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22-20 22.5

ENGINEERING SOFTWARE SETTINGS AND RESOURCES INROADS RESOURCES

To design any project, data is needed. Obtaining and organizing information about the existing or proposed conditions is necessary. Estimated costs are generated from the proposed design and all this information is used in construction. Using InRoads, the design process has been streamlined, and understanding and maintaining the data is important to work effectively. The relationship between symbology, levels, features and alignments is discussed in Chapter 20. There are several different data files that are created and used when working in InRoads including geometry, DTMs, typical section/template libraries, roadway libraries, the Quantity Manager pay item database; and InRoads Storm and Sanitary uses a database or sdb file. Each of these data files shares a common thread, in that they are reliant on InRoads preference files to control preferences, settings, and display. Beyond preference resource files, there are additional resources which help create these data files or report on the information they contain. 22.5.1 Feature Styles (civil.ini or .xin) Feature Styles are stored in the civil.ini (or .xin) preference file. The InRoads Feature Style Manager is used to edit Feature Styles. Feature Style naming is discussed in Chapter 20. Each feature style controls whether the feature is displayed in plan, cross section, and/or profile view. A feature style can be set to display a feature in plan view, and not display it in cross section or profile view. An example of the application of differing feature style display for plans and cross sections is to display a feature representing power lines in plan view only. While it may be useful to see a linear representation of power lines in plan view, the cross section representation would not account for line sag, making the cross section display inaccurate. The display toggles operate separately for feature points, for connecting line segments (for linear features), and for feature annotation. The feature style controls exactly what gets displayed. The user has control over what aspects of the features get displayed. The symbology for each feature is defined independently for plan, profile, and cross section views. Each preference has a name associated with it. With that preference name, all preference settings for each dialog box can be accessed. 22.5.2 Feature Tables (FWF files) The feature table in InRoads Survey manages survey feature styles and control codes. Survey point data is typically composed of two key aspects: the point location and physical characteristics of the object being recorded. The object's physical characteristics are modeled in the survey feature style. The survey feature styles define symbology (and more) for representing various real-world objects. Though survey feature styles are similar to DTM feature styles, they are utilized in completely separate commands and functionality. In general, survey commands have no access to DTM feature styles, and DTM commands have no access to survey feature styles. Survey feature styles can be exported to DTM feature styles using the Feature Table to Preference add-in command. Each survey feature style is identifiable by a numeric code or by one or more alpha codes. Each numeric or alpha code serves as a feature code, identifying this particular survey feature style.

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.5.3 Geometry Styles (wysiwyg.ini or .xin)

22-21

Geometry styles are stored in the wysiwyg.ini or (.xin file). Geometry styles define preferences for coordinate geometry elements (alignments and geometry points) only. Users shall not create their own custom geometry style libraries or edit the standard style files. NYSDOT has two standard geometry style files (ny_common_wysi.ini and ny_row_mapping_wysi.ini). The ny_common_wysi.ini is used to display geometry information on plans; the ny_row_mapping.ini is used to display geometry information on ROW maps. These standard style files enable all geometric elements to be displayed with the standard attributes. 22.5.4 Symbology Resource Management The civil.ini and wysiwyg.ini files (or the xin file) control InRoads preferences, display, and symbology of DTMs and geometry files. Every item shown on plans, cross sections, profiles, and ROW Maps requires resources to be generated using MicroStation and InRoads. Settings files for MicroStation and InRoads are deeply interrelated. The Departments standards revolve around the concept that survey code names, InRoads feature names, level names, line style names, cell names for the same item should be identical; this simplifies finding the correct resource for the end user. Exhibit 22-30 Feature and Level Symbology Organization outlines the criteria for creating levels and features and the relationship between InRoads Feature Styles, Geometry Styles, InRoads survey resources and MicroStation resources.

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22-22

ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-30 Feature and Level Symbology Organization

Meets Criteria to create Feature/Level: Unique symbology Need to quantify Need to layout in real space Used on multiple projects Add to InRoads Feature/ MicroStation Level Master Database

InRoads Feature? Need to quantify Need to layout in real space Used on multiple projects Examples: Pavement Edges Guide rail Sign Posts

InRoads Geometry? Need to use coordinate geometry to establish location Need to layout in real space Used on multiple projects Examples: ROW Lines Project Control

Yes

No Unique symbology No coordinate/ spatial location Examples: Detail Information Call out lines

Yes Add to InRoads Survey FWF File Create Alpha Code Create Custom Operation Create Survey Atttributes No

Is Survey?

Yes

Add to InRoads Civil.ini Create Named Symbology

Add to InRoads Wysiwyg.ini File Create Geometry Style

Is Line? Add to Line Resource File Add to Cross section cell library

Is Point? Add to plan cell library

Add to DGN Library Create symbology definition Color Linestyle Line Weight

Adjust InRoads Civil.ini Style Settings 3D Plan Display Cross Section Display Profile Display

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.5.5 Preferences (civil.ini or .xin)

22-23

Preferences are also used to control InRoads output other than symbology. Preferences control the operating parameters of a particular command. Many commands contain numerous parameters which govern their processing. These parameters are also stored in the civil.ini (or .xin) file. Exhibit 22-31 outlines how the civil.ini file is organized. Exhibit 22-31 Civil.ini Organization
CIVIL.INI

(Preference Name)

default

FILE

GEOMETRY

MODELER

FILE

GEOMETRY

MODELER

SURFACE

EVALUATIO N

TOOLS

SURFACE

EVALUATIO N

TOOLS

OPTIONS

GENERAL TRACKING

OPTIONS

GENERAL TRACKING

Preference Settings for Dialog Box

Preference Settings for Dialog Box

22.5.6 InRoads Resources and MicroStation Workspaces Most of the standard NYSDOT workspaces have corresponding preference files. Each of these preference files contain subsets of the standard feature styles which correspond to their DGN level library. 22.5.7 InRoads Project Defaults InRoads Project Defaults specify preferences, data files, and resources that can be defined to load automatically when InRoads starts. Exhibit 22-32 InRoads Project Defaults lists preferences and resources which can be loaded through InRoads project defaults. InRoads Project Defaults can also allow the user to set the default location for loading and saving files of types other than those defined in the Default Directory Paths. The Project Default Directory defines the location of files for import or export. It also serves as the default location for saving reports. Exhibit 22-33 InRoads Project Defaults Folder Locations shows the different types of files for which a default directory can be defined.

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22-24

ENGINEERING SOFTWARE SETTINGS AND RESOURCES

Exhibit 22-32 InRoads Project Defaults

File Type Preferences Styles Extension *.ini *.ini Description Name of the preference file. (ny_common or ny_(workgroup.ini, such as ny_highway_design.ini, ny_survey.ini) Name of the geometry styles file. (ny_common_wysi.ini) Name of the survey feature table. (ny_survey.fwf) Name of the survey preference file found under Tools > Survey Options ( ny_survey.fxp) Name of the turnout file for rail design (usually Turnouts.txt) Name of the drainage structure file found under Tools > Drainage > Structures File (ny_m_structures.dat) Name of the rainfall data file found under Tools > Drainage > Options, Area Tab Name of the drafting notes file found under the Drafting menu (ny_highway_design_notes.dft) Name of the pay item database found under Quantities > Pay Item Manager (ny_pay_item.mdb)

Survey Feature Table *.fwf Survey Preference Turnouts Drainage Structure Rainfall Data Drafting Notes Pay Items *.fxp *.txt *.dat *.idf, *.rtc *.dft *.mdb

Exhibit 22-33 InRoads Project Defaults Folder Locations

File Type Projects Surfaces Geometry Projects Typical Section Libraries Roadway Libraries Survey Data Drainage Style Sheet XML Data Quantity Manager Extension *.rwk *.dtm *.alg *.tml *.rwl *.fwd *.sdb *.xsl *.xml *.mdb Description The default location of project files. The default location of the surface file. The default location of geometry project files. The default location of typical section libraries. The default location of roadway libraries. The default location of roadway libraries. The default location of the drainage database. The default location of style sheets. The default location of XML data files. The default location of the Quantity Manager database.

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.5.8 Pay Item Database

22-25

InRoads Quantity Manager consists of formulas to compute various types of quantities, computation parameters that are associated with feature styles, and an automated process to compute InRoads quantities. The automated process locates data that matches a specified set of Pay Items, computes the quantity for that data, and outputs the quantity information to a Quantity Manager database. InRoads Quantity Manager uses a pay item database to define the items and formulas for calculating quantities from features. These quantities are then stored in a Quantity Manager Database. The standard pay item database is a part of the ny_common workspace located in the InRoads Data\Quantity Manager folder. This is a base list, and some items, such as the ones based on size or type (usually containing an XX, nn, or YY in the number) will need to be edited by the designer based on what items are needed for the project. The database must then be saved to the project in ProjectWise by the designer. Once the information is stored in the Quantity Manager database, reports can be created. The database can then be used to enter Pay Items and quantities for the project Estimator program. The Quantity commands are used to store and manage pay item information and quantity measurement formulas, and convert geometric measurements of an InRoads surface feature to a quantity. All quantity formulas and pay items are stored in a Microsoft Access database.

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22-26 22.6

ENGINEERING SOFTWARE SETTINGS AND RESOURCES INTERPLOT RESOURCES

The Departments InterPlot Client Configurations files are listed in Exhibit 22-34. The main configuration files for InterPlot client is the iplot.set file (iplot_nym.set and iplot_nyu.set). Settings in this file include: plot units (Metric or US Customary), construction elements are turned off automatically, and InterPlot and InterPlot Organizer generate plots based on the border shape used in standard cell libraries automatically, and plots are align with the X axis. The secondary configuration file for InterPlot Client is the queue settings file. Queue settings files are used to assign a color table, pen table, and the maximum plot height. Sample queue settings files are available as outlined in Exhibit 22-34 InterPlot Client Configuration Files. These sample files are designated by the paper size they are intended to be used with, e.g. (queuename)b.set should be used with B size paper. To automatically set the correct pen tables and color tables, a queuename.set file is required for each plotter/printer used with InterPlot. Many of these queues settings files for specific printer names on the Departments network are provided to the user automatically. Off-network users may have to create a queue settings file by copying the applicable sample file based on paper size, and renaming the copy to the name of the queue the user is plotting to. The maximum plot height should be used to set the scale of a plot, when used with standard cell libraries. Exhibit 22-34 InterPlot Client Configuration Files File Name
iplot.cfg iplot.set queuenameB.set queuenameD.set iplotdrv.plt ny_color.ctb bw.ctb gshade.ctb B_size.pen D_size.pen no_yellowb.pen no_yellowd.pen wt2thick.pen

Description
IPlot configuration file iplot settings file Template B size queue settings file Template D size queue settings file Sets IPLOT print resolution to a minimum of 600 dpi Standard color table Black and white color table Gray shade color table B size pen table D size pen table B size no yellow pen table D size no yellow pen table Double thickness pen table

Folder Location
Program Files\common files\interplot\iplot\config\ NYSDOTCADD\InterPlot Client\settings\ipset NYSDOTCADD\InterPlot Client\settings\ipset NYSDOTCADD\InterPlot Client\settings\ipset Program Files\Common Files\interplot\IPLOT\bin NYSDOTCADD\InterPlot Client\settings\tables NYSDOTCADD\InterPlot Client\settings\tables NYSDOTCADD\InterPlot Client\settings\tables NYSDOTCADD\InterPlot Client\settings\tables NYSDOTCADD\InterPlot Client\settings\tables NYSDOTCADD\InterPlot Client\settings\tables NYSDOTCADD\InterPlot Client\settings\tables NYSDOTCADD\InterPlot Client\settings\tables

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ENGINEERING SOFTWARE SETTINGS AND RESOURCES 22.6.1 Pen Tables

22-27

The weight of a MicroStation element when plotted is controlled by the pen table. Pen tables equate MicroStation weight numbers with thicknesses. The InterPlot client software produces plots based on MicroStation settings unless a setting or modifier is changed with an InterPlot settings file. Plots produced by Department staff are automatically plotted with the correct line thicknesses, as long as, a queue settings file exist for the printer they are using. Consultants should assure that plots they generate adhere to the line thicknesses outlined in Exhibits 22-32 and 22-33. Exhibit 22-35 Line Weight Numbers and Corresponding Standard Line Widths
Weight Numbers 0 1 2 3 4 0.0047 0.0117 0.0176 0.0234 0.0312 Standard Line Widths D-size Drawing (in) B-size Drawing (in) 0.0031 0.0094 0.0156 0.0234 0.0312

Exhibit 22-36 Line Weight Numbers and Corresponding Standard Text Line Widths
Weight Numbers 0 1 2 3 4 Standard Text Line Widths D-size Drawing (in) 0.0047 0.0117 0.0176 0.0234 0.0293 B-size Drawing (in) 0.0059 0.0098 0.0137 0.0176 0.0234

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HIGHWAY DESIGN MANUAL

Chapter 23 Railroads

Revision 39

March 15, 2002

CHAPTER 23 RAILROADS

Contents 23.1 23.2 23.3 23.4 23.5

Page

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-1 GLOSSARY OF TERMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-1 DESIGN STANDARDS, LAWS, AND POLICIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4 KEY SERVICES DELIVERED BY RAIL DESIGN AND SUPPORT SECTION . . . . . . . . . 23-5 METRICATION OF RAILROAD PLANS AND SPECIFICATIONS . . . . . . . . . . . . . . . . . . 23-8 23.5.1 Design Guidance - Geometrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8 23.5.2 Design Guidance - Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8

23.6 23.7 23.8 23.9

PROJECT SCOPING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-9 HIGHWAY BRIDGE TO GRADE CROSSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-10

PRELIMINARY DESIGN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-10 DETAILED DESIGN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-12

23.10 BRIDGE, NEW CONSTRUCTION, RECONSTRUCTION, AND MISCELLANEOUS PROJECTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-12 23.10.1 23.10.2 23.10.3 23.10.4 23.10.5 23.10.6 23.10.7 Clearances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Drainage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pedestrian Fencing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Alterations to Railroad Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Staging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . New, Relocated, or Existing Utilities on Railroad Property . . . . . . . . . . . . . . . Miscellaneous Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-13 23-17 23-18 23-18 23-18 23-19 23-20

23.11 RESURFACING, RESTORATION, AND REHABILITATION (3R) PROJECTS . . . . . . . 23-20 23.11.1 23.11.2 23.11.3 23.11.4 23.11.5 23.11.6 Project Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . General Design Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Geometric Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Drainage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Crossing Surface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Maintenance Paving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-21 23-23 23-24 23-25 23-26 23-27

23.12 PLAN REQUIREMENTS FOR WORK AFFECTING RAILROADS . . . . . . . . . . . . . . . . 23-27

CHAPTER 23 RAILROADS

Contents

Page

23.13 CONSTRUCTION ISSUES TO BE CONSIDERED DURING DESIGN . . . . . . . . . . . . . . 23-28 23.13.1 23.13.2 23.13.3 23.13.4 23.13.5 23.13.6 Excavation on Railroad Property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Demolition and Erection of Structures over Railroad Tracks . . . . . . . . . . . . . Contractor Temporary Crossings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Managing Traffic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Blasting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Drainage, Erosion and Sediment Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-28 23-28 23-29 23-29 23-30 23-30

23.14 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-31

LIST OF FIGURES Figure 23-1 23-2 23-3 23-4 23-5 Title Page

Railroad Data Sheet/Special Note . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-6 Special Note on Railroad Protective Liability Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . 23-7 Vertical Clearance Determination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-14 Embankment Zones and Excavation Restrictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-16 Grade Crossing Site Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-22

/ / / /

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RAILROADS

23-1

23.1 INTRODUCTION This chapter is intended to provide the designer with guidance when dealing with any bridge or highway project that crosses over, under, at-grade, or is in close proximity to, a railroad. In addition, this chapter emphasizes that whenever a railroad is affected by a bridge or highway project, the designer should contact the Design Services Bureau, Rail Agreements Unit, which is responsible for obtaining all project approvals and agreements from the railroad.

/ /

23.2 GLOSSARY OF TERMS American Railway Engineering and Maintenance of Way Association (A.R.E.M.A.). An association of railroad officials that sets forth a recommended practice for industry-wide standards and specifications. Ballast. Material selected for placement on the roadbed for the purpose of holding the track line and surface. Class I Railroad. A railroad whose operating revenue is more than an annually designated amount ($225 million in 1998). Class II Railroad. A railroad whose operating revenues is between $20.4 million and the Class I threshold. Continuous Welded Rail. Rails welded together in lengths of 120 m (400 ft) or more, to minimize joints in mainline tracks to overcome the effects of expansion and contraction. Empire Corridor. The Amtrak passenger line, connecting Penn Station in New York City to Rensselaer (the Hudson Line), Rensselaer to Buffalo (the Chicago Line), and Buffalo to Niagara Falls (the Niagara Branch). Entry Permit. A permit that certain railroads will issue that covers right of entry onto railroad property by state or consultant employees for investigative purposes. Right of entry permits are usually associated with bridge inspection or preliminary engineering work such as necessary survey work, subsurface investigation, etc., used in the development of highway projects. The entry permit delineates liability responsibilities and can include reimbursement for minimal amounts of flagging services. Escape Lane . When a grade crossing is in close proximity to an intersection, there is a possibility that highway traffic will be backed up with a vehicle stopped on the track. An escape lane, usually a shoulder of sufficient width, will allow a vehicle to get off the track if a train is approaching and the highway intersection has not cleared. Gauge . The standard distance between rails measured between the inside faces of the rail head, 16 cm (5/8") below the rail head. In North America, the standard gauge is 1735 mm (4'-8 ). 3/15/02 23.2
/ / / / / / / / / / / / / /

23-2

RAILROADS

/ / / / / / / / / / / / / / / / / / / / /

Intermodal Program Management Section (IPMS). A section within the Freight and Economic Development Division (FEDD) under the Office of Passenger and Freight Transportation of the NYSDOT that interfaces closely with the RDSS, Region, and railroad. As delegated by the Commissioner of Transportation, this section has the authority to determine the need for grade crossing warning devices. The IPMS also reviews and/or makes recommendations for warning device proposals, plans, and specifications. Rail Design and Support Section (RDSS). A section within the Design Services Bureau under the Office of Engineering of the New York State Department of Transportation (NYSDOT). This section should be the initial point of contact for information when a highway project impacts a railroad. This section consists of two units, the Rail Agreement Unit and the Rail Design Squad. Rail Agreement Unit (RAU). A unit within the Rail Design and Support Section responsible for acting as the primary liaison and negotiator between the NYSDOT and each railroad, from project development through construction. The RAU also forwards plans, specifications, and estimates (PS&E) packages to the railroads, and advances agreements, obligates funds, and grants preliminary engineering (PE) authority and construction authority to the railroads. Rail Design Squad (RDS). Provides the technical advice on rail issues when construction or relocation of tracks are involved in a highway project. The RDS can also prepare the PS&E for the rail portion of the project, or assist consultants in the development of plans for more complex projects, or review plans prior to forwarding them to the railroad for comments. Rail. The section of track which rolling stock and on track equipment runs directly on. Railroad Facilities. Any railroad-owned or operated tracks, yards, buildings, communication and signal devices, or any other appurtenance or property necessary to operate the railroad. Railroad Flag Person. A person designated by the operating railroad to protect the interests of railroad operations in and around the project site. Railroad Protection. A term used interchangeably with railroad flag person to mean that railroad facilities or operations are inspected and/or monitored to allow the safe passage of trains. Railroad. Any privately or publicly owned freight, passenger, commuter, transit, switching, or terminal railroad. Regional Rail Coordinator. The person designated to represent the Region in matters relating to railroads. The Rail Coordinator should be aware of Department policies, rules, regulations, design standards and practices, and rail issues which affect the Department. The Rail Coordinator may have an active role in the design and construction of rail projects. Short Line Railroad. A railroad company which may originate or terminate freight traffic on its track, participates in division of revenue and is usually less than 160 km (100 miles) in length.

23.2

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RAILROADS

23-3

State-Railroad Force Account Agreement (SRA). An agreement document between the State of New York and a railroad company in which the railroad's expenses are reimbursed under a force account method of payment. This method of reimbursement allows the railroad to be reimbursed for their actual labor, fringe benefit and overhead rate, and material used in support of a highway project. The length of time required to produce a fully executed agreement varies and the RAU should be consulted for questions regarding agreement requirements on specific projects. C Preliminary Engineering Agreement. An SRA used to reimburse railroads for preliminary engineering (PE) in the development of highway projects. The PE agreement allows for reimbursement of railroad expenses in conjunction with reviews of scoping documents, design approval documents, preliminary and advance detail plans. The PE agreement can also be used to allow for right of entry and for reimbursement of flagging services if Department investigative surveys are close to railroad tracks. Construction Phase Agreement. An SRA which is typically used during the construction phase of a project. The agreement provides for a contractor's right of entry, sets forth insurance requirements and describes maintenance responsibilities after the project is complete. For projects where the total estimated railroad force account is expected to be less than $15,000, the PE costs can be included in the Construction Phase Agreement.

/ / / / / / /

/ / / / /

Subballast. Any material which is spread on the finished subgrade below the ballast to provide better drainage, prevent upheaval by frost, and better distribute the load over the railroad. Third Rail. A distribution system for electric railroads consisting of an insulated rail laid parallel to one of the running rails and arranged to provide a continuous supply of power to electric locomotives. Track. Refers to the various components that comprise the track structure, such as tie plates, fasteners, ties, rail anchors, guardrails, etc. Trainmans Walkway. An unobstructed space suitable for a trainmans use in walking along trains, extending to a line not less than 3 m (10') from the centerline of track along the outer side of each exterior track of multiple tracks, and on each side of a single track. If there is any excavation near the walkway, a handrail with 3 m (10') minimum clearance from centerline of track shall be placed.
/ / / / / / / /

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23.2

23-4
/ / / / / / / / / / / / / / / / / /

RAILROADS

23.3 DESIGN STANDARDS, LAWS, AND POLICIES During the preliminary and detailed design of any project that affects a railroad, the applicable sections of the following standards, laws, or policies, or combination thereof, must be considered in order to ensure conformance to railroad criteria. C C C C C C C C C C C C C American Railway Engineering and Maintenance of Way Association (A.R.E.M.A.) Manual for Railway Engineering Applicable Railroad Standards and Specifications Federal Highway Administration (F.H.W.A.) - Federal-Aid Policy Guide; Part 140, Part 646 Federal Railroad Administration (FRA) Rules and Regulations Federal Manual on Uniform Traffic Control Devices NYSDOT Policy(ies) (e.g., Mainline Clearance Policy, Branchline Clearance Policy) NYSDOT Standard Specifications Construction and Materials, Section 105-09 NYSDOT Highway Bridge to At-Grade Crossing Evaluation Procedure NYSDOT Manual of Uniform Traffic Control Devices NYSDOT Guidelines for the Design of Interconnected Grade Crossing/Highway Traffic Signal Systems NYS Railroad Law - Sections 51-a, 91, 93, 95, 97 NYS Highway Law - Section 10, Subdivisions 21, 24-c, 26, 26-a, 26-b NYS Transportation Law - Article 10

Under the provision of Section 91 of the New York State "Railroad Law," any municipality in the State having jurisdiction over a public highway which crosses over, at grade, or under a railroad may petition the Commissioner of Transportation for approval of alterations to the crossing. Other sections of the "Railroad Law" listed below should be referred to as necessary. C C C Section 51-a: Clearances (involving railroads). Section 93: Repair of bridges and subways at crossings. Section 95: Proceedings by the Commissioner of Transportation for alteration of existing crossings. (See Section 23.7 of this manual for the Highway Bridge to Grade Crossing procedure.)

In general, Section 10 Subdivisions 21, 24-c, 26, 26-a, and 26-b, of the New York State "Highway Law" defines the Department's role and responsibilities in performing alterations to highways and the associated railroad work that may be necessary because of the highway work. Article 10 of the New York State "Transportation Law" covers grade crossing elimination projects. It outlines the procedures for a municipality or railroad to petition the State to eliminate public railroad at-grade crossings that are not on the State Highway System.

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RAILROADS 23.4 KEY SERVICES DELIVERED BY RAIL DESIGN AND SUPPORT SECTION The key services delivered by the RDSS throughout the life of a project include the following. Rail Design Squad:

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Produces the PS&E for the track portion of the Department's capital projects. Prepares preliminary estimates and design options for rail projects. Develops the Department's Special Specifications for rail items. Works with the RAU, Regions, and others in the negotiation of the scope of the rail work to be performed. Serves as the Department's technical advisor on rail issues for both design and construction. Reviews the work of consultants and assists them in their efforts regarding rail design.

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Rail Agreement Unit: Provides coordination between the Regions and the railroads for highway projects where a railroad will be impacted. Serves as the Departments negotiator with railroads, Regions, and other interested parties regarding the scope of the rail work to be performed. Prepares SRAs for preliminary engineering and construction agreements with the railroads. Provides coordination with FEDD for highway projects where a grade crossing is involved. Provision and maintenance of a Rail Agreement Status Report for review of Regional Design. Provides the Regions and DQAB with Special Notes for insertion into the contract plans and proposal, such as: < Railroad Data Sheet/Special Note (Figure 23-1) - Provides basic train data and information to the contractor. This note is used by the contractor's insurance company to calculate the contractor's premium for Railroad Protective Liability Insurance. < Special Note on Railroad Protective Liability Insurance (Figure 23-2) - Informs the contractor of Railroad Protective Liability Insurance requirements. < Other special notes that may be pertinent to a specific project. < Ensures that the State's Third Party Agreement procedures are followed in projects where the railroad needs to subcontract work. < Works with the Region and Main Office functional groups in administering the SRA (amended agreement, contract extension, billing issues, etc.).

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23.5 METRICATION OF RAILROAD PLANS AND SPECIFICATIONS

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FHWA encourages and NYSDOT has implemented the use of metric units in all projects; however, the Federal Railroad Administration (FRA) and the rail industry have not adopted metric units. Therefore, dual English and metric units must be used in the plans and specifications for all dimensions that are of interest to the railroad. This will normally include horizontal and vertical clearances from the tracks to various components of the structure. For a highway bridge, the structural details do not have to be in dual units. The Department will review and approve a PS&E submitted in either English or metric units by a railroad for force account work .

23.5.1 Design Guidance - Geometrics In addition to highway geometric data, railroad geometrics to be indicated on plans must include linear dimensions such as vertical clearances, horizontal clearances (distances from centerline of track to obstructions), horizontal and vertical curve data, and spiral criteria for all tracks at railroad at-grade crossings. Other features that should be indicated include pipelines that either cross over or under the railroad, boring logs, and information pertinent to the railroad that is found within the foundation design report. At a grade crossing location, the plans should include lane widths and the distance from the warning devices to the edge of roadway. For further information regarding this matter, contact the RDSS. The metric policy as noted in Section 23.5 requires the use of dimensions in dual units to assist the railroads in assuring that their requirements have been met. The standard convention for the display of dual dimensions shall be metric value first, followed by the English units in parentheses, e.g., 3.6 m (11.81'). The standard convention will be that the metric number is the controlling value while the English unit will be substantially equivalent for information purposes. Use common sense when defining metric dimensions that satisfy/meet existing nonmetric statutory requirements or industry standards (e.g., A.R.E.M.A.). For instance, when an English unit value represents a maximum or minimum limit that is to be met, the conversion must be in the direction which does not violate the original limit.

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23.5.2 Design Guidance - Materials Designation of materials for railroad work should follow the hierarchy listed below: 1. Common contract items should be standard metric designations in accordance with Department specifications. Examples include wood crossties, pipe, signs, and grading materials such as subballast and ballast. All pay items will be measured and paid for in metric units.

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23-9

2. Dual dimensions must be used to accommodate railroad requirements. Examples include: crossties, crossing surfaces, and construction details such as spike clearance between the head of spike and the base of rail (3 mm (1/8")) or rail weld temperature (32NC 2.8N (90NF 5N)). 3. Standard railroad designations may be used for items unique to the rail industry, especially where nonmetric industry standards are commonly used to specify the material. This includes rail and other track material. For example, for a specification calling for a 7/8" diameter track bolt, no metric designation should be given since it is specified in A.R.E.M.A. standards. These unique items are normally paid for under a metric specification.

23.6 PROJECT SCOPING The relationship between the size or class of a railroad and design of a highway project often affects a project's cost, scope, schedule, and quality. Early coordination by the project developer/designer with the Regional Rail Coordinator and with the RDSS during scoping and design is important in identifying railroad-related issues. The RDSS should be consulted by the scoping team to provide input in the development of the scoping document. In preparing the scoping documents, the project developer should include a section on project impacts to railroad facilities as described in the Design Procedure Manual (DPM), Appendix B. The project developer should contact the RDSS, if necessary, to clarify any railroad-related questions that may arise during the development of the scoping document. The RDSS usually requires 2 copies of the complete scoping document for review, determination of railroad involvement, and forwarding to the affected railroad. The proposed project letting date, scheduled completion date, and project funding should be noted in the transmittal to the RDSS. The RAU typically makes the initial contact with the affected railroad(s). At this stage, a preliminary engineering SRA is typically initiated with the railroad. This agreement will cover the expenses incurred by the railroad for reviewing scoping documents, design approval documents, preliminary and final plans, and any other railroad costs associated with the development of a project.

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23-10

RAILROADS

23.7 HIGHWAY BRIDGE TO GRADE CROSSING The Department has developed the "Highway Bridge to At-Grade Crossing Evaluation Procedure" which is a standardized procedure for evaluating proposals to replace bridges over railroads with at-grade crossings. The designer should refer to the latest procedure which was distributed to all Regional Directors, on March 4, 1991, by the FEDD.
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A proposal to revise this procedure is being considered. With this in mind, contact should be made with the FEDD whenever a bridge-to-grade-crossing proposal is being developed. The USDOT has adopted a policy which establishes a goal of eliminating all grade crossings on the National Highway System, with particular emphasis on principal rail lines. In addition, it should be noted that it is the policy of the NYSDOT not to remove a bridge and establish a grade crossing on any line where regularly scheduled intercity rail passenger service operates. Concerns for safety should be strongly evaluated when investigating the retention or use of an atgrade crossing. Railroad Law requires that a regulatory hearing be convened to formally review the concept of a bridge to at-grade crossing proposal pursuant to the authority granted in Section 95 of the "Railroad Law." The Regions should anticipate having the principal role in testifying at the hearing concerning the appropriateness of removing the bridge. The Regions should contact the FEDD to determine the feasibility and safety of the proposed crossing. A consensus should be reached within the Department prior to the regulatory hearing.

23.8 PRELIMINARY DESIGN During preliminary design, it may be necessary to send Department employees or consultants onto railroad property for soils investigations, site survey, hazardous waste screening or hazardous waste assessment, and to evaluate other impacts associated with the human and natural environment. Each railroad operating within the state has different requirements regarding right of entry for engineering or inspection within their right of way (ROW).
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Although Department employees, agents, and contractors have the right to enter railroad property pursuant to Article 3, Section 30, Paragraph 17 of the "Highway Law," the railroad needs to be notified a few days in advance before entering their property. The Regional Office should contact the railroad to make arrangements with the railroad company to assign a railroad flag person to the site of work or inspection by DOT employees close to live railroad tracks. All tracks should be assumed to be live unless a railroad official indicates otherwise. Flag persons are necessary to insure the safety of DOT employees and to protect the operational interests of the railroad. On projects with minimal railroad involvement, reimbursement of the railroad's flagging expenses can be accomplished by the Region preparing a payment voucher and charging the flagging to the appropriate Project Identification Number (PIN). On projects with significant railroad involvement, the RAU will arrange a force account agreement to pay for flagging. In addition, some railroads require that the Departments consultant acquire permits prior to entry onto railroad property. With consultant-designed projects, it is the responsibility of the consultant to make arrangements with the railroad company and to pay the company directly for the flagging services.

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RAILROADS

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On certain projects where rail design cannot be performed by the RDS or the designated consultant, it may become necessary for the railroad company to retain a consultant to provide design services on behalf of the railroad. If the cost of railroad-retained consultant design services is expected to exceed $25,000, then the railroad should prepare a request for proposal (RFP) and attempt to obtain 5 proposals from firms preapproved by NYSDOT. These proposal solicitation packages and proposals must be reviewed and approved by the RAU prior to award of a design contract. In lieu of this, the railroad may invoke an existing written, continuing contract with a consulting firm under which the firm regularly performs the same services for the railroad. If the railroad follows a standard procedure similar to the process outlined, the railroad may submit a description of that procedure to NYSDOT for approval prior to the process of contracting for engineering services. If the process satisfies the criteria, the railroad will be advised to follow their process and engage a consultant. At the discretion of NYSDOTs Program Manager, the railroad may forego submitting documentation of their procedures and may instead submit a letter to the Program Manager attesting to the fact they have complied with the process and that the documentation is on file at the railroads corporate headquarters. During preparation of the design approval document, it is the responsibility of the RAU to initiate contact with the railroad. Typical information required to be transmitted to the railroad includes: < < < < < < < A brief description of the project. A location plan. An overall project schedule (including any accelerated schedule). The estimated amount of time the project will impact railroad facilities. Any required relocation of railroad facilities (including warning devices). The relocation of utilities on railroad property. The changes in clearances (both vertical and horizontal).

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This information should be contained in the design approval document as described in Appendix B of the DPM. Submission of 3 copies of the design approval document should be sent to the RAU for review, comment, and distribution to the affected railroad(s). If more than one railroad is involved, additional copies should be included as determined by the RAU. If it has not already done so, the RAU will notify the railroad of a project in conjunction with the transmittal of the design approval document.

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23-12 23.9 DETAILED DESIGN

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Review by the railroad and resolution of railroad comments are necessary elements during detailed design and should not be postponed until late in the design stage. The responsible designer, project manager, or consultant manager should ensure that the number of advance detail plans, as listed below, which include any design or construction details that directly affect the railroad, are forwarded to the RDSS for review and comment. Railroad Amtrak Metro-North Long Island Rail Road CSXT Norfolk Southern New Jersey Transit Others Number of Plan Sets 5 5 3 3 3 8 2

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It should be noted that the number of plan sets is subject to change due to the sale of rail lines, the complexity or scope of any given project, and its direct impact on the involved railroads. After an initial review by the RDS, these documents, if acceptable, are then forwarded by the RAU to the railroad for technical review, comment/approval, and for development of the railroad force account estimate and crossing plans if required. Note that the railroad's review and response time is dictated by the nature and extent of the work affecting the railroads and by their staffing levels. As a general guideline, it should be expected that a railroad company will need an average of 60 days from receipt of a set of plans to complete a review and assemble comments from the several different units within the railroad that may need to review the plans independently. Processing time may depend on factors which are out of the Department's control. For instance, normal railroad operational activities may preempt reviews. Designers are urged to allow as much time as possible for railroad review. In general, the more complex the project, the greater the review time required. The railroad typically grants approval of the project once all comments are resolved to the satisfaction of both the Department and the railroad. Railroad approval is implied when the Department receives a railroad signature on the construction force account agreement.

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23.10

BRIDGE, NEW CONSTRUCTION, RECONSTRUCTION, AND MISCELLANEOUS PROJECTS

This section should be used as a guide for projects that replace or rehabilitate an existing bridge or construct a new bridge, provide a new highway alignment, replace an existing highway, or contain other miscellaneous types of work. Resurfacing, Restoration, and Rehabilitation (3R) projects are covered in Section 23.11.

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RAILROADS 23.10.1 Clearances

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For projects which include replacement or rehabilitation of existing bridges, or construction of new bridges, horizontal clearances to the centerline of track or vertical clearances to the top of rail are prescribed by the following laws, policies, and specifications, or combination thereof: C C C C NYS Railroad Law - Section 51-a A.R.E.M.A. - Chapters 28 and 33 NYSDOT - Mainline Vertical Clearance Policy (12/19/86) NYSDOT - Branchline Vertical Clearance Policy (6/10/93)

Note - The Branchline Vertical Clearance Policy should be used as a guide only, as it has not been formally adopted by the railroads operating within New York State. Clearance distances should be considered during scoping, or at the latest, Design Phase I. Horizontal clearances to the centerline of track or vertical clearances from the top of rail are subject to operating requirements and standards adopted by each individual railroad, subject to limitations as set forth in the above referenced materials. For clarification of clearances on a specific railroad, the designer should contact the RDSS to determine the individual railroad's requirements. The minimum vertical clearance over an operating mainline track is 6.71 m (22'-0"). See Chapter 2, Section 2.4.3 of the Department's Bridge Manual. The minimum vertical clearance should be shown on the structure plans measured within a distance of 1.83 m (6'-0") from either side of the centerline of track (2.45 m (8'-0") for CSXT). See Figure 23-3. It should be noted that A.R.E.M.A. criteria recommends 7.01 m (23'-0") vertical clearance and is the standard adopted by most Class 1 railroads as optimum clearance. The 7.01 m (23'-0") vertical clearance allows for further railroad maintenance activities. If in discussion with the Region it is determined to be feasible, design should be to this optimum standard. Under exceptional circumstances, the railroad may agree to clearances less than 6.71m (22'-0"). This waiver should be negotiated through the RAU. Whenever practical, highway bridge structures should have the piers and abutments located outside of the railroad ROW. All piers located less than 7.62 m (25'-0") from the centerline of track require a crash wall designed in accordance with specifications outlined in the current A.R.E.M.A. Manual, Chapter 8, Article 2.1.5. All pier stems and footings should be located so they do not interfere with railroad drainage ditches or facilities. Where special conditions make this impossible, an explanation of these conditions must be submitted with the drainage plans for approval by the railroad.

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Designers should determine the existence of a railroad access road running parallel to the tracks. The presence of an access road will have an impact on the overall horizontal clearances and needs to be addressed during Design Phase I. Typically, railroads do not allow their access roads to be obstructed with piers or abutments. Also, designers should be aware that railroads may eliminate one or more tracks, or in some instances, be planning on adding a track in the future. The designer should make early contact with the RDSS and the Regional Planning and Program Management (RPPM) Group for coordination. Where applicable, the design of bridges along the Empire Corridor should accommodate an extra track for future high-speed rail. This will be determined on a case-by-case basis by the railroad, RDSS, and the FEDD. Vertical and horizontal clearances must be adjusted so that the locomotive engineer's sight distance to railroad signals is not reduced or impaired. This adjustment is determined by each individual railroad. The designer should ensure that any railroad signals within the project limits are clearly marked on the plans. All proposed temporary clearances for construction purposes must be submitted for railroad review prior to detailed design. The actual minimum temporary vertical and horizontal clearances should be shown on the advance and final plans. Methods of construction should be correlated with the proposed temporary clearances to ensure constructibility. For instance, the footings of a pier constructed close to the tracks will require sheeting to be driven to support railroad live load. See Figure 23-4 and Section 23.13.1 for sheet piling requirements close to live tracks. If the driving of sheeting is in conflict with the railroad tracks, sheeting may not be feasible. It is important that the Geotechnical Engineering Bureau (GEB) review the plans for projects with pile or sheet pile driving activities close to railroad facilities. The construction of a bridge over the railroad, excavation along or near the tracks, and construction of a retaining wall near the tracks are types of projects or activities that could warrant such reviews. Track monitoring in the form of profile surveys may be required by a railroad in an effort to identify any potential negative impacts caused by driving operations. The responsible designer or consultant manager should ensure that the GEB receives a copy of the preliminary plan that shows the proposed locations of any structures, substructures, or excavation relative to the railroad. This allows the GEB the opportunity to review the plans and soil boring logs and prepare a foundation design report (if necessary) that meets railroad requirements. GEB's final recommendation for the need for and extent of track monitoring, the soil boring logs, and foundation design report are forwarded to the railroad by the RAU, usually no later than the advance detail plan stage. The GEB and RAU consult throughout the design process in order to provide a coordinated response which will address the railroad's requirements and concerns.

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If it is agreed that track monitoring is required, a special note is provided by the RAU which is included in the contract documents. As these requirements vary depending on the individual railroad, the RDSS should be contacted for clarification.

23.10.2 Drainage Normally, bridge drainage systems and highway drainage are not permitted to drain onto railroad property. Designers should make every attempt to divert bridge and highway drainage away from railroad facilities. Any variation of this must have the approval of the Chief Engineer of the individual railroad. The RAU will negotiate for any variance. The plans for bridge projects should show the proposed track and ditch section in relation to the bridge section and the flow pattern in the vicinity of the railroad. Highway and bridge drainage systems should conform with the existing topography and maintain the continuity of the existing drainage patterns. An increase of drainage to railroad facilities may require the installation of new ditches and/or culverts. Any new ditches and culverts must be sized to accommodate the runoff due to construction, and the drainage must continue to its natural outlet. Ditches must be designed in accordance with Chapter 8 of this manual. In general, railroad drainage (e.g., ditches and culverts) should be designed for storms of 25 or 50 years. Railroads may specify that culverts under or ditches along their tracks be designed based on a 100-year storm. If it is necessary to convey highway drainage into an existing railroad ditch or culvert, then supporting hydrologic and hydraulic calculations, which verify the ability of the ditch or culvert to carry the additional runoff, must be provided to the RAU for transmittal to the railroad. On occasion, it is necessary to design a bridge structure with a pier or abutment location that conflicts with a railroad ditch line. Sufficient space must be allowed for construction of a replacement track ditch parallel to the standard railroad roadbed section. If the railroad ditch cannot be provided, or if a pier will interfere with the ditch, then a culvert of sufficient size must be provided. Where drainage improvements or changes are made within the project limits that require a cross culvert under the railroad track, the design and installation must conform with A.R.E.M.A., Chapter 1, Part 4. A plan showing the proposed cross culvert, method of installation, and drainage calculations must be sent to the RAU for transmittal to the railroad for approval.
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23-18 23.10.3 Pedestrian Fencing

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Pedestrian fencing is required on any bridge with a sidewalk that crosses over an active railroad. The purpose of the fencing is to increase pedestrian safety and protect the railroad against vandalism. Pedestrian fencing usually consists of chain link fence installed along the fascia. See the latest Bridge Detail (BD) sheets available from the Structures Design and Construction Division. Fencing may also be installed on bridges without sidewalks where the railroad can identify a history of problems. In areas where change due to development has created pedestrian traffic generators, i.e., parks, shopping malls, schools, etc., fencing may also be required. Any requirements for fencing should be discussed with the RDSS.

23.10.4 Alterations to Railroad Facilities Consideration must be given to any necessary alterations of railroad tracks and/or facilities. In general, design must be in accordance with A.R.E.M.A. and/or applicable railroad standards. Depending on the nature and extent of the work, sufficient time should be built into the project schedule to allow for railroad input, design, and/or review. If grade crossing warning devices are impacted in any way, the RDSS will contact the FEDD at an early stage in the project. The design of railroad-related work is dictated by the nature and complexity of work, capabilities and staffing levels of the affected railroad(s), and the timing of the project. Railroad-related design can be performed by the RDS, Regional Design, consultants, or by the affected railroad. All requests for rail design assistance should be directed to the RDS (with a copy to the RDSS). Railroad design work performed by Regional Design, consultants, or by the affected railroad is to be submitted to the RDSS for procedural review and coordination of technical review by the RDS. It should be noted that labor agreements between the larger, Class I railroads and their unions normally preclude a NYSDOT contractor from doing any railroad-related work on railroad property. In some circumstances, however, the railroads allow NYSDOT's contractor to perform railroad construction as part of NYSDOT's contract. This requires approval by the railroad prior to the preparation of the contract. Coordination of this activity is handled by the RDSS during plan development.

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23.10.5 Staging The coordination of highway projects and related railroad work should be considered in the scoping phase and very early in the design process. If the project requires railroad work at a specific time and the work is an integral part of progressing the project, then the designer should be aware that certain railroad work can only be performed during certain times of the year. For instance, in the northeast, it is impractical for a railroad to perform major track work during the winter months due to frost in the ground. The staging of railroad work could have a direct impact on the overall schedule; therefore, this work should be identified and the railroads notified by the RAU during preliminary design. 23.10.5 3/15/02

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23.10.6 New, Relocated, or Existing Utilities on Railroad Property It is important that any impacts to utilities on railroad property be determined no later than preliminary design. The following utilities could be present within the project limits crossing under the railroad, over the railroad, or running longitudinally with the railroad, either above or below grade. Railroad communication and signal facilities (C&S) Gas lines Water lines Communication and power lines (private carriers) Fiber optic cables (FOC) High voltage transmission lines (above ground for communities and underground for railroads) Storm water lines Sanitary sewer lines

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All existing lines on or above railroad ROW should be shown and identified on preliminary plans. The presence of C&S lines depends on railroad operations. Designers should be aware that identifying the exact limits of underground railroad C&S lines may be very difficult as the "as-built" plans may not exist. Therefore, approximate limits of railroad C&S lines should be shown, if known. In general, if a designer knows that railroad C&S lines will be in conflict with the construction of a particular project, then the railroads should be advised as early as possible, since it may be necessary to temporarily relocate their lines as part of their force account work. Often, the affected railroad, after reviewing the project plans, will indicate that its lines may be in jeopardy during construction and may require temporary relocation. It should also be noted that numerous communication companies have installed FOC along railroad ROW, typically close to the tracks, although locations vary. The presence of such facilities should be considered during project design. The location of these lines should be shown on the plans and appropriate measures for protection of the FOC by the communications company shall be addressed on the plans and in the contract documents. The cost of relocating FOC can be charged against the project, if the owner of the cable can demonstrate that the owner's occupancy permit for the cable on railroad property grants the owner an easement or compensable property rights. Relocation costs for FOC can be very expensive; therefore, the designer should consider design layouts which avoid their relocation. A bridge or highway project may require that a gas, water, sanitary, or communication line be relocated or installed either on a structure over the railroad or under the tracks. The railroad should be advised of the proposed crossing, as each railroad has its own procedure for the utility company to make application to the railroad for permission to occupy railroad property. For projects involving CSXT, the utility company will be required to enter into a license agreement with the railroad. This agreement will be arranged directly between the railroad and the utility company. The specification for installation of any pipe or conduit under the railroad track, whether under pressure or not, is described in the A.R.E.M.A., Chapter 1, Part 5 and/or covered in railroad 3/15/02 23.10.6

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23-20 specifications.
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The need for encasement, jacketing, and venting of certain utilities will be addressed on a case-bycase basis.

23.10.7 Miscellaneous Projects Projects located close to or over the railroad may at first appear to have no railroad involvement. Miscellaneous projects (bridge cleaning and painting, bridge joint replacement, lighting or signing, slope protection or drainage improvement) located in close proximity to the railroad should include a location map and description of the project sufficient to determine whether or not the railroad is affected by the project. The map and work description should be forwarded to the RDSS and the Regional Rail Coordinator early in project development for a determination of railroad involvement. A railroad should be considered in close proximity when:
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Any part of the project will require work on, over, or under the railroad ROW. The project is likely to induce traffic onto a highway that crosses a railroad at grade. The construction or construction process is likely to interfere with the view of the warning devices for an at-grade crossing. The construction process is likely to cause traffic to back up over an at-grade crossing or switch into the opposing lane where the warning devices will not be effective.

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On bridge cleaning projects in areas where track is electrified, water from the contractors operation shall not be allowed to fall upon the tracks or overhead cables. In addition, no cables or scaffolds that will decrease the vertical clearance may be suspended from the bridge.

23.11 RESURFACING, RESTORATION, AND REHABILITATION (3R) PROJECTS During the project initiation or scoping phase of a 3R project, the developer/designer should determine if there is railroad involvement at a railroad-highway at-grade crossing. An improvement alternative to an at-grade crossing is elimination, either through grade separation of live track (see Section 23.10), or removal, in the case of a track(s) that is abandoned. Refer to the DPM, Appendix B for additional information on project impacts to railroad facilities to be included in the scoping document. If grade crossing warning devices are impacted in any way, the RDSS will contact the FEDD at an early stage. The project developer/designer should alert the RDSS before preliminary design begins if it appears that any tracks within the project limits are unused. The RDSS will approach the affected railroad to inquire about their future plans for these track(s). Improvements can be made to upgrade either the crossing surface, the warning devices, or both. Track work, other than surfacing, is usually limited to within 20 m (65') of the crossing surface. If a railroad at-grade crossing is within the project limits, the designer should enlist the assistance of the Regional Rail Coordinator and the FEDD to inventory the physical characteristics of the 23.11 3/15/02

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crossing, e.g., surface type and condition and warning devices. The Grade Crossing Site Survey form should be considered for use by the Region to help in the evaluation of alterations to at-grade crossings. Figure 23-5 shows a sample Grade Crossing Site Survey form. In the event that no improvements are proposed for a crossing, the project developer/designer should consider the impact of the adjacent construction activities on the grade crossings located within or in close proximity to the project. Among the items to be considered are: The need for railroad flag persons to safeguard trucks and paving equipment. The necessity to mill the pavement near the grade crossing to ensure a smooth transition over the crossing. Traffic backups over the crossing caused by the construction activity, or shifting traffic onto the opposing lane where there will be no grade crossing warning devices.

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When proposing any improvements or modifications at a railroad-highway grade crossing, for example, the crossing surface is to be upgraded, or the warning system is to be relocated and/or upgraded, the designer should refer to the New York State Manual of Uniform Traffic Control Devices (NYS MUTCD) and contact the FEDD. Final determination of improvements is made in conjunction with the RDSS, the railroad, and the FEDD.

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23.11.1 Project Coordination The RDSS is responsible for requesting layouts and for coordinating technical reviews and approvals of the proposed railroad grade crossing and signal improvements through the RDS and/or the FEDD. Recommendations for proper layout of grade crossing warning devices are made by the FEDD and/or the regional rail coordinator.
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RAILROADS 23.11.2 General Design Considerations

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The highway design must be compatible with the railroad-highway at-grade crossing. Vehicular and pedestrian safety will be the primary concern. Each location must be treated on an individual basis and its specific design may be influenced by such factors as motor vehicle and train operational requirements as well as highway traffic signal controller and track circuit limitations. The FEDD will provide technical assistance on the warning system aspects of this design and should be contacted at an early stage. The geometric design of the railroad-highway at-grade crossing must be made concurrently with the determination of the type of warning devices to be used. Factors to be considered when identifying proposed at-grade crossing improvements include: C C C C C C C C C C C C C Vehicular speeds and volumes. Train speeds and volumes. Accident history. Sight distance. Crossing skew. Number of tracks. Highway approach grade. Length of trains. Consistency of the type of warning devices with other at-grade crossings. Type of warning device circuitry. The presence of pedestrians and bicyclists. Use of the crossing by school buses or trucks carrying hazardous materials. Emergency services.

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It may be necessary at certain at-grade crossing locations to provide an added margin of safety through the use of additional features such as: C C C C Escape lanes. "DO NOT STOP ON TRACKS" signs. Advance clear out of traffic signal phases. Turn restrictions, including variable message as well as "NO TURN ON RED" signing.
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When only passive warning devices such as signs and pavement markings are used to alert drivers to the crossing location, the driver must determine whether or not there are train movements. Therefore, sight distance becomes a critical factor in determining the safety of passive warning devices and whether active warning devices are required. The reference material applicable for determining sight distance can be found in AASHTO's A Policy on Geometric Design of Highways and Streets. If sight distance criteria cannot be met, active warning devices should be considered. When these devices are used, the driver is given a positive indication of the approach or presence of a train at the crossing. Active traffic control devices for highway-railroad grade crossings consist primarily of flashing light signals and automatic gates. It follows that a clear line of sight should be kept between the warning devices and the drivers approach position for the minimum distance given in 3/15/02 23.11.2

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23-24
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RAILROADS

AASHTO. This should be considered when placing highway signs and should be brought to the attention of the utility companies. Traffic control signals should normally be provided at coincident crossings - crossings where the railroad track crosses the highway within an intersection - when justified by standard intersectional warrants in the NYS MUTCD. They should not be provided at these crossings solely due to the fact a coincident crossing exists. Where signals are not provided, passive warning devices are used. Where a grade crossing exists within 60 m (200') of a signalized intersection and traffic queues over the crossing, a traffic signal (advanced head) or other means of clearing traffic must be installed. Standards for design, placement, and installation of active warning devices are outlined in the NYS MUTCD. Also, input or advice relative to application or operation can be obtained from the FEDD, Regional Traffic Engineering and Safety Group, or the RDSS, depending on the type of devices being considered. For specific information on the need for railroad warning devices, placement or circuitry, designers should contact the FEDD. This Division makes the final Department determination concerning the need for and appropriate location of warning devices. The affected railroad must agree with this determination, as it is responsible for the operation and maintenance of the warning devices. For information on highway traffic signal interconnection with railroad preemption, designers should contact the Regional Traffic Engineering and Safety Group and the FEDD. For general information or guidance, the designer is urged to contact the RDSS. A guideline entitled NYSDOT Guidelines for the Design of Interconnected Grade Crossing/Highway Traffic Signal Systems is also available from the FEDD on this subject.

23.11.3 Geometric Considerations The horizontal and vertical geometrics of a highway approaching an at-grade crossing should be designed and constructed in a manner that it is compatible with and promotes safe driving through the crossing. The following factors should be considered. 1. The railroad and highway shall cross as close to a right angle as the design permits. Skewed crossings generally produce a less satisfactory ride because of the alternating contact with the rails. In addition, skewed crossings generally reduce sight distance in one or more quadrants and create a potentially unsafe condition for bicycles and motorcycles. Designers should refer to AASHTO's A Policy on Geometric Design of Highways and Streets for guidance regarding horizontal and vertical highway alignment through railroad crossings and the current AASHTO Guide for the Development of Bicycle Facilities for information about designing railroad crossings that will safely accommodate bicycle traffic. 2. Sharp horizontal highway curves approaching the crossing should be eliminated. If possible, the crossing should not occur on any horizontal highway curve. Proper highway superelevation relative to the railroad may be difficult to obtain, resulting in poor rideability.

23.11.3

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RAILROADS

23-25

3. At-grade highway intersections near a railroad-highway at-grade crossing can present special problems, particularly if signalized. Signal interconnection with the railroad's warning devices may be necessary. This will require field coordination between the railroad, the RDSS, the Regional Traffic Engineering and Safety Group, and the FEDD. Consult the NYS MUTCD to determine the appropriate signalization. 4. The full width of travel lanes, shoulders, and pedestrian facilities on the approach roadway should be carried through the crossing. 5. It is desirable that the at-grade crossing be made as level as possible, considering sight distance, rideability, braking and acceleration distances. Vertical curves should be of sufficient length to ensure an adequate view of the crossing. 6. The railroad geometric considerations include rate of change of grade, spiral length, superelevation, and transition length. The RDS can advise the designer of the design criteria that change depending on speed and railroad. In some instances, the highway profile may not meet acceptable geometrics for a given design speed because of restrictive topography or limitations of ROW. Acceptable geometrics necessary to prevent drivers of low-clearance vehicles from dragging across or becoming hung-up on the crossing require the crossing surface to be at the same plane as the top of the rails for a distance of 0.6 m (2'-0") outside the rails. The surface of the highway should also be not more than 75 mm (3") higher or 75 mm (3") lower than the top of nearest rail at a point 9 m (30'-0") from the rail unless track superelevation dictates otherwise. See AASHTO's A Policy on Geometric Design of Highways and Streets. Vertical curves should be used to traverse from the highway grade to the level plane of the rails.

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23.11.4 Drainage Drainage considerations at the crossing can affect the life and rideability of the crossing. Therefore, the following items should be considered during design. C C C C C Subgrade preparation and proper ballast. Ditch maintenance and grading. Filter fabric installation on the proposed subgrade. Installation of perforated drainage pipe to collect and carry water to side ditches. Evaluation and remediation of existing drainage problems caused by railroad and/or highway profiles. For instance, current conditions could allow ponding which can contribute to subgrade saturation in the area of the crossing.
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The work listed above can usually be performed by NYSDOT's contractor in coordination with the railroad. The work limits are established on a case-by-case basis, and a determination is often made during project scoping.

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23.11.4

23-26 23.11.5 Crossing Surface

RAILROADS

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T he crossing surface must preserve the structure and stability of the crossing and provide good rideability. Many types of crossing surfaces exist. The type of surface should be commensurate with the highway traffic (including bicyclists and pedestrians, particularly those with disabilities) and train characteristics it must accommodate. The factors to consider when selecting a crossing type are initial cost, durability, and ease and cost of maintenance. A 20-year design life should be used. The railroad companies are responsible for maintenance of the crossing; therefore, their input into the crossing type is important. It should be noted that labor agreements between larger railroads and their unions normally preclude a NYSDOT contractor from doing any railroad related work on railroad property. However, smaller railroads, such as shortlines, may not have such stringent work agreements and it may be feasible, as well as more expedient, for the NYSDOT contractor to install the surface and/or perform necessary track work. The ultimate decision on type and extent of work the NYSDOT contractor is allowed to perform rests with the affected railroad and is decided on a project-by-project basis early in the preliminary design. If the Department's construction contract includes railroad work, the RDS often can perform the trackwork and surface design. This effort is coordinated by the RDSS. Crossing surfaces are generally categorized as low type and high type, described as follows: Low Type C Asphalt - An asphalt surface over the entire crossing area with wood timbers, additional rail, or rubber header forming the flangeway. High Type C Rubber Panels (Elastomeric) - Full depth rubber or steel reinforced molded rubber panels with a patterned surface. The inside or gage panels extend from rail to rail with flangeway openings provided. Each outside or field panel is designed to extend to the ends of crossties. C Concrete Panels - Similar to rubber panels with a brush finish for improved traction. Concrete crossings are designed for crossings with high volumes of vehicles making turning movements and heavy commercial traffic. (Note: CSXT does not allow concrete panels to be installed on their tracks in New York State) C Concrete Modular Panels - A track on concrete slab panel design. Mainly used where train traffic is of low speed and highway volume is high. (Note: CSXT and Norfolk Southern do not allow concrete modular panels to be installed on their tracks in New York State) Highway approach paving should be performed according to the crossing manufacturer's recommendations and details included in the plans. The timing of the paving and crossing work is to be finalized at the preconstruction meeting.

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Technological developments have inspired the use of hybrid crossing surfaces. Railseal Interface, for instance, is a relatively new concept that combines both the asphalt and rubber surface. The rubber header material runs parallel to the rails on the gage and field side (inside and outside of rail), providing a flexible rubber interface between the rigid road surface materials and the flexible track structure. 23.11.5 3/15/02

RAILROADS

23-27

23.11.6 Maintenance Paving Maintenance paving type projects that go up to a railroad crossing will need a construction force account agreement with the affected railroads to provide for flagging and /or other support services that may be needed. The RAU should be notified early in the process so that the necessary agreements can be obtained. The Region shall provide plans, a clear description of the work, and a project schedule to the RAU for forwarding to the railroad. As with highway projects, it should be expected that the railroad will need about 60 days to review the proposed work and provide comments. Once all comments are resolved, the process of developing a construction force account agreement can begin. Obtaining a fully executed agreement currently takes about 3 to 4 months, depending upon the railroad involved.

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23.12 PLAN REQUIREMENTS FOR WORK AFFECTING RAILROADS The plans for any highway project that impacts a railroad should clearly show and identify all existing and proposed highway and railroad facilities. Preliminary plans (included in design approval documents) and advance detail plans should show the highway work in accordance with Section 23.5.1 of this chapter, along with Appendix B and Appendix G, respectively, of the Design Procedure Manual. Railroad communication and signal (C&S) wires, warning devices, power cables, third rail and appurtenances should be shown accurately on the preliminary and advance detail plans. If railroad C&S wires are within the project limits and there exists the potential for interference with construction operations, the designer should consider the possibility of placing the cables underground, either temporarily or permanently. It is desirable to place cables underground permanently when a highway bridge crosses over the tracks. This eliminates interference with future bridge maintenance operations. The request for this proposal should be made no later than the advance detail plan stage. See Section 23.10.6 for additional information. Track plan and top-of-rail profile for a minimum of 90 m (300' ), with an additional 20 m (65') for each 25 mm (1") change in highway elevation profile either side of the highway, the ditches and drainage patterns, railroad ROW lines, and equality stations for intersections of the highway with the centerline of railroad track(s) should also be shown. The top-of-rail survey is to be obtained by a survey crew, NOT by photogrametric stereo compilation methods. The distance and direction to the nearest railroad milepost should also be identified. If a new structure is planned over or under a railroad, then the designer should contact the RAU for the proper maintenance note. This note is typically added on the preliminary structure plan sheet. If it is determined that the Department will be designing a crossing improvement as described in Section 23.10.4, then a request for rail design assistance should be forwarded to the RDS prior to the commencement of final survey work. The RDSS should be contacted for specific questions on the content of plans that meet railroad requirements.

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23.12

23-28
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RAILROADS

Special railroad notes are prepared by the designer or the RDS to supplement the Standard Specifications. These special notes usually pertain to a specific project and are included in the plans or project proposal. The decision on who prepares the special note is typically mutually agreed upon by the designer and the RDS during detailed design.

23.13 CONSTRUCTION ISSUES TO BE CONSIDERED DURING DESIGN The designer should refer to Section 105-09 of the Standard Specifications for information regarding general construction criteria in and around railroads. It should be noted that prospective contractors need to contact the affected railroad for access to the site for a prebid site inspection.

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23.13.1 Excavation on Railroad Property Excavation may be necessary during demolition or construction of any structures. A determination should be made early in Design Phase V whether excavation activities will impact railroad facilities. Generally, the railroad will not require steel sheet piling or H-piling for earth support when excavating outside the theoretical railroad embankment line. Steel sheet piling, designed for an E-80 loading, driven prior to excavation is required for earth support when construction excavation is within the theoretical railroad embankment line. Open excavation 3 m (10 ft.) from the centerline of the track will require handrails to protect the trainmans walkway. See Figure 23-4 for the details of installing temporary or permanent steel sheet piling adjacent to track.

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23.13.2 Demolition and Erection of Structures over Railroad Tracks The method of demolition and erection of structures should minimize interference with railroad facilities. Special arrangements may be necessary to obtain windows (track outages) for certain construction activities, such as hoisting materials over the railroad tracks. In metropolitan areas, demolition and construction or erection procedures may impose impacts to train or railroad passenger/pedestrian traffic that are unavoidable. In most cases, provisions must be made in the contract documents to preserve the continuity of traffic and protect the railroad facilities. During project development, these issues should be identified and the railroad notified of possible interference. Protection can range from the simple shield over a passenger platform to the more complicated busing of train passengers around a construction site. Depending on the extent of impacts to the railroad, the Region, or in particular the railroad, will perform community outreach to inform passengers or pedestrians of any temporary changes. The outreach could take the form of leaflets, newspaper ads, TV/radio announcements, or public meetings. Each railroad has its own specifications and requirements for shielding during demolition procedures. Loading requirements for shields are typically part of the information that the railroad will supply during the review process. Contact the RDSS for further guidance regarding these types of projects.

23.13.2

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RAILROADS 23.13.3 Contractor Temporary Crossings

23-29

Contractor access could become a critical issue during construction. It may be necessary to propose to the railroad that it include within its force account a provision for a contractor's private grade crossing that is essential to the construction of the project. In order to remain consistent with Section 105-09F of the Standard Specifications, this would be proposed only if absolutely necessary as railroads typically are opposed to creating any new at-grade crossings. Other crossings or arrangements purely for the convenience of the contractor are handled exclusively between the contractor and the railroad and are not eligible for reimbursement under the terms of a StateRailroad Agreement. If any temporary crossing traverses an intercity rail corridor, the FEDD must be contacted and a hearing may be required in accordance with Section 97 of the New York State Railroad Law. It should not be assumed that a railroads access road will be made available to the states contractor for construction activities. In some cases where there is enough room, the contractor may be required to construct a separate access road for their use on the railroad ROW parallel to the railroads access road. It will be the contractors responsibility to secure an easement with the railroad. In some instances, it may be advisable to have preliminary discussions with the railroad during the design phase regarding the contractors access to the site, especially if a temporary grade crossing may be required.

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23.13.4 Managing Traffic Project developers/designers should be aware of the importance of work zone planning where a railroad crossing exists within or near a work zone. Extra care should be taken to avoid creating conditions, either by lane reductions, flagging operations, or shifting traffic onto the opposing lane where vehicles can unexpectedly be stopped on railroad tracks or where warning devices are no longer effective. The impact of traffic over existing at-grade crossings should be assessed by the FEDD and/or the regional rail coordinator through the RAU to determine if any surface or signal improvements are necessary as part of the project. If the work phasing or physical layout cannot avoid the queuing of vehicles across the tracks, it may be necessary to provide flagpersons, escape lanes, or signs which indicate "DO NOT STOP ON TRACKS." Care should be taken when placing construction warning signs to avoid obstructing the view of automatic flashing lights and gates. Generally, an unobstructed view from the motorist to the railroad flashers should be maintained for 105 m (350'). In addition, the view of construction signs should not be blocked by lights and gates. The use of off-site or on-site detours or detour bridges must be considered. Care should be taken not to detour truck traffic over severely humped crossings. As indicated in Section 23.13.3, the designer should be aware of the railroad's reluctance to approve temporary on-site at-grade crossings. If a detour bridge is utilized, the designer should be aware of the requirements of Sections 23.10.1 through 23.10.7.

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23.13.4

23-30 23.13.5 Blasting

RAILROADS

Railroads are opposed to any construction application which utilizes blasting closer than 75 m (250' ) from their facilities. Blasting proposals must be considered on a case-by-case basis and inquiries should be directed to the RAU.

23.13.6 Drainage, Erosion, and Sediment Control The general plans for a bridge should indicate the proposed methods of drainage, erosion, and sedimentation control, and address means to prevent sedimentation in ditches and culverts from fouling the track ballast and subballast. Existing track ditches must be maintained at all times throughout the construction period.

23.13.6

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RAILROADS 23.14 REFERENCES 1.

23-31

A Policy on Geometric Design of Highways and Streets, 2001 , American Association of State Highway and Transportation Officials, Suite 225, 444 North Capitol Street, N.W., Washington, DC, 20001. Branchline Vertical Clearance Policy, June 10, 1993, Design Quality Assurance Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232. Bridge Manual, Structures Design and Construction Division, New York State Department of Transportation, State Campus, Albany, New York, 12232. Design Procedure Manual, October 31, 1997 (Revised January 9, 1999) Design Quality Assurance Bureau, New York State Department of Transportation, State Campus, Albany, New York, 12232. Federal Aid Policy Guide, Part 140, Part 646, December 9, 1991, U.S. Department of Transportation, Federal Highway Administration, Washington, D.C. 20590. Highway Bridge to At-Grade Crossing Evaluation Procedure, Freight Transportation Division (currently the Freight and Economic Development Division), New York State Department of Transportation, State Campus, Albany, New York, 12232. Mainline Vertical Clearance Policy, December 19, 1986, Design Quality Assurance Bureau, New York State Department of Transportation, Albany, New York, 12232. NOTE: Currently being revised. Manual for Railway Engineering, Volume 1 - Volume 4, American Railway Engineering and Maintenance of Way Association, 50 F Street, NW, Washington, DC 20001. Manual of Billing Procedure for Submission of Rail/ Project-Payment Vouchers to NYSDOT, 1986, Freight Transportation Division (currently the Freight and Economic Development Division), New York State Department of Transportation, State Campus, Albany, New York, 12232. Manual on Uniform Traffic Control Devices , 2001, US Department of Transportation, Federal Highway Administration, for sale by the Superintendent of Documents, US Government Printing Office, Washington, DC 20402. McKinney's Consolidated Laws of New York , Annotated, Book 48, Railroad Law, May 29, 1991 (and updates), West Publishing Company, St. Paul, Minnesota. McKinney's Consolidated Laws of New York , Annotated, Book 24, Highway Law, April 1, 1979 (and updates), Sections 1-169, West Publishing Company, St. Paul, Minnesota.
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2.

3.

4.

5.

6.

7.

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8.

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9.

10.

11.

12.

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23.14

23-32 13.

RAILROADS McKinney's Consolidated Laws of New York , Annotated, Book 61A, Transportation Law, February 1994, West Publishing Company, St. Paul, Minnesota. NYSDOT Guidelines for the Design of Interconnected Grade Crossing/Highway Traffic Signal Systems, First Working Draft, August 1997, Freight and Economic Development Division, New York State Department of Transportation, State Campus, Albany, New York, 12232. Scoping Procedure Manual, Corridor Management Group, New York State Department of Transportation, State Campus, Albany, New York, 12232. Standard Specifications Construction and Materials, January 2, 1995, Office of Engineering, New York State Department of Transportation, State Campus, Albany, New York, 12232. Title 17, Volume B of the Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR), also known as the New York State Manual of Uniform Traffic Control Devices, West Group, 620 Opperman Drive, PO Box 64833, St. Paul, MN 55164-9752.

14.

15.

16.

17.

23.14

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HIGHWAY DESIGN MANUAL

Chapter 24 - Mobility Measures

Revision 32

May 4, 1998

Chapter 24 MOBILITY MEASURES Contents 24.1 Page

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-1 24.1.1 24.1.2 24.1.3 24.1.4 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . HOV Lanes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Commuter Transfer Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Additional Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-1 24-2 24-2 24-2

24.2

HIGH-OCCUPANCY VEHICLE LANES ON FREEWAYS . . . . . . . . . . . . . . . . . . . 24-4 24.2.1 24.2.2 24.2.3 24.2.4 24.2.5 24.2.6 24.2.7 24.2.8 24.2.9 24.2.10 24.2.11 24.2.12 24.2.13 24.2.14 HOV Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-6 HOV Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-18 Design Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-24 Barrier-Separated Reversible-Flow Lanes . . . . . . . . . . . . . . . . . . . . . . . 24-28 Barrier-Separated Two-Way Flow Lanes . . . . . . . . . . . . . . . . . . . . . . . . 24-34 Two-Way Busway Lanes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-40 Buffer-Separated Two-Way Concurrent Flow Lanes . . . . . . . . . . . . . . . 24-44 Nonseparated Two-Way Contiguous Flow Lanes . . . . . . . . . . . . . . . . . 24-51 Contraflow Lanes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-53 Signing and Pavement Markings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-57 Provisions for Incident Handling and Maintenance . . . . . . . . . . . . . . . . 24-64 Highway Drainage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-65 Lighting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-67 Lane Conversions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-67

24.3

COMMUTER TRANSFER FACILITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-68 24.3.1 24.3.2 24.3.3 24.3.4 24.3.5 24.3.6 24.3.7 Park-and-Ride Lots . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-70 Park-and-Pool Lots . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-90 On-Line Transfer Stations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-91 Off-Line Transfer Stations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-97 Curb-Side Bus Stops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-98 Bus Turnouts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-105 Bus Turnarounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-111

24.4

HIGH-OCCUPANCY VEHICLE LANES ON ARTERIALS . . . . . . . . . . . . . . . . . 24-113 24.4.1 24.4.2 24.4.3 24.4.4 24.4.5 24.4.6 Design Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Design Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Signing and Pavement Markings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Access to Abutting Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Provisions for Bicycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-113 24-115 24-126 24-129 24-132 24-132

5/4/98

Chapter 24 MOBILITY MEASURES 24.5 OTHER TREATMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-134 24.5.1 24.5.2 24.5.3 24.5.4 24.5.5 24.5.6 24.5.7 24.5.8 24.5.9 24.6 24.7 24.8 24.9 Freeway Entrance Ramp Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Freeway-to-Freeway Connector Metering . . . . . . . . . . . . . . . . . . . . . . Queue Bypasses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Freeway Shoulders as Peak Hour Travel Lanes . . . . . . . . . . . . . . . . . Access Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Incident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Traffic Calming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Special Traffic Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Traveler Information Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-134 24-147 24-149 24-151 24-158 24-159 24-160 24-161 24-163

INTELLIGENT TRANSPORTATION SYSTEMS (ITS) . . . . . . . . . . . . . . . . . . . 24-165 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-166 OTHER SOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-173 ACRONYMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-176

24.10 GLOSSARY OF TERMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-177

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Chapter 24 MOBILITY MEASURES List of Figures Section 24.2 24-1 Typical Cross Section Elements for Freeway HOV Lanes 24-2 Terminating HOV Lane Operation at At-Grade Slip Ramps 24-3 Cross Section Dimensions for Barrier-Separated Reversible-Flow HOV Lanes 24-4 At-Grade Slip Ramps for Barrier-Separated Reversible-Flow HOV Lanes 24-5 Flyover Ramps for Barrier-Separated Reversible-Flow HOV Lanes 24-6 Drop Ramp for Barrier-Separated Reversible-Flow HOV Lanes 24-7 Cross Section Dimensions for Barrier-Separated Two-Way Flow HOV Lanes 24-8 At-Grade Slip Ramps for Barrier-Separated Two-Way Flow HOV Lanes 24-9 Flyover Ramps for Barrier-Separated Two-Way Flow HOV Lanes 24-10 Two-Way Drop Ramp for Two-Way Barrier-Separated HOV Lanes 24-11 Cross Section Dimensions for Two-Way Busway in Freeway Right of Way 24-12 At-Grade Busway Ramp and Cross Street Intersection 24-13 Cross Section Dimensions for Concurrent Flow HOV Lanes 24-14 Ingress/Egress Areas for Concurrent Flow HOV Lanes 24-15 Median Enforcement Areas for Medians 6.0 m to 9.0 m Wide 24-16 Median Enforcement Areas for Medians Less Than 6.0 m Wide 24-17 Cross Section Dimensions for Two-Way Contiguous Flow HOV Lanes 24-18 Cross Section Dimensions for Contraflow HOV Lanes 24-19 Typical Terminal Treatments for Contraflow Lanes 24-20 HOV Lane Pavement Markings 24-21 Alternative Drainage Treatments for Barrier-Separated Two-Way HOV Lanes Section 24.3 24-22 Recommended Minimum Dimensions for 2.7 m Wide Parking Stalls 24-23 On-Line Center Platform Transfer Station 24-24 On-Line Side Platform Transfer Station 24-25 Parallel Bus Bay Layout Dimensions 24-26 Shallow Sawtooth Bus Bay Layout Dimensions 24-27 Curb-Side Bus Stop Dimensions 24-28 Bus Turnout Dimensions 24-29 Bus Turnaround Dimensions Section 24.4 24-30 Arterial Street HOV Lane Combinations 24-31 Intersection Lines for Concurrent Flow Arterial HOV Lanes 24-32 Bicycle Lanes at Bus Stops and Bus Turnouts Section 24.5 24-33 Layout of Pretimed Entrance Ramp Metering System 24-34 Layout of Traffic-Responsive Entrance Ramp Metering System 24-35 Guideline Ramp Meter Storage Length 24-36 Shoulder Use and Narrow Lane Applications

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Chapter 24 MOBILITY MEASURES List of Tables Section 24.2 24-1 Typical Freeway HOV Lane Alternatives 24-2 Summary of Freeway HOV Facility Cross Section Widths 24-3 Roles for Various Ingress/Egress Concepts 24-4 Comparison of User/Eligibility Tradeoffs 24-5 Recommended Design Vehicle Envelope Section 24.3 24-6 Berth Length for Bus Pull-In 24-7 Road Width for Bus Pull-Out 24-8 Bus Stop Spacing 24-9 Comparison of Bus Stop Locations 24-10 Comparison of Bus Turnout Locations Section 24.4 24-11 Design Considerations for Arterial HOV Lanes Section 24.5 24-12 Metering Rates for Demand-Capacity Metering 24-13 Local Actuated Metering Rates as a Function of Mainline Occupancy 24-14 Primary Advantages/ Disadvantages of Shoulder Use Alternatives on Freeways

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MOBILITY MEASURES 24.1 INTRODUCTION

24-1

The purpose of this chapter is to provide design guidelines for improved Transportation Systems Management through the use of high-occupancy vehicle (HOV) facilities, including HOV lanes on freeways and arterials, commuter transfer facilities, and other mobility measures. These measures focus on moving people and goods efficiently, not just vehicles. Further information on planning, design and operation of these facilities may be found in the publications listed in Section 24.7 References and Section 24.8 Other Sources at the end of the chapter. Guidance on temporary mobility measures during construction is being developed for release at a later date, either as a chapter in this Manual, or as a separate manual. 24.1.1 Background New Yorkers pay a high price for congestion as a result of traffic tie-ups which reduce economic efficiency, increase the cost of products, exacerbate health risks from increased vehicle emissions and added mental and emotional stress, and expose travelers to greater accident risk. Strategies to reduce predicted levels of congestion and vehicular pollutants at a reasonable cost have been identified in the Scoping Procedure Manual as: 1. Reduce the proportion of single occupant vehicles in urbanized areas (with a population) of over 200 000 during the peak travel periods, 2. Increase ridership on traditional transit (line haul fixed route) and non-traditional transit (demand responsive and paratransit), 3. Incorporate Transportation Systems Management (TSM) and Intelligent Transportation System (ITS) strategies to improve the operational efficiency of the existing transportation network with special emphasis on moving people and goods, and 4. Incorporate Travel Demand Management (TDM) strategies in the design of all new and expanded arterials. These strategies are described in detail in Mobility in New York State, Issues and Opportunities, which outlines a strategy for combating congestion in New York's most populated areas. The Regional Planning and Program Management Group, along with other functional units in the Region, should work through the development of the project to assure, among other things, that it is in conformance with applicable policies, procedures and guidelines, that it meets the project objectives, and that it is a socially, economically and environmentally compatible solution. A genuine consensus should be established among the Region's functional units about the nature of the proposed project and what it is supposed to accomplish and include before it is turned over to the designer. For a detailed description of the project scoping process, refer to the NYSDOT Scoping Procedure Manual.

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24.1

24-2 24.1.2 HOV Lanes

MOBILITY MEASURES

The HOV lane concept is applicable only to corridors that serve urban and dense suburban areas, and that are, or forecast to be, subject to traffic congestion. There should generally be a high level of HOV use, transit use and ridesharing. The effectiveness of HOV facilities is enhanced when combined with a number of other TDM measures to encourage use, such as rideshare matching services, employer incentives, supporting facilities that help to collect and distribute passengers, and public information and education programs. Section 24.2 describes different physical and operational aspects of HOV facilities on freeways, and presents design criteria, cross sections, examples of access treatments, enforcement considerations, and signing and pavement markings for HOV lanes on freeways. Most HOV lanes on arterials are bus-only lanes in downtown areas. The increasing congestion in urban areas makes it clear that arterial HOV lanes should continue to be actively considered. Section 24.4 presents guidelines for high-occupancy vehicle lanes on arterials, including passenger loading and unloading areas, signing and pavement markings, enforcement, access to abutting properties and provisions for bicycles. 24.1.3 Commuter Transfer Facilities Commuter transfer facilities, including park-and-ride and park-and-pool lots, and transfer stations located on or near HOV lanes, permit commuters to transfer from single-occupant to highoccupancy vehicles to take advantage of HOV facilities. Access to transfer facilities can be made available for all travel modes. By using transfer facilities, commuters maximize the efficiency of the local transportation system. Section 24.3 presents guidelines for commuter transfer facilities. 24.1.4 Additional Treatments Ramp metering is a common method of dealing with freeway congestion and improving merging operation safety at entrance ramps. Section 24.5.1 discusses the various types of ramp metering in use on freeway systems. Metering of freeway-to-freeway connectors is a technique that has proven to be a successful and useful complement to ramp metering when high volume connectors are significant contributors to operational bottlenecks. Section 24.5.2 discusses freeway-to-freeway connectors. Queue bypasses can be used at entrance ramps on freeway facilities with HOV lanes, or at bottlenecks created by lane reductions, freeway convergences, or toll plazas. Refer to Section 24.5.3 for further discussion. The use of freeway shoulders as peak hour travel lanes and guidelines for their use are presented in Section 24.5.4. Access management is applicable to all roadway types and is of particular importance along uncontrolled access facilities. The Department's driveway policy is found in the Policy and 24.1.2 5/4/98

MOBILITY MEASURES

24-3

Standards for Entrances to State Highways and a variety of access management treatments are covered in the Department's Best Practices in Arterial Management. Section 24.5.5 provides more detail. Incident management is applicable to general-use freeway and HOV freeway lanes, and is discussed in Section 24.5.6.. Traffic calming, initially developed to mitigate the impact of traffic in residential areas and around schools, may now have limited application in certain situations, in urban areas. The Department is developing interim policy and guidelines for the use of traffic calming on State highways. It will be released as guidance separate from this Manual.

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24.1.4

24-4

MOBILITY MEASURES

24.2 HIGH-OCCUPANCY VEHICLE LANES ON FREEWAYS High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual contains a list of the objectives of HOV priority treatments. ! ! ! ! ! ! Induce mode shift, Increase person-carrying capacity of highway corridors, Reduce travel time, Reduce or defer the need to increase highway vehicle-carrying capacity, Improve the efficiency and economy of public transit operations, and Reduce fuel consumption.

AASHTO's Guide for the Design of High-Occupancy Vehicle Facilities contains a list of general conditions which should, or be projected to, exist before serious consideration is given to an HOV alternative. ! There should be compatibility with other activities and plans. C The HOV facility should be a part of an overall transportation plan. C Support should be obtained from the community and various local agencies for developing HOV facilities. C Intense, recurring congestion must exist on the freeway general-use lanes. C Peak period traffic per lane on the freeway should be approaching capacity (1700 to 2000 vehicles per hour [vph]). C During the peak hour, average speeds on the freeway mainlanes during non-incident conditions should be less than 50 km/h over a distance of 8 km or more. C Relative to using the freeway general purpose lanes, the HOV facility should offer a travel time savings during the peak hour of approximately 1 minute per 1.6 km of facility length. An overall time savings of 8 minutes is desirable, and 5 minutes is minimum. ! The travel patterns on the freeway should be conducive to being served by rideshare - either bus or carpool. C Desirably, a significant volume of peak-period trips (perhaps more than 6000 home-based work trips during the peak hour) on the freeway should be destined to major activity centers or employment areas in or along the corridor. C Of the peak-period trips on the freeway destined to major activity centers, at least 65 percent to 75 percent should be longer than 8 km in length. C The resulting rideshare demand should be sufficient to generate HOV volumes that are high enough to make the facility appear to be adequately utilized. The specific volume needed may vary by type of facility and location. ! The HOV facility design that can be provided should allow for safe, efficient, and enforceable operation.

24.2

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MOBILITY MEASURES

24-5

Alternatives for freeway facilities in need of capacity improvements, especially those with six or more lanes, should include an HOV alternative, along with conventional alternatives. The AASHTO Guide for the Design of High-Occupancy Vehicle Facilities also points out that the travel time savings must be maintained for the facility to remain viable. When a congested area is bypassed by a new HOV lane, speeds on the partially vacated general-use lanes will increase, reducing the HOV travel time savings. For the HOV lane to have an effective future, upstream traffic constraints must be such as to cause the general-use lanes to become congested again. This is important to induce drivers of single-occupant vehicles to switch to HOV travel. An operational analysis is necessary to verify that this condition will occur for the location under consideration. Another element, just as important as the technical issues, is the need for acceptance and support of HOV facility implementation by the local, regional and state agencies involved, and the local, county, and state politicians and their constituents who live and work in the area and travel the corridor. Every effort should be made to solicit their involvement, input, and support through public awareness programs, advertising, public meetings, and focus groups. A more comprehensive list of guidelines, provided in High Occupancy Vehicle Facilities: Current Planning, Operation, and Design Practices, Nomograph 5, is too extensive to be included here. The guidelines are divided into primary and secondary. Primary guidelines are described as those that should be met before a candidate freeway or region is considered valid for HOV priority treatment. Secondary guidelines are described as desirable criteria that are generally more qualitative in nature, and provide some assurance of the relative success that an HOV project can provide. The length of prospective HOV lanes can be determined by estimating the extent of freeway speeds below 50 km/h during the peak period. The length should be extended sufficiently beyond the estimated limits to provide for future expanded congestion patterns. The design guidelines contained in this section are for HOV lanes on freeways. They may be applied to projects that involve construction or reconstruction of HOV lanes on new alignment or adjacent to existing general-use lanes. They may also be applied to projects in which the HOV cross section is "retrofitted" into existing freeway cross sections by resurfacing, restriping, narrowing of lanes, and additional signing.

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24.2

24-6 24.2.1 HOV Types

MOBILITY MEASURES

HOV lanes on freeways may be a single lane or multiple lanes separated from the general-use lanes by barriers, a buffer area, or a single stripe. They may operate as 1) reversible, 2) two-way flow (HOVs travel adjacent to and in the same direction as the general-use traffic), or 3) contraflow (HOVs travel adjacent to and in the opposite direction as the general-use traffic) lanes. They may be restricted to use by buses only or they may be available to all HOVs. HOV lanes may be constructed in separate rights of way, but they are usually incorporated into existing highway rights of way where width and lateral clearances may be limited. The following subsections cover the physical types of HOV lanes and what operational alternatives and methods of access are available. 24.2.1.1 Physical Types HOV line-haul (that portion of a trip that is express [nonstop] between two points) treatments in freeway corridors are categorized in High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual into the following physical types. Barrier-separated, buffer-separated, and nonseparated refer to the type of separation between the HOV lane and the adjacent general-use lane. 1. Barrier-separated HOV lanes, freeway right of way: A roadway or lane(s) built within the freeway right of way (commonly within the median) that is physically separated by barriers from adjacent general-use lanes and is designated for the exclusive use of high-occupancy vehicles during at least portions of the day. Opposing directions within a barrier-separated facility are separated by either a barrier or buffer. 2. a. Busway HOV lanes, separate right of way: A preferential roadway or lane(s) developed in a separate right of way and designated for the exclusive use of buses only. Barrier separation is not generally needed for busways in separate rights-of-way. High-speed bus lanes should be separated from each other by barrier. Bus lanes without separation may be considered for low-speed operation. b. Busway HOV lanes, freeway right of way: A preferential roadway or lane(s) developed in a freeway right of way and designated for the exclusive use of buses only. Barrier separation between HOV and general-use lanes is generally needed for busways in freeway rights-of-way. High-speed bus lanes should be separated from each other by barrier. Bus lanes without separation may be considered for low-speed operation. 3. Buffer-separated HOV lanes, freeway right of way: A roadway or lane built within the freeway right of way (commonly the median) that is separated from adjacent general-use lanes with a designated buffer width of 0.3 m or more. The lanes are commonly the inside lane(s) of the freeway cross section, adjacent to the median barrier, and are designated for the exclusive use of high-occupancy vehicles during at least portions of the day.

24.2.1

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MOBILITY MEASURES

24-7

4. Nonseparated HOV lanes, freeway right of way: A designated lane containing no buffer separation with adjacent freeway lanes. The lanes are normally located adjacent to the median barrier as an inside lane, or may be an outside lane (either adjacent to or on the outside shoulder). 5. Contraflow HOV lanes, freeway right of way: A designated freeway lane or lanes, commonly the inside lane of a minimum 6-lane freeway, in the off-peak direction of general-use travel. Low-speed contraflow lanes are usually separated from the off-peak direction general-use lanes by insertable tubular markers. Movable concrete barriers should be used for highspeed contraflow lanes. The low-speed lane should be designated for exclusive use by occupancy vehicles (usually buses only. Carpools and vanpools may be included on barrier-separated lanes. 6. HOV queue bypass facility: A short, often nonseparated lane, designed to operate in the same direction as the adjacent general-use traffic lanes through an isolated traffic bottleneck, a toll plaza, or a metered location. The lane is designated for the exclusive use of high-occupancy vehicles and provides a "head of the line" advantage in bypassing queued traffic. Typical cross section elements of the barrier-separated, the buffer-separated, and the contraflow lanes are shown in Figure 24-1. Detailed cross sections for each type of HOV facility are provided in Sections 24.2.4 through 24.2.9. There should be adequate space for traffic moving at the posted speed to pass a disabled vehicle (e.g., a bus unloading passengers), on both the HOV lanes and the general-use lanes. Consequently, more width is required to provide the space on both sides of barrier-separated lanes than for the other types. When right of way constraints allow only a narrow buffer (see Section 24.2.3.4 B), the breakdown shoulder (adjacent to the median) of a buffer-separated HOV lane may be for common use by both the HOV traffic and the general-use traffic. Advantages of a common breakdown shoulder are that it requires less right of way and provides more time and space for an HOV to take evasive action should it be necessary. Disadvantages are that disabled vehicles in the left general-use lane must cross the HOV lane to get to the shoulder, and it is difficult to enforce against drivers who violate the buffer to enter the HOV lane. In any case, this is an operational feature that should be negotiated with local enforcement agencies responsible for the facility. For example, on the Long Island Expressway, all general-use vehicles must use the right shoulder for breakdowns.

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24.2.1.1

MOBILITY MEASURES

24-9

serve as the major carrier of traffic between suburban residential areas and the central business district in large urban areas. The AASHTO Guide for the Design of High Occupancy Vehicle Facilities advises that a traffic demand split of 60% peak to 40% off-peak or higher should be forecast for the design year, and an absence of anticipated severe freeway congestion in the offpeak travel direction, will usually justify consideration of reversible lanes. The generally recognized range is 400 - 800 vph per reversible-flow HOV lane. Care should be taken in estimating the design year traffic to assure that the off-peak flows will not exceed the available capacity. Two-way flow: Two or more lanes operating in opposite directions of travel during at least portions of the day. Two-way operation can be used with four physical types of HOV lane -- barrierseparated, busway, buffer-separated, or nonseparated lanes. Two-way buffer-separated lanes are also known as concurrent lanes. Two-way nonseparated lanes are also known as contiguous lanes. Congested corridors in which the design year demand is relatively even, generally less than 60% peak demand to 40% off-peak demand, may be candidates for two-way operation. That level of demand is typical of most suburban areas. The initial year of operation should be forecast to have a minimum HOV demand in the range of 400 - 800 vph per direction for the lanes to appear effective. The minimum design year one-way peak hour demand for busways should be 40 - 60 buses. As a type of two-way operation, contiguous flow HOV lanes may be appropriate when HOV operation is needed only during peak periods. During off-peak periods the HOV lane can be used as a general-use lane. Contraflow: Usually one lane that is borrowed from the off-peak direction general-use lanes and modified to serve buses and possibly other select HOVs (e.g., vanpools) in the peak direction during at least portions of the day. Successful contraflow operation depends on a demand that exceeds capacity in one direction while the demand in the opposite direction is so low as to permit the borrowing of a lane from the off-peak direction to satisfy the peak period demand. The demand should be at least 60% peak to 40% off-peak and there should be a minimum of approximately 200 vph forecast to use the contraflow lane the first year. Further, it should only be used if it does not adversely affect the general-use traffic speeds and level of service. Not all types of HOV operations are useable with all the physical types of HOV lanes. The references in Table 24-1 show which operational types can be used with which physical types of freeway HOV lanes. The numbers indicate the sections in which they are described.

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24.2.1.2

24-10

MOBILITY MEASURES

Table 24-1 Typical Freeway HOV Lane Alternatives Physical Type of HOV Lane Barrier-Separated, Freeway R.O.W. Busway, Separate or Freeway R.O.W. Buffer-Separated, Freeway R.O.W. Nonseparated, Freeway R.O.W. Contraflow, Freeway R.O.W. Queue Bypass, Freeway R.O.W.
NA = Not Applicable

Operational Concept Reversible-Flow Refer to 24.2.4 Refer to 24.2.4 NA NA NA Refer to 24.5.3 Two-Way Flow Refer to 24.2.5 Refer to 24.2.6 Refer to 24.2.7 (Concurrent) Refer to 24.2.8 (Contiguous) NA Refer to 24.5.3 Contraflow NA NA NA NA Refer to 24.2.9 Refer to 24.5.3
Source: Adapted from PBQD Manual

24.2.1.3 HOV Facility Cross Section The total cross section width of HOV facilities includes all elements between outside barriers, including buffers and median barriers, as illustrated in Figure 24-1. The dimensions shown in Table 24-2 are presented in the cross sections in Sections 24.4 through 24.9. The widths in the table compare favorably to those for HOV lanes in operation throughout the country and are consistent with AASHTO guidelines. The standard widths are adequate for passing a disabled vehicle at speeds near the design speed of the facility. Special needs, such as enforcement or snow removal may also be accommodated with the wider dimensions. The acceptable cross section dimensions are not standard (i.e., they are nonstandard; refer to Section 24.2.3). They provide enough space to permit passing a disabled vehicle, and afford minimum separation from the median barrier and the adjacent general-use lane. The low-speed contraflow cross section width is adequate for the use of insertable tubular markers between the contraflow lane and the general-use lane. It is not wide enough for movable barrier. The cross section widths shown in Table 24-2 may not provide sufficient horizontal SSD in all cases. HOV lanes to be constructed within the medians of existing freeways and separated by median barriers, should be examined to ensure that the minimum horizontal SSD is provided. This is especially true on curves to the left from the lane closest to the median barrier, and may also apply to curves to the right.

24.2.1.2

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MOBILITY MEASURES Table 24-2 Summary of Freeway HOV Facility Cross Section Widths HOV Facility Type Cross Section Width Standard Barrier-Separated, One-Lane Reversible Barrier-Separated, Two-Way Two-Way Busway Buffer-Separated, Concurrent, Two-Way Nonseparated, Contiguous, Two-Way Contraflow, One Lane
1

24-11

Acceptable1 6.3 m 13.2 m 9.6 m 9.6 m 8.4 m 6.6 m

7.8 m to 8.4 m 16.2 m to 18.6 m 13.2 m to 18.8 m 16.2 m to 18.6 m 13.8 m 6.6 m to 8.4 m

Refer to Section 24.2.3

24.2.1.4 Access Treatments Access to and from HOV lanes is gained through origin, termination and intermediate access treatments. Origins and terminations should be designed similar to standard freeway entrance and exit ramps, with provision for merging if demand volumes warrant and with special consideration for the type of HOV operational concept to be used. Acceleration and deceleration lanes should be provided in accordance with Chapter X of AASHTO's A Policy on Geometric Design of Highways and Streets, 1994. In certain situations, HOVs must enter general-use lanes from the left. If capacity is exceeded, traffic friction will result in less travel time savings for HOVs. Remedies might include replacing atgrade access with dedicated ramps, or providing a parallel weaving lane at at-grade ramps for acceleration and deceleration movements, as was done on the Long Island Expressway. The designer should carefully evaluate the impacts of the volume of HOVs entering the adjacent general-use freeway and where impacts are forecast to cause serious disruption to the operation of the general-use lanes, the HOV volumes should be distributed to maintain a balanced level of service. This may be done by locating access points upstream of bottleneck locations, where possible, or by extending the ingress or egress zone over a longer distance so the weaving movements are smoother and the HOVs are allowed to enter or leave the freeway downstream or upstream of the potential disruption. When an HOV facility is retrofitted into an existing freeway, generally it will not be necessary to provide ingress/egress connections at all freeway interchanges. Access connections for all HOV facilities should be located in accordance with the results of a traffic demand analysis, conducted during project scoping. Locations for ingress and egress are determined by modeling the traffic based on trip origins and destinations. Locations that provide easy access by HOVs to and from park-and-ride lots, transit transfer centers, large multiple activity centers, major freeways and arterials, and the central business district street system should be included.

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24.2.1.3

24-12

MOBILITY MEASURES

Although there are several procedures available, procedures for estimating demand and modeling traffic have not been standardized. However, research continues in those areas to improve the capabilities for planning ingress/egress locations. AASHTO's A Policy on Geometric Design of Highways and Streets, 1994 contains warrants for interchanges and grade separations, which should be considered when planning and designing ingress/egress connections. Ramps should be designed in accordance with Chapter 2 of this Manual, the New York State Manual of Uniform Traffic Control Devices (NYSMUTCD), and AASHTO's A Policy on Geometric Design of Highways and Streets, 1994. HOV mainline facilities should be considered controlled access facilities and ramps should be designed in accordance with appropriate geometric criteria for entrance and exit ramps. The desirable cross section for ramps should equal the cross section for the respective mainline HOV treatment. A fixed median barrier or wide buffer area and a separate breakdown shoulder for each direction of traffic being served, should be provided on ramps that serve two-way traffic. The guidelines below are adapted from guidelines and considerations in High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual and NCHRP Synthesis 185, Preferential Lane Treatments for High-Occupancy Vehicles. 1. 2. 3. 4. 5. HOV ramps usually carry lower volumes which may allow prudent consideration of reduced ramp geometrics, if necessitated by physical constraints, and if it can be done without compromising safety. Horizontal SSD on ramps for barrier-separated lanes may be obstructed if the barriers are located too close to the lane, or if glare screens are mounted on the barriers. HOV ramps are generally amenable to, and should be considered for enforcement provisions, where possible. Direct access ramps to and from HOV lanes should not be located on the same streets as the ramps to and from freeway lanes, to allow better distribution of traffic and prevent congestion at intersections. Freeway ramps for general-use traffic may be metered. HOV ramps are normally bypasses at, or adjacent to, general-use ramps, and are generally not metered. For additional discussion of metering of HOVs, refer to AASHTO's Guidelines for the Design of HighOccupancy Vehicle Facilities. Left- or right-hand exits from a one-lane HOV facility are equally valid and equally safe.

6.

There are three basic types of access that may be applied to HOV lanes. They are at-grade slip ramps, flyover ramps and drop ramps. A. At-Grade Slip Ramps At-grade slip ramps are at-grade connections between HOV lanes and general-use lanes on adjacent freeways. Refer to Figures 24-4, 24-8, and 24-14. They are the most frequently used form of access to and from HOV lanes and the most economical and easiest to implement within the existing cross section of almost any type of facility. Other advantages are that pavement markings and signing are easily modified, and adjustments in barrier alignment and

24.2.1.4

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MOBILITY MEASURES

24-13

location are the only modifications needed for barrier-separated lanes. Access location adjustments are also easily accommodated. At-grade slip ramps are best suited to lower HOV volumes that will not disrupt the operation of the general-use lanes and the freeway entrance and exit ramps. Weave lanes (Figure 24-8) should be provided between the general-use lanes and the HOV lane to allow for safe transition of HOV traffic. Some facilities have no designated access points, allowing HOVs continuous ingress and egress. Among the disadvantages of at-grade slip ramps are that they depend on the existing freeway ramps to complete the need for local access, and the freeway operator lacks the ability to regulate HOV demand, compromising person-moving capacity should the facility's design capacity be exceeded. The HOV's dependence on the freeway ramps to access the local street system requires weave movements that result in reduced time savings compared to exclusive dedicated HOV ramps (flyover ramps or drop ramps). Enforcement of HOV regulations is also much more difficult. HOVs leaving the HOV lane to exit to the local streets must exit by crossing the general-use lanes far enough in advance to reach the ramp safely and without disruption to the freeway traffic. The distance from the start of the weave move to the point where the exit ramp leaves the mainline may vary from location to location, depending on the demand volumes and freeway capacity, and should be designed on the basis of a weave analysis in accordance with TRB Special Report 209, Highway Capacity Manual. When terminating HOV lane operation, that lane should be continued as a general-use lane to enable HOV traffic to continue without a merge, and to allow general-use traffic to merge into that lane. If traffic volumes decrease beyond the termination of HOV lane operation, requiring fewer lanes, it is preferable to drop the outside general-use lane a distance of no less than 1 km beyond the end of the HOV lane, as illustrated in Figure 24-2a. If the HOV lane must be merged into the freeway traffic, a minimum 1 km of dashed white line should be provided beyond the termination of HOV lane operation before the HOV lane taper begins, as shown in Figure 24-2b. The HOV lane merge may result in a bottleneck condition at the merge and should be carefully analyzed. Dropping an outside general-use lane as a mandatory exit to a ramp may be possible. A careful analysis must be made to ensure that a bottleneck condition does not occur, or that multiple weave areas are not created between the end of the HOV lane and the lane drop.

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24.2.1.4

MOBILITY MEASURES B. Flyover Ramps

24-15

Flyover ramps are high-speed, high-volume, grade-separated connections between HOV lanes and local streets, freeways, or other HOV lanes via elevated structures. Refer to Figures 24-5 and 24-9. The minimum threshold volume of HOVs needed to justify a flyover ramp is 400 vehicles or 1000 persons per hour. The width of the ramp cross section should match the width of the HOV mainline cross sections. Flyover ramps can be used for terminal connections and intermediate connections as well. By connecting directly to local streets and, in the case of line-haul transit, to on-line or off-line transit transfer stations, savings in travel time can result. However, flyover ramps usually require additional right of way and extensive use of structures and retaining walls, making them very expensive and difficult to retrofit into an existing facility, which tends to limit their use to high-capacity locations. C. Local Access Drop Ramps Drop ramps are grade-separated connections of HOV lanes to local streets. Refer to Figures 24-6 and 24-10. The local street can be above or below the HOV lanes, and can serve either the termini or intermediate connections. Drop ramps are normally low-speed (60 km/h or less) ramps designed for low peak hourly volumes of less than 400 vph. Drop ramp structures should be wide enough for both entering and exiting traffic, to minimize costs. Drop ramps can be designed for either left- or right-hand merge and diverge movements. Lefthand maneuvers are opposite to normal driver expectations when used on HOV lanes that have right-hand entrances and exits. These conditions should be made known to drivers, with appropriate use of signs and by providing adequate decision sight distance. The specific roles for each type of ingress/egress treatment are listed in Table 24-3.

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24.2.1.4

24-16

MOBILITY MEASURES

Table 24-3 Roles for Various Ingress/Egress Concepts At-Grade Slip Ramp at Project Termination
! ! ! ! ! An effective way of feeding and distributing high lane volumes with the adjacent freeway. Requires left-hand entry/exit with the freeway. Can be designed as a safe and enforceable treatment. Low cost; easily modified if HOV facility is extended. Used as a "standard" termination treatment on most projects.

At-Grade Slip Ramp as an Intermediate Access

! ! ! ! ! ! Lowest-cost intermediate access approach; can be easily modified (relocated or removed). Most compatible with restricted envelopes, requires little widening. Not safe for high accessing volumes without inclusion of a parallel weave lane. Not the best traffic operation under high-volume conditions; can disrupt the adjacent freeway or HOV level of service. Cannot be safely enforced. Location is critical; if too close to nearby freeway intersections, weaving problems across the freeway increase.

Drop Ramp with a Street

! ! ! ! Effective way of collecting and distributing all mixes of HOVs, as well as serving off-line support facilities. Provides opportunities to control or enforce entering volumes. Works for reversible-flow or two-way configurations. Best if not considered at an existing intersection with freeway access.

Drop Ramp with a Park-and-Ride Lot or Off-Line Bus Transit Station

! ! ! ! Very effective way of extending preferential treatment into an off-line support facility, thereby increasing travel time savings. Not recommended for serving other HOV users that have no need for the support facility; poses circulation conflicts within the support facility. Generally requires high transit and/or rideshare volumes to be cost effective. Works best for two-way operations, although can be workable for reversible-flow if ramps are reversed as well.

Flyover Ramp
! ! ! ! ! ! Highest-speed design intended for high interfacing volumes; most closely approximates any other freeway ramp in design speed. Serves all HOVs well. Can be applicable as an intermediate access or termination treatment. Can be cost-prohibitive as a means of accessing support facilities. Least flexible treatment; sometimes deferred on an interim HOV operation and added later as demand warrants. Equally appropriate for two-way or reversible-flow operations.
Source: PBQD Manual

24.2.1.4

5/4/98

MOBILITY MEASURES 24.2.1.5 Enforcement Areas

24-17

Enforcement of regulations is vital to the proper operation of HOV lanes and to maximize their vehicle carrying capacity. To be sure that the facility will be safe, familiar to, and useable by police officers, they should be involved in the project design early-on in the process. Enforcement activities on HOV lanes can be greatly influenced by the physical and operational aspects considered in the design. The absence or presence of certain roadway features can adversely affect the enforcement process as well as the safety and operational features of the facility. Physical problems may include lack of safe and easily accessible enforcement areas, absence of vantage points, lack of physical separation, and lack of passing capability for enforcement vehicles. Operational problems may include the visibility (or lack thereof) of police vehicles used for speed control. Enforcement areas should be located away from curves to reduce the risk of out-of-control vehicles sliding into a parked police vehicle. Speed differentials between the HOV lane and the general-use lanes during apprehension of violators, and difficulty in determining the number of vehicle occupants are other problems to be considered. Refer to the enforcement sections later in this chapter for the geometric and traffic control design considerations for each HOV treatment.

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24.2.1.5

24-18 24.2.2 HOV Operation

MOBILITY MEASURES

The usual highway project development process involves scoping, design, construction and operation of the roadway. However, experience has proven that when an HOV facility is included as an alternative, operational considerations must be factored in at the scoping phase. This is particularly true when the project is part of an area-wide or system plan. Such HOV operational issues as eligibility criteria, hours of operation, enforcement, and incident management should be considered. The first three are discussed below, while incident management is discussed in Section 24.5.6. When facility operations are not included in the scoping phase, the result may be an HOV facility that is under utilized or congested, is subject to excessive loss of service due to incidents, and is difficult to enforce. After determining that an HOV alternative is possible, an estimate of HOV demand is made, and the process of assessing operating scenarios and the design treatments needed to satisfy them is carried out. This interaction between HOV facility operations and design requires early involvement by various local agencies to ensure that the facility is designed to meet the particular needs of the corridor and conforms to the policies of the operating and enforcement agencies. The Federal Highway Administrations Project #42-10-4172, Predicting the Demand for High Occupancy Vehicle (HOV) Lanes reports on the development of a methodology and microcomputer software model for quickly analyzing HOV lane demand and operations. The methodology is designed to be applied by planners and engineers with limited, or no, access to, or experience with regional travel demand modeling. It provides a set of quick response procedures for predicting and evaluating the impacts of HOV lanes on person demand, vehicle demand, auto occupancy, congestion, delay, and air quality. The methodology is applicable to corridor, network, and system level HOV demand analysis. 24.2.2.1 Eligibility Criteria Eligibility criteria provides a flexibility to HOV projects that is not available in normal highway design. It restricts use to certain specified vehicles and to vehicles with a specified minimum occupancy, thereby making it possible to tailor demand to preserve vehicle flow, while providing a perception of adequate use. It is important that the eligibility criteria be selected so that the resulting demand volume is less than the design capacity of the facility. The relationship between the facilitys demand and capacity will establish the maximum number of HOVs it can handle. That number will usually fall in the range of 1200 vph - 1500 vph for level of service C. The eligibility requirement must also provide a public perception of adequate use, without which the project may be short-lived. General guidelines based on limited data, indicate at least 400 vph to 800 vph are needed for an HOV lane to appear to be adequately used. This may present a problem during off-peak periods when demand, both HOV and general-use, is less. Perceived inadequate use may result in public pressure to roll back occupancy restrictions, curtail or shorten the hours of operation, or terminate the project.

24.2.2

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MOBILITY MEASURES A. Vehicle Eligibility

24-19

Determination of which vehicles will be allowed to use HOV facilities is based in part on the type of facility. Generally, carpools, vanpools, and buses are eligible for most HOV facilities, except on busways and, in some cases, contraflow lanes, on which use is often restricted to buses only. Other vehicles that may be considered for eligibility are motorcycles, taxis, commercial vehicles, deadheading vehicles, and emergency vehicles. The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 requires that motorcycles be permitted to travel in the HOV lanes of federally funded HOV projects unless the State certifies that such use will create a safety hazard. Effect on Congestion and Motorcycle Safety of Allowing Motorcycle Travel on HOV Facilities in Virginia, a study of motorcycle travel on Interstate highways in northern Virginia and the Hamptons Roads area in 1992-94, found a low level of motorcycle traffic on HOV lanes. It concluded that "....there is no evidence to indicate that allowing motorcycle traffic on HOV lanes has an adverse impact on congestion or motorcycle safety." Prohibition of motorcycles requires approval by the U.S. Secretary of Transportation through the Federal Highway Administration (FHWA). There are no guidelines that recommend either inclusion or exclusion of commercial vehicles on HOV facilities. A benefit to making them eligible is improved safety on the general-use freeway lanes during peak periods. However, the geometrics that result from retrofitting HOV facilities into an existing freeway corridor may not be suitable for truck movements. Conflicts at ingress and egress areas between autos and trucks moving across the general-use lanes create unsafe conditions. Since commercial vehicles do not contribute toward increasing person movement along a congested corridor, they should generally not be considered eligible to use HOV lanes. Deadheading vehicles (empty buses or taxis returning to their routes) is another consideration for HOV eligibility. Allowing them to use the facility will improve the transit operation efficiency but may bring complaints from the public. If deadheading vehicles are allowed, care must be taken so the number of vehicles does not cause congestion in the HOV lane. B. Vehicle Occupancy The selection of a minimum vehicle occupancy must allow for growth in traffic volumes as the popularity of the HOV facility grows. Vehicle occupancy rates for HOVs are the minimum number of persons that must occupy a vehicle to legally use the HOV lane. The rates are usually described as 2+ (two or more), 3+ (three or more), or 4+ (four or more). To establish vehicle occupancy requirements for an HOV facility, one must first determine the average existing vehicle occupancy rates in the corridor. High existing occupancy rates in excess of 1.4 persons per car indicate an HOV occupancy rate of 3+ or 4+ may be suitable. Lower existing occupancy rates indicate that a 2+ rate is more appropriate. Studies of existing facilities show that on average, those with 2+ requirements actually move approximately 2.5 persons per vehicle.

5/4/98

24.2.2.1

24-20

MOBILITY MEASURES

Setting a 2+ occupancy rate makes it attractive to existing carpoolers and vanpoolers, as well as to potential users by making it easier to form car pools. It also shows a commitment to HOV, and allows for staging an occupancy rate increase, should it become necessary due to future recurring congestion demands. However, increasing the requirement will result in 2+ vehicles returning to the general-use lanes, adversely effecting their operation, and may not be a viable choice. In that situation, it may be necessary to look into TDM techniques to mitigate the increased demand, or other techniques such as restricting 3+ to just the peak hour. The 3+ occupancy rate will increase the person-moving capacity, and lessen the chance the facility's vehicular capacity will be reached, resulting in a high level of service. However, formation and sustainment of 3+ carpools is more difficult, and may adversely effect the demand, creating a perception of inadequate use. Before setting a 3+ occupancy rate, or increasing from a 2+ rate, it may be necessary to conduct a public education and marketing program to gather public and political support. AASHTO's Guide for the Design of HighOccupancy Vehicle Facilities recommends changing from 2+ to 3+ occupancy when the level of service of the HOV lane is approaching LOS "D" (on a regular basis). Table 24-4, taken from High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual, summarizes the relative advantages and disadvantages of the alternative operation approaches described above.

24.2.2.1

5/4/98

MOBILITY MEASURES Table 24-4 Comparison of User/Eligibility Trade-Offs Primary User Definition1 Bus Only Advantages CControlled user group that is easily managed CMaximizes person-moving capacity CMinimizes enforcement needs CWorks well in slower-speed busway environments on separate R.O.W. where public cannot perceive the facility as underutilized CPotential to control use of HOV facilities that are not safe if opened to unfamiliar users (e.g., contraflow) CMore effective regulation of users, allowing for more precise design capacity management CMinimizes enforcement needs CEasier to modify definition without changing signs and rules CMost frequently applied definition for opening new projects CEasily understood CInitial use generally meets minimum person throughput requirements CMost flexible definition to encourage ridesharing CMost appropriate for corridors with low bus transit affinities CSuitable for 24-hour operation CAdequately preserves future person-moving capacity for most projects CEasily understood CA more suitable long-term definition after an HOV market has been created with lower occupancy rules CMore suitable to peak periods only Disadvantages

24-21

CSpeeds hard to sustain when volumes are high (greater than 200 vph) COffers no benefits to other HOVs; ignores a potentially large market of users CNot practical for most corridors

Authorized vehicle only (usually buses, taxis, and possibly vanpools)

CIncreases administrative costs for authorization procedures and training CMore difficult to communicate definition to the public CNot consistent with general terminology used throughout the U.S. CLimited experience CCan quickly overwhelm the facility's design capacity CDifficult to alter once established (easier to lower than raise requirements) CLimits the improvement in personcarrying capacities on most projects to no more than two equivalent general-use lanes

Two or more person (2+) vehicles

Three or more (3+) vehicles (or 4+)

CWill not sustain an adequate initial perception of use on all projects Cmakes rideshare formation harder to achieve and sustain

Assumes criteria for minimum use are satisfied

Source: PBQD Manual

5/4/98

24.2.2.1

24-22

MOBILITY MEASURES

Table 24-4 Comparison of User/Eligibility Trade-Offs (continued) Primary User Definition1 Three or more (3+) during peak periods, two or more (2+) during off-peak periods Advantages CAllows for separate control of peak/off-peak period volumes once peak period exceeds design capacity CMore flexible than strict 2+ or 3+ definitions CEasier to modify CPromotes a broader distribution of peak period demand over a longer period CCan be an intermediate step in gradually increasing overall occupancy requirements from 2+ to 3+ CPromotes a perception of more effective general-use operation during off-peak periods CServes primary periods of HOV demand CEasy to tailor operation periods to demand CEnforcement requirements reduced Disadvantages CHarder to understand CHarder to enforce, promotes violations in transition periods CMay not be applicable from a corridor or regional perspective (justification for consideration may be a point-specific bottleneck) CLimited experience

HOVs (2+ or 3+) during peak periods, generaluse operation during off-peak periods

CDoes not promote rideshare benefits when not in effect CDoes not address travel benefits accrued from nonrecurrent congestion outside the peak periods CPromotes violations during transition periods CDoes not instill a sense of permanence for the HOV concept CNo real level of service advantage to opening HOV facility to mixed flow CCan be confusing to commuters and those that stop in the shoulders; not generally recommended by HOV practitioners
Source: PBQD Manual

HOVs (2+ or 3+) during peak periods, breakdown shoulder during off-peak period
1

CProvides an additional lane when needed

Assumes criteria for minimum use are satisfied

24.2.2.1

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MOBILITY MEASURES 24.2.2.2 Operating Periods

24-23

Operating periods for HOV facilities are either during the peak periods only, and possibly for just certain days of the week (e.g., I495 Long Island Expressway, Nassau and Suffolk Counties), or continuous operation, 24 hr. daily (I84, Hartford, CT). Peak period operation allows non-HOVs to use the facility during off-peak hours, and can allay potential public criticism for perceived under use of the HOV lane. It can also be used to test the operation before extending the operating hours. Peak period operation can be applied to all HOV facility types including reversible-flow facilities. Continuous operation is applicable where traffic congestion exceeds, or is forecast to exceed, the peak periods. It protects HOV benefits during non-recurring congestion (congestion resulting from special events, holidays and weekends, freeway incidents, etc.) and is the easiest to sign and enforce. Continuous operation can encourage off-peak ridesharing and can be applied to all types of HOV facilities, except reversible-flow facilities. 24.2.2.3 Enforcement Enforcement is necessary to the proper operation of an HOV facility. Without it, travel time and reliability benefits cannot be achieved. Early involvement by law enforcement officials is recommended to ensure that the facility will be enforceable. The type of enforcement is contingent upon the type of HOV facility. Dedicated barrier-separated facilities are easily enforced at entrances and exits. Buffer-separated concurrent flow or non-separated contiguous flow facilities require either wide enforcement shoulders or enforcement areas, and provide more opportunities for escape, making them more difficult to enforce. Design features are also used to assist in achieving compliance by motorists. Dedicated access ramps, signing and pavement markings, lighting, and closed-circuit television cameras all act as deterrents to HOV lane use violations. Violation rates on HOV facilities are influenced by the level of enforcement and the enforcement strategy used. On-site enforcement by law enforcement officers is a widely used method. With a high level of enforcement, the violation rate can be expected to remain low. However, it can be expensive, so alternative strategies may be necessary. Some states impose a high fine for first time violation and post the information at all entrance ramps. Other locations use the "HERO" program, a self-enforcement program in which motorists are encouraged to report violators to the police. Public education can also be beneficial to enforcement programs. By presenting the concept of HOV facilities to the prospective users and non-users, the facility operator stands a much better chance of gaining adequate public support and compliance with the facility regulations. For further discussion of different strategies in HOV enforcement, refer to AASHTO's Guidance for the Design of High-Occupancy Vehicle Facilities, or High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual, or NCHRP's Synthesis 185, Preferential Lane Treatments for HighOccupancy Vehicles.

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24.2.2.2

24-24 24.2.3 Design Criteria

MOBILITY MEASURES

The design development of HOV lanes closely parallels that of interstates and other freeways. For that reason, the standard values for the 17 critical design elements for interstates and other freeways (refer to Chapter 2, Section 2.7.1 of this Manual), and the recommended values for the controlling design parameters (refer to Chapter 5 of this Manual), should be used for HOV freeway lanes. Those criteria are shown in the cross section figures in Sections 24.2.4 through 24.2.9 as STANDARD. While it is Department policy to at least meet the standard values when designing projects, there may be some situations where less than standard values are appropriate for a particular situation, and may provide the most cost effective, quality design. Examples of when less than standard values may be appropriate are on retrofit projects, or when constraints are encountered at isolated locations, or as an interim solution for a programmed upgrade. In those cases, only after deliberate consideration of constructibility, maintainability, and most importantly safety issues, should less than standard values be considered. They should be no less than the values shown in the cross section figures as ACCEPTABLE. When the STANDARD design criteria values for critical design elements will not be met, a formal justification must be prepared in accordance with Department policy for use of the non-standard feature as specified in Chapter 2, Section 2.8 of this Manual. When the recommended values and practices for the controlling design parameters can not be met, the reasons must be explained and documented in the scoping and design approval documents or, when identified after design approval, the documentation must be placed in the project files, in accordance with Chapter 5, Section 5.1 of this Manual. 24.2.3.1 Vehicle Criteria (Controlling Design Parameter) Vehicles usually considered as candidates for HOVs are passenger cars, vans, and buses. Although other vehicles, such as emergency vehicles or motorcycles may be allowed to use the HOV lane, they do not generally influence the design. HOV lanes on freeways should be designed in accordance with the critical design elements and controlling design parameters for the single unit bus, AASHTO BUS, except for stopping sight distance. Stopping sight distance is controlled by the passenger car (P) due to lower driver eye height. AASHTO's A Policy on Geometric Design of Highways and Streets illustrates the turning radii for a 12.1 m bus. Section 1, Paragraph of subdivision 3, of Section 385 of the New York State Vehicle and Traffic Law was amended in 1996 to limit the length of buses having a carrying capacity of more than seven passengers to 45 ft (13.7 m). Articulated buses are limited to 62 ft (18.9 m). Currently, the highway coach is the only 13.7 m bus in use. Design of a 13.7 m transit bus is underway. The designer should contact the local transit provider to obtain the physical and operational characteristics of its buses prior to the start of design.

24.2.3

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MOBILITY MEASURES

24-25

Tractor-semitrailer trucks should not be considered as HOVs, or allowed to use HOV lanes during the peak periods. Commercial trucks generally have different origins and destinations from commuters. To try to accommodate both may result in operational incompatibilities. Operational and safety conflicts arise when trucks must weave across several general-use lanes to enter and exit HOV lanes located in freeway medians. Retrofit of HOV lanes may present restricted geometrics that are detrimental to trucking movements. When it is determined that a project will be developed to operate as part-time HOV lanes, it may be prudent to consider WB-20 tractor-semitrailer trucks so as not to preclude the possibility that the HOV lanes may be used to give priority to tractor-semitrailers to promote commercial goods movement during off-peak periods and for incident management situations. Table 24-5 provides a recommended design vehicle envelope for full-time and part-time HOV lanes. The envelope for full-time lanes includes standard and articulated buses, vans, and autos. The envelope for part-time lanes includes those vehicles and WB-20 tractor trailer trucks. Table 24-5 Recommended Design Vehicle Envelope Vehicle Characteristics Design Vehicle Envelope for Full-Time HOV Lanes 18.9 m 2.6 m 4.1 m 15.8 m 10.1 m 22 680 kg 10 180 kg Design Vehicle Envelope for Part-Time HOV Lanes 18.9 m 2.6 m 4.1 m 16.8 m 10.1 m 36 360 kg 10 180 kg
Adapted from PBQD Manual & NYS Vehicle & Traffic Law

Length Width Height Turn Radius Outside Inside Gross Weight Gross Weight Per Axle

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24.2.3.1

24-26

MOBILITY MEASURES

24.2.3.2 Design Speed (Critical Design Element) HOV lanes should be designed to provide travel time savings and reliability to attract users. In a retrofit project, the mainline design speed selected for the HOV lane should be comparable to that of the adjacent general-use lanes. This is especially important if the HOV lanes are to be used by non-HOVs during off-peak hours, either immediately or in the future. In any case, the design speed should be established in accordance with Chapter 2 in this Manual. The design speeds for ramps vary according to the type of ramp and the design speed of the HOV lane and general-use lanes. They should be selected in accordance with the design guidance in Chapter 2, Section 2.7.5.2. 24.2.3.3 Level of Service (Critical Design Element - Interstates) (Controlling Design Parameter - Other Freeways) The objectives of an HOV lane are to 1) move more people in fewer vehicles than the adjacent general-use lane, 2) avoid congestion, and 3) carry enough vehicles so as not to appear under used after the first year of operation. This can be accomplished by choosing eligibility criteria based on the demand and capacity relationships for the corridor and type of facility. The level of service (LOS) for the HOV lane should be higher than the operational level of service of the adjacent general-use lanes, but not be less than "C". The operating capacity at LOS "C" is dependent on the location and type of HOV facility, but will usually exceed 1200 vph in passenger car equivalents. An acceptable level of service may even be preserved at flows approaching 1500 vph in passenger car equivalents, depending on the percentage of buses in the vehicle mix. The design year peak hour volume for busways on freeways should range from 40 vph to 60 vph. The TRB Special Report 209 Highway Capacity Manual should be consulted for guidance in capacity analysis procedures and how to determine the upper levels of HOV lane capacity. For vehicle throughput in the peak direction, a minimum peak hour range of 400 vph to 800 vph is generally recognized as a lower threshold for HOV lane acceptance for HOV facilities. It varies according to facility type and location. The acceptance criterion for the Long Island Expressway HOV lane was 800 vph. The minimum flow for contraflow HOV facilities should be 200 vph. Busway facilities should have a minimum flow of 30 vph to 45 vph. The off-peak HOV demand should also be calculated to determine whether the lane can be operated full-time or should revert to general-use operation between rush hours. Low demand can result in the public perception of an "empty lane", which may result in pressure to lower eligibility requirements. Person throughput in an established HOV lane during the peak period should exceed the average throughput in the adjacent general-use lane. When the HOV lane is initially opened, person throughput within 20% of the average general-use lane throughput is acceptable.

24.2.3.2

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MOBILITY MEASURES 24.2.3.4 Geometric Design Elements

24-27

The standard values for the 17 critical design elements for interstates and other freeways in Chapter 2 of this Manual are the design criteria for HOV lanes on freeways. An explanation of the standard values for lane width is contained in Section A below. In addition, other controlling design parameters included in this Manual, must be considered by the designer during the design phase. Two additional geometric design elements not included in Chapters 2 and 5 are buffer area and enforcement area, both controlling design parameters. See Sections B and C below. A. Lane Width (Critical Design Element) The standard lane width for HOV facilities shall be 3.6 m. A reduced lane width of 3.3 m may be acceptable where right of way constraints exist, however, lane width reductions should be considered only after all other cross section element reductions have been considered and selected or eliminated. Lane widths less than 3.6 m must be justified as described in Section 24.2.3. B. Buffer Area (Controlling Design Parameter) A buffer separation or buffer strip is a roadway area that is used to physically separate an HOV lane from a general-use lane. It is used to discourage drivers from indiscriminately crossing from the general-use lane to the HOV lane, and vice versa. Painted striping and hatching are used to define the buffer. The width of a narrow buffer should be no greater than 1.2 m or less than 0.3 m. The width of a wide buffer should be no greater than 4.2 m or less than 3.0 m. Buffer widths greater than 1.2 m and less than 3.0 m are not acceptable, except where transitioning between narrow and wide buffer areas. Buffer widths within that range are not wide enough for safe parking and may mislead drivers into using them for refuge. C. Enforcement Area (Controlling Design Parameter) An enforcement area is a dedicated space in which enforcement activities can be performed. An enforcement area should be a continuous paved median or individual areas at specific locations. Refer to the cross sections in subsequent sections of this chapter for the recommended locations of enforcement areas. Enforcement areas should only be located where proper sight distance is available to vehicles that are pulled over into the enforcement shoulder. Enforcement areas located in high speed (80 km/h or greater) areas should be no less than 4.2 m wide. Enforcement areas located in low speed (60 km/h or less) areas should be no less than 3.6 m wide .

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24.2.3.4

24-28

MOBILITY MEASURES

Reversible-Flow

24.2.4 Barrier-Separated Reversible-Flow Lanes

24.2.4.1 Operations Reversible flow lanes are separated from adjacent general-use lanes by barriers to provide safety and avoid confusion. Reversible-flow facilities operate only during peak periods; they are not fulltime facilities, nor are they meant to carry traffic in the off-peak direction. Access to reversible HOV lanes is controlled with the use of exclusive ramps or access points, along with gates, signs, overhead lane arrows, variable message signs, or other traffic control devices. Controlled access prevents drivers from traveling the wrong way on the facility, reduces the level of enforcement, and minimizes opportunities for violations. It also requires that entry gates be checked, either manually, or with remote cameras and monitors located at traffic operations centers, at each change of operation, to ensure they are open in the peak flow direction and closed in the off-peak direction. Prior to each change of operation, the HOV lanes must be checked to ensure there are no obstructions. Reversible flow lanes are suitable for all HOVs or as exclusive busway lanes. Refer to Section 24.2.1.2 for the recommended minimum one-way peak hour volume of buses. 24.2.4.2 Cross Section Reversible-flow lanes are well suited to new alignment projects, but are difficult to retrofit into existing freeway rights of way because of bridge piers and other possible interferences within the median. The standard cross section for single-lane reversible flow lanes (Figure 24-3a) includes a 3.6 m lane, a shoulder/lateral clearance of 3.0 m on one side, and 1.2 m on the other side, for a total cross section width of 7.8 m. The width needed for a stalled bus to discharge passengers on the wide shoulder without encroaching on the HOV lane is 7.2 m. The standard cross section for a two-lane facility consists of two 3.6 m HOV lanes with two 3.0 m shoulders. Where space is restricted, shoulder/lateral clearance widths as shown for the singlelane version should be provided. The acceptable values (refer to Section 24.2.3) in Figure 24-3b include a lane width of 3.3 m, a 2.4 m shoulder/lateral clearance on one side, and a 0.6 m lateral clearance to the barrier on the other side, for a total envelope width of 6.3 m, which is the practical minimum width needed to pass a stalled bus parked on the shoulder. A minimum envelope width of 7.2 m is required to allow passengers to discharge while parked. A two-lane reversible-flow cross section would add a 3.3 m HOV lane to the single-lane section.

24.2.4

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24-30 24.2.4.3 Access

MOBILITY MEASURES

Reversible-Flow

Refer to Section 24.2.1.4 Access Treatments. Ramp design for all ramp types shall be in accordance with Chapter 2 in this Manual and AASHTO's Policy on the Geometric Design of Highways and Streets. Lane tapers shall be designed in accordance with the NYSMUTCD and AASHTO's Policy on the Geometric Design of Highways and Streets. A. At-Grade Slip Ramps Figure 24-4a illustrates an example of an at-grade terminal treatment for exclusive single-lane reversible lanes. A typical at-grade intermediate treatment is shown in Figure 24-4b. B. Flyover Ramp Figure 24-5a shows an example of a terminal flyover ramp connection. Figure 24-5b shows an example of an intermediate flyover ramp connection. C. Local Access Drop Ramp Figure 24-6 shows an example of a drop ramp treatment for intermediate access to a local street from the HOV lane. The treatment for termination of a reversible HOV lane is similar to the intermediate access except that the mainline HOV lane would not carry through beyond the termination point. A breakdown shoulder should be provided for each direction of travel. 24.2.4.4 Enforcement Areas Reversible-flow facilities are generally considered to be the easiest type to enforce. Access points to reversible-flow lanes usually have spaces or pockets available which are ideal locations for enforcement areas. Enforcement areas may also be provided along the mainline, for example, as 4.2 m wide continuous enforcement shoulders, or intermittent enforcement areas. High-speed enforcement areas can be located in the vacant lane of slip ramps for the opposite direction of flow, as shown in Figure 24-4. Low-speed enforcement areas, where violators can be prevented from entering the HOV lanes, are suitable for drop ramps as shown in Figure 24-6. The typical low-speed enforcement area should have: ! ! ! ! a minimum length of 30 m. High-volume settings may require up to 60 m. a minimum width of 4.2 m approach taper 2:1 where applicable departure taper 10:1 where applicable

Where conditions permit, a violator removal ramp can provide a means to reroute non-HOVs back to the general-use lanes. Refer to Figure 24-6.

24.2.4.3

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24-34

MOBILITY MEASURES

Barrier-Separated Two-Way

24.2.5 Barrier-Separated Two-Way Flow Lanes

24.2.5.1 Operations The symmetrical cross section of a two-way facility makes it more adaptable for retrofitting into an existing freeway median, with little or no interference from bridge piers or other median hardware. In addition, separation from general-use lanes provides safety of operation, prevents interference between general-use traffic and HOV traffic, requires no directional control, and allows continuous use as HOV lanes. When dedicated access connections are provided, exclusive two-way flow lanes function as fully controlled lanes within a freeway and are considered the most desirable type of HOV treatment, albeit the most costly treatment. 24.2.5.2 Cross Section The opposing lanes of two-way flow HOV lanes are separated by a barrier. The standard cross section includes a 3.6 m lane width, a 3.0 m right shoulder width and a 1.2 m shoulder/lateral clearance to the barrier on the left, in each direction as shown in Figure 24-7a. The acceptable values (refer to Section 24.2.3) include a 3.3 m lane width, a 2.4 m right shoulder width and a 0.6 m lateral clearance to the barrier on the left in each direction, as shown in Figure 24-7b. The narrow lateral clearance may reduce the SSD below allowable design standards and may only be suitable for use at isolated locations for short distances. Openings for emergency access should be provided in the median barrier. Refer to Section 24.2.11.1 for further guidance. 24.2.5.3 Access Refer to Section 24.2.1.4 Access Treatments. For guidance on ramp design refer to Chapter 2 in this Manual, AASHTO's A Policy on Geometric Design of Highways and Streets, and the NYSMUTCD. A. At-Grade Slip Ramp As indicated in Figure 24-8, the HOV lane should originate from the left general-use lane with a short taper to full width. It should terminate as a continuous lane into a general-use lane without a lane drop, if possible. When a lane drop is necessary, it is preferred that the right general-use lane be dropped approximately 800 m beyond the end of the HOV lane. Refer to Chapter 5, Section 5.8.12 Lane Drops in this Manual. Where a right general-use lane drop can not be made, the HOV lane may be dropped. In those cases, the AASHTO Guide for the Design of High Occupancy Vehicle Facilities recommends a longer than standard merge area to reduce the effects on merging traffic. In some circumstances it may be possible to drop the general-use lane as a mandatory exit to a ramp, to minimize merges. Figure 24-8a illustrates 24.2.5 5/4/98

Barrier-Separated Two-Way 24.2.5.4 Enforcement Areas

MOBILITY MEASURES

24-39

Enforcement of two-way barrier-separated HOV lanes is generally similar to that for reversible-flow lanes (Section 24.2.4.4). Low-speed enforcement may be provided at flyover ramp entrances and drop ramp entrances. The exception is at slip ramps where there is no unused space available for enforcement areas. Continuous enforcement shoulders or periodic enforcement pockets should be used in those situations. Continuous enforcement shoulders 4.2 m wide are recommended where space is available. The right shoulder, being the widest, is used for enforcement. If constraints prevent the use of continuous enforcement shoulders, 4.2 m wide enforcement pockets are recommended. Pockets should be 400 m in length plus approach and departure tapers (refer to NYSMUTCD Table 262-2). Enforcement intervals of 3 km to 5 km is typical for most facilities. Enforcement Requirements for High-Occupancy Vehicle Facilities and FHWA's High Occupancy Vehicle Facility Enforcement Guide provide further guidance for enforcement of barrier-separated HOV lanes on freeways.

5/4/98

24.2.5.4

24-40 24.2.6 Two-Way Busway Lanes

MOBILITY MEASURES

Two-Way Busway

NCHRP 155, Bus Use of Highways: Planning and Design Guidelines groups busways by direction of flow and placement of shoulder. Normal-flow busways provide a standard two-lane road with optional outside breakdown lanes. They are well suited for most busway applications, because they employ conventional right-hand operations with optional breakdown lanes on the outside. This section presents the normal-flow busway on freeways. Special-flow busways provide two one-lane roads and a central breakdown lane. Buses stay to the right of the centerline. They afford economy of width where breakdown lanes are required. Contraflow busways provide two one-lane roads and a central breakdown lane. Buses keep to the left of the center line. This design permits common island station platforms, which minimize station security, supervision, maintenance, and vertical transportation requirements. A summary of illustrative planning guidelines for bus priority treatments can be found in the Highway Capacity Manual, Special Report 209. For further information on normal-flow, special-flow and contraflow busways, refer to NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines. 24.2.6.1 Operations Busways may be used to provide: line-haul express transit service to the city center; feeder service to rail transit lines; and short bypasses of major congestion points. They should segregate buses from other types of traffic, and may include ancillary passenger-bus interchange and parking facilities. NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines, recommends busway development should be considered where one or more of the following conditions are met: ! Freeway flow cannot be restored to level of service D with mixed traffic by ramp metering, ramp closures, or other simple controls. ! Contraflow bus lanes are not feasible because traffic flow conditions and roadway geometry prevent their use. ! Bus bypass lanes or ramps to bypass congested interchanges, lane drops, or high-volume on-ramps, of less than 2 km in length, are neither feasible nor enforceable. ! Rail rapid transit along the corridor will be warranted within 20 years. ! Travel time benefits accruing to bus passengers will exceed the purchase and development costs of the busway on an annual basis. Consideration be given to developing line-haul busways wherever the following basic conditions are met: ! Design-year urban population should exceed 750 000; central business district (CBD) employment should exceed 50 000; peak-hour person-volumes across the CBD cordon (boundary) should exceed 35 000. ! There should be the potential for a minimum one-way peak hour volume of 40 buses and 1600 passengers to use the busway in the design year.

24.2.6

5/4/98

Two-Way Busway

MOBILITY MEASURES

24-41

! Buses utilizing the busway should save at least 5 minutes over alternative bus routings. ! Current highway demands in the corridor exceed capacity; and environmental, social, and/or traffic conditions preclude providing additional road capacity. Downtown busway development should be considered where peak-hour bus speeds are less than 8 km/h - 10 km/h, where the congested area extends for more than 2 km, and where surface-street priority options cannot be effectively developed. 24.2.6.2 Cross Section Busways are preferential two-way roadways designed for, and dedicated to, use by buses only. For high-speed (80 km/h or more design speed) operation the opposing lanes should be separated by a barrier. Facilities without a barrier between the HOV lanes are appropriate for low-speed (60 km/h or less design speed) operation. The only users should be trained, experienced professional drivers. Figure 24-11a shows the standard cross section consisting of a 3.6 m lane, a 3.0 m right shoulder and a 1.2 m offset in each direction. The cross section for low-speed lanes provides two 3.6 m lanes and two 3.0 m shoulders, as shown in Figure 24-11b. The lanes are distinguished by striping. The acceptable cross section in Figure 24-11c may find use where impediments or cost prevent the use of a wider cross section. Busways located within freeway rights of way should be separated from the freeway general-use lanes by barriers. Barriers are not required at the back of shoulders for busways located in separate rights of way. 24.2.6.3 Access Access to dedicated busways can be provided with at-grade slip ramps, flyover ramps, or drop ramps, similar to access to barrier-separated two-way lanes. Busway-to-freeway junctions should conform to freeway design criteria. Examples of at-grade busway ramps and arterial street intersections are shown in Figure 24-12. Refer to Section 24.2.5.3 for access treatments. For further discussion of access to busways, refer to NCHRP Report 155, Bus Use of Highways: Planning and Design Guidelines. 24.2.6.4 Enforcement Areas Dedicated entrance ramps to busways provide ideal locations at which to conduct enforcement activities. Properly signed entrance ramps should curtail accidental entries. However, enforcement areas should be provided for use by officers to monitor entering traffic, similar to barrier-separated two-way lanes. Refer to Section 24.2.5.4 for further information.

5/4/98

24.2.6.1

24-44

MOBILITY MEASURES

Buffer-Separated Concurrent

24.2.7 Buffer-Separated Two-Way Concurrent Flow Lanes

24.2.7.1 Operations Buffer-separated lanes carry traffic in the same direction as the adjacent general-use lanes, similar to two-way, barrier-separated lanes, but are separated from them by a buffer. They are located in the median of a freeway and are symmetrical about the median centerline. Buffer separated lanes normally operate on a continuous (24 hr.) basis. However, there are some, e.g., the Long Island Expressway in Suffolk County, that operate as peak-period HOV facilities, and the lanes revert to general-use lanes during the off-peak period. 24.2.7.2 Cross Section The standard cross section for continuous enforcement has a 3.6 m HOV lane between a 4.2 m enforcement shoulder at the median side and a 1.2 m buffer which separates it and the general-use traffic, as shown in the example in Figure 24-13a. The buffer should be flush with the pavements on either side. When periodic enforcement is appropriate, the median shoulder can be reduced to 3.0 m, with a 3.6 m HOV lane and a 1.2 m buffer, as shown in the example in Figure 24-13b. Typically, the full buffer width should be no less than 0.3 m and no greater than 1.2 m. If a wide buffer is needed, it should be no less than 3.0 m and no greater than 4.2 m. Wide buffers should not be used as enforcement areas or as breakdown lanes because of the potential hazard of highspeed traffic on both sides of the buffer. Buffer widths between 1.2 m and 3.0 m wide are not wide enough to be used as breakdown lanes or travel lanes and should not be provided. Buffer widths in that range should only be used to transition between narrow and wide buffers at ingress or egress areas. An acceptable cross section includes a 0.6 m offset to the median barrier, a 3.3 m HOV lane and a 0.6 m buffer, as illustrated in Figure 24-13c. The restricted width of this cross section provides no enforcement or breakdown capability, and may reduce the SSD below allowable design standards. Therefore, acceptable cross section dimensions should only be used on an interim basis or at isolated locations for short distances. Openings for emergency access should be provided in the median barrier. Refer to Section 24.2.11.1 for further guidance.

24.2.7

5/4/98

24-46 24.2.7.3 Access

MOBILITY MEASURES

Buffer-Separated Concurrent

Refer to Section 24.2.1.4 Access Treatments. For guidance on ramp design, refer to Chapter 2 in this Manual, AASHTO's A Policy on Geometric Design of Highways and Streets, and the NYSMUTCD. Access to buffer-separated concurrent-flow lanes should be provided at designated ingress/egress locations. Examples of terminal and intermediate access with slip ramps are shown in Figure 2414. These locations can be marked out with pavement markings which can be adjusted relatively easily, if necessary, to optimize the operation. Alternatively, drop ramp access can be provided if its use is more suitable to the operation of the HOV lanes and adjacent general-use lanes. The ramp would be similar to the drop ramp for barrier-separated lanes, as shown in the example in Figure 24-10. The recommended method of terminating an HOV lane is to continue it as a general-use lane without forcing HOV users to shift lanes. Refer to Section 24.2.5.3 A. If the HOV lane must be merged back into the freeway traffic, a dashed white line, preferably 800 m long, and no less than 400 m long, should be provided before the end of the HOV lane taper begins. Intermediate access may be provided either by separate ingress and egress areas, as shown in the example in Figure 24-14b, or as combined ingress/egress areas. (Figure 24-8b shows an example of a barrier-separated combined ingress/egress area. For concurrent flow lanes, the barrier separation is replaced by a buffer separation.) Separate access areas need to consider a vehicle move in only one direction, but may require more locations. The combined areas may be fewer but must be designed for weaving moves and distances. In any case, the design of the weaves and merges must conform to the requirements of the most recent edition of the Highway Capacity Manual, Special Report 209.

24.2.7.3

5/4/98

24-48 24.2.7.4 Enforcement Areas

MOBILITY MEASURES

Buffer-Separated Concurrent

Enforcement areas should be designed with adequate width and length to provide safety to the enforcement officer and the violator. Medians 9.0 m in width, or greater, are wide enough to allow continuous 4.2 m enforcement shoulders in both directions, separated by a median barrier. Median enforcement areas can be designed as either directional (used to observe in one direction only), or bi-directional (used to observe in either direction). Both types use offset median barrier to protect the enforcement vehicle. At locations where it is appropriate to have directional enforcement, the barriers need only to be offset enough to provide space for the vehicle. The upstream barrier alignment is on the median centerline to within 50 m of the enforcement area. The downstream barrier is offset to provide the required enforcement shoulder length and width. Refer to the example in Figure 24-15a. Bi-directional enforcement must provide a clear dimension of 3.0 m between the barriers, wide enough for an enforcement vehicle to pass between them. The minimum median width needed is 6.6 m. Refer to the example in Figure 24-15b. When the available median width is less than 6.0 m, the existing freeway lanes and the new HOV lanes must be shifted apart to fit a 4.2 m enforcement area, a 0.6 m barrier width and 1.2 m minimum lateral clearance between. Refer to the example in Figure 24-16. Enforcement area spacing of 3 km to 5 km is recommended. Enforcement Requirements for High-Occupancy Vehicle Facilities, and FHWA's High Occupancy Vehicle Facility Enforcement Guide provide further guidance for enforcement of concurrent flow HOV lanes on freeways.

24.2.7.4

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Non-Separated Contiguous

MOBILITY MEASURES

24-51

24.2.8 Nonseparated Two-Way Contiguous Flow Lanes

24.2.8.1 Operations Similar to other two-way facilities, contiguous lanes carry traffic in the same direction as the adjacent general-use lanes, but are separated from the general-use lanes by a lane line. This provides HOVs with ease of entry and exit during peak operation and to all vehicles during off-peak operation. However, it makes enforcement very difficult. Contiguous lanes are located in the median of a freeway and symmetrical about the median centerline. They are appropriate for HOV operation during peak-periods and general-use operation during off-peak periods. They may also be appropriate for consideration when right of way constraints prevent the use of other HOV lane configurations. The operation of contiguous lanes can be affected by the congestion on the adjacent general-use lane. Safety is also a consideration. The proximity of the lanes to each other without separation increases the risk for illegal entry of low-speed general-use vehicles into the higher speed HOV lane. This may increase the chance of accidents and reduce the speed of HOVs. 24.2.8.2 Cross Section Contiguous lanes are separated from general-use lanes by a paint stripe. A 3.0 m left shoulder should be provided adjacent to a 3.6 m HOV lane. If continuous enforcement is to be provided, the shoulder should be at least 4.2 m wide. This is also beneficial for stopping sight distance. The preferred and acceptable cross sections for contiguous lanes are shown in Figure 24-17. The restricted width of the acceptable cross section provides no enforcement or breakdown capability, and may reduce the SSD below allowable design standards. Therefore, acceptable cross section dimensions should only be used on an interim basis or at isolated locations for short distances. 24.2.8.3 Access The origin and termination of contiguous HOV lanes should be designed as additional conventional general-use lanes. Intermediate access locations need not be designated since HOVs are allowed continuous access. 24.2.8.4 Enforcement Areas Enforcement of two-way contiguous lanes is difficult since potential violators have continuous access to the HOV lanes. Guidelines for enforcement of two-way contiguous lanes are similar to those for buffer-separated concurrent flow lanes. Refer to Section 24.2.7.4 in this Manual.

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24.2.8

Contraflow 24.2.9.3 Access

MOBILITY MEASURES

24-55

Exclusive entrance and exit ramps are the preferred methods of access to and from contraflow lanes. The design of entrances and exits depends on the operating speed of traffic and the grades and curvature of connecting roadways. Access to contraflow lanes is normally provided by lowspeed ramps across the freeway median. Crossovers should be located where traffic is slowed or stopped for a toll plaza, freeway entrance, or other reason, if possible. If this is not possible, a deceleration lane should be provided to give the HOVs the opportunity to slow to the proper speed before entering the contraflow lane. In other situations, high-speed access may be appropriate. The connectors should be located at level and tangent sites where visibility and sight distance are adequate. On freeways without a median, access is provided by a simple opening in the median barrier. Ramps should diverge at an angle of 2o to 5o where space allows. The access ramp from contraflow lanes to general-use lanes should connect to a parallel-type acceleration lane to give the HOV the opportunity to safely move into the general-use traffic. Refer to the example in Figure 2419. 24.2.9.4 Enforcement Areas Typically, contraflow operations are limited to buses and violators are easily spotted by monitoring the entrances. Enforcing the lanes at the entrances also eliminates the need to monitor the lane for violators. Access points should be provided at low-speed entrances to furnish enforcement personnel a location to monitor entering traffic. Where medians are wide enough, a violator removal ramp may be provided. When enforcement can not be provided at entrances, the HOV lane should be monitored from enforcement areas or by roving patrol. Enforcement areas should be 4.2 m wide and 60 m long. Shorter lengths to 30 m are acceptable where constraints are encountered. Enforcement Requirements for High-Occupancy Vehicle Facilities, and FHWA's High Occupancy Vehicle Facility Enforcement Guide provide further guidance for enforcement of contraflow HOV lanes on freeways.

5/4/98

24.2.9.3

MOBILITY MEASURES 24.2.10 Signing and Pavement Markings

24-57

Users of HOV lanes must be provided with information to help them travel safely, smoothly and efficiently. Signs and pavement markings are the communication methods used to provide that information. Signs and pavement markings shall conform to the NYSMUTCD and Appendix A-19 in Title 17 of the Official Compilation of Codes, Rules, and Regulations of New York State (NYCRR), to the fullest extent possible. Signs, signals, variable message signs (VMS), or lane-use control signals shall be used to convey lane use restrictions. Preferential lane markings should also be used to indicate that the lanes are restricted. The standard symbol for HOV lanes shall be the elongated diamond symbol which shall be used for all signs and pavement markings. All signs shall be reflectorized and illuminated as may be necessary. The Regional Traffic Engineer should be consulted on all signing and pavement marking design. 24.2.10.1 Signing, Lane Use Controls, and Other Devices Access to and from HOV lanes is a major design element. Refer to Section 24.2.1.4 in this chapter for discussion of access treatments. The design of HOV lanes and access points necessitates providing information to the users regarding: ! Entrances Cadvance notice of entrance point Cguidance to entrance CHOV lane entry requirements Cpenalties for violations ! Exits Cadvance notice of exit points Ccorrect lane for exiting Cmaneuver needed to reach desired exit Cend of HOV lane warning sign Cadvisory exit speed on ramp Cadvance notice of control devices at end of ramp ! Other Cspeed limits Cadvance notice of merge Cwrong way signs Cnotice of atypical roadway conditions Access to HOV lanes is provided at their termini and at intermediate locations along their length where HOV traffic can enter or exit the lanes via ramps. HOV lanes should be clearly signed with lane use restrictions, i.e., minimum person-per-vehicle occupancy requirements and vehicle type, and hours of operation. This information must be provided well in advance of the entrances to allow time for drivers to move into the proper lane. Lane use restrictions should also be provided periodically along HOV lanes to serve as a reminder to those in the lanes, and to alert new arrivals. 5/4/98 24.2.10

24-58

MOBILITY MEASURES

Information about approaching exits must be provided to the drivers well in advance for them to avoid missing the exit. Exit signing should use recognizable route numbers, street names or names of transfer facilities to identify nearby destinations. In recognition of efforts to improve the visual environment for the older driving population and drivers with vision impairments, signs that provide street and transfer facility names should be oversized to provide easiest recognition and to prevent erratic behavior in transition areas. Signing requirements at intermediate access points are similar to those for terminal entrances and exits. On the approaches to slip ramps, information must be provided to both the HOV lane user and the general-use lane user. Due to the proximity of the two facilities, the information may be visible to both drivers and may lead to some confusion. The signing must be designed so that the drivers on each facility are able to determine which signing applies to the HOV lanes and which applies to the general-use lanes. Direct ramps (flyover and drop ramps) connect the HOV lanes directly to another type of facility, i.e., arterial street, frontage road, freeway, a transfer center or another HOV facility. The lack of control of access and the different directions from which traffic can approach the entrances may result in signs for the HOV lanes competing with signs for the other facility. The signing must be designed to inform the driver of the ramp location in sufficient time to make the correct maneuver. Direct connector ramps from freeways to HOV lanes should have HOV lane guide signs, both advance and action signs (VMS or signs with flashing lights), as well as the normal HOV lane regulatory signs. All signs should be sized in accordance with the NYSMUTCD. In some cases, it may be necessary to mount signs overhead to achieve the proper sign size. The diamond symbol should appear on all signs related to the HOV lane or HOVs. Ground-mounted signs should be located adjacent to the HOV lane to which they apply. Overhead signs should be mounted directly above the lane. Where signs are mounted on barriers, the sign panels may be skewed up to 30o to provide lateral clearance. Signs, lane-use control signals, VMS, gates and other devices may be used at exclusive HOV lane entrances to inform drivers where access is located, when it is open for entry, and the proper direction of travel. Similar devices should also be installed at exclusive exits to prevent motorists from entering the lanes the wrong way. The NYSMUTCD classifies signing into several categories. The categories discussed in Sections A through C below are regulatory signing, warning signing, and guide signing. Regulatory signs inform highway users of traffic regulations. Warning signs identify or emphasize particular conditions on, or adjacent to, the roadway. Guide signs provide a reasonable and realistic guidance communications system for safe and convenient highway travel. Sections D through G discuss how signing should be applied to different types of HOV facilities.

24.2.10.1

5/4/98

MOBILITY MEASURES A. Regulatory Signing

24-59

Regulatory signing should be used to inform all drivers of the restrictions and requirements of the HOV lanes, e.g., the minimum number of persons required per vehicle, the hours of operation (if appropriate), the penalty for violations, and the beginning and ending of the HOV lanes. Regulatory signing for HOV lanes should be black legend on white reflective background and rectangular in shape. The diamond symbol shall be a white reflective diamond on a black background. It should be incorporated into the sign format, at the upper left of the sign. Refer to the NYSMUTCD, 214.5 and NYCRR Title 17, Appendix A-19, Authorizations 94-1 and 94-2. HOV occupancy should be defined in terms of "PERSON". Regulatory signing clarifying minimum person-per-vehicle occupancy requirements and vehicle type, hours of operation, direction of travel (if appropriate), and other operational restrictions should be provided at regular intervals. For HOV lanes that are not barrier-separated, regulatory signs should be located at intervals of 800 m to 1600 m. Regulatory signs on barrier-separated HOV lanes are needed at entrances and exits only. Regulatory signs located in advance of an HOV lane should be mounted adjacent to the approach roadway. Where VMS are used, the diamond symbol should be located on or above the VMS to the left. B. Warning Signing Warning signs alert drivers to highway conditions they should approach with caution, i.e., geometric changes or converging lanes. EXIT ONLY signs are used with EXIT signs to indicate a lane drop. Warning signs should be black legend on yellow reflective background. The diamond symbol shall be a white reflective diamond on a black background. It should be incorporated into the sign format, at the upper left of the sign. Refer to NYCRR Title 17, Appendix A-19, Authorization 94-3. C. Guide Signing Guide signing may be necessary to inform HOV drivers of the areas designated for access to and exit from the HOV lane. Guide signs should be white reflective legend on green opaque background. The diamond symbol shall be a white reflective diamond on a black background, incorporated into the sign format, at the upper left of the sign. Refer to NYCRR Title 17, Appendix A-19, Authorization 94-4. HOV lanes with designated ingress/egress locations should provide guide signs on the approaches to, and at the locations themselves. Guide signing with an HOV message should be reinforced with a diamond symbol.

5/4/98

24.2.10.1

24-60

MOBILITY MEASURES

Drivers must be able to distinguish guidance for HOVs from guidance for general-use vehicles. If separate signs are used, the white diamond on black background shall be placed in the upper left corner of the HOV guide sign. When a single sign is used, the HOV diamond symbol shall be placed adjacent to the HOV guidance. Guide signs should be used to provide information on: ! ! ! transfer facilities destination(s) by name and distance to them HOV interchange destination and distance exit to street or freeway destination and distance

Signs should be sized in accordance with the NYSMUTCD. It may be necessary to mount signs over the lane to provide proper sizing. The diamond symbol should appear on all signs related to the HOV lane or HOVs. Ground-mounted signs should be located adjacent to the lane to which they apply. Overhead signs should be mounted over the lane. Where signs are mounted on barriers, the sign panels may be skewed up to 30o to provide lateral clearance. D. Reversible-flow Signing Entrances to reversible-flow lanes must be protected against wrong-way entry. Remote controlled VMS should be used to display the status (open or closed) of the lanes and gates or barriers should also be considered to provide positive control of ramp entrances. General HOV regulatory signing between terminals and access locations can often be mounted back to back, or located so that the signs for one direction of travel are not visible in the other direction. Refer to the NYSMUTCD 201.4. E. Two-way Flow Signing Two-way lanes should follow the general standards for preferential lane use signing specified in the NYSMUTCD. Areas of limited sight distance should be provided with VMS, lane-use control signals, or some other method of warning the motorists the HOV lane ahead is blocked. VMS should be considered for use to regulate the speed differential between the HOV lane (buffer-separated concurrent or nonseparated contiguous) and the general-use lane. Advance warning signs should be used approaching ingress and egress areas to encourage HOVs to weave into the HOV lane, and to give general-use vehicles adequate time and distance to exit the lane. Lane control signals, warning beacons or other electronic systems may be used to warn oncoming vehicles upstream of stoppages to reduce the danger of rear-end collisions.

24.2.10.1

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MOBILITY MEASURES F. Busway Signing

24-61

Busways should require little signing for the trained, professional drivers who will use them. G. Contraflow Signing Signing of contraflow facilities must make operational requirements clear to traffic traveling in the off-peak direction, such as the hours of operation, eligible vehicle type, which lane is the HOV lane, and direction of flow. Overhead lane control signs should be spaced to have at least one device in view of opposing traffic at all times, or at 300 m maximum intervals. Overhead lane control signals with changeable symbols or word messages should be considered. Supplemental side mounted signs should also be used wherever necessary. Where no buffer or barrier is provided, lane-use control signals should be displayed over the contraflow lane and the adjacent general-use lane. Advance warning signs should be provided in both the peak and off-peak directions approaching the start of a contraflow lane. They should indicate the lane involved and the distance to its start. Arrows and flashers may be appropriate to move the off-peak traffic out of the borrowed lane. Signing at the end of the contraflow section should indicate the end of the HOV lane followed by lane-use control signals over each lane in the off-peak direction. VMS and sidemounted signs may also be appropriate for use, depending on the terminal treatment used. Where space is restricted, reflectorized tubular markers should be used between the contraflow lane and the general-use lane. Movable barrier should be considered where sufficient space is available. Lowering speed limits should be considered to reduce speeds on contraflow lanes when tubular markers are used to separate HOVs from general-use traffic. Spacing of tubular markers should be close enough to discourage lane changes; 12 m maximum spacing is recommended. 24.2.10.2 Pavement Markings All pavement markings shall conform to the NYSMUTCD and NYCRR, Title 17, Appendix A-19. The elongated diamond symbol illustrated in Figure 24-20 shall be used to designate all HOV lanes, except contraflow lanes, which should have no symbol. The symbol should be located on the centerline of the HOV lane at intervals of 150 m to 300 m.

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24.2.10.1

24-62

MOBILITY MEASURES

Recommended pavement markings for HOV facilities are given in High-Occupancy Vehicle Facilities: A Planning, Design, and Operations Manual. ! Standard freeway lane delineation, consisting of a solid white stripe at the right edge of the HOV lane, and a solid yellow stripe at the left edge of the HOV lane, should apply to exclusive two-way flow and exclusive single lane busway HOV facilities. ! Bus lanes on exclusive two lane, one-way busways should separated by a single broken white stripe. ! Two-way buffer-separated (concurrent) flow lanes should be delineated by a solid yellow stripe at the left edge of the HOV lane, and separated from the general-use lane by a buffer of 2 solid white lines parallel to the direction of travel. The parallel lines should be connected by solid white hatch lines for buffers less than 1.2 m wide, and by solid white chevrons for buffer widths of 1.2 m or wider. Refer to Figure 24-20. ! Nonseparated (contiguous) lanes that allow continuous ingress/egress and become general-use lanes during at least part of the day should apply standard freeway lane delineation. ! Contraflow lanes should be separated from general-use lanes by double broken yellow stripes. The edge line will be the existing edge line of the borrowed lane. ! Queue bypasses should apply the same pavement markings as are routinely applied along ramps.

24.2.10.2

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24-64

MOBILITY MEASURES

24.2.11 Provisions for Incident Handling and Maintenance HOV lanes should be designed to accommodate the handling of incidents. Maintenance activities should also be considered to ensure that they can be carried out safely and with as little interruption to traffic flow as possible. 24.2.11.1 Incident Handling Full width continuous shoulders should be provided wherever possible. Refer to the standard cross sections in Sections 24.2.4 through 24.2.9. There should be enough space for a stalled bus to discharge passengers on the wide shoulder without encroaching on the HOV lane and for other buses to pass the stalled vehicle. If the shoulder is to be used for enforcement, it should be 4.2 m wide. If barrier-mounted glare screens are being considered, the need for them should be compared to the benefit of emergency/enforcement personnel having access across the barrier. Additionally, enforcement is enhanced by better visibility over barriers with no glare screens. On the other hand, glare screens can help prevent incidents, which may reduce the need for emergency access. Median emergency crossovers should be located and designed in accordance with Chapter 5, Section 5.8.13 of this Manual. Prior to selection of the crossover locations, the designer should consult with the Regional Highway Maintenance Engineer as prescribed in Chapter 5. Discussions should also be held with local emergency services and law enforcement agencies, and the NYS Police, when appropriate. Timely detection of incidents is vital to minimizing disruption to the operation of the lanes. Closedcircuit television and vehicle flow detectors are two examples of methods that may prove useful to facility operators to improve incident detection. Further, the information they provide could be relayed to upstream traffic by way of VMS and highway advisory radio to notify drivers of the downstream conditions and give them the opportunity to take an alternate route. Surveillance and communications systems can be considered the forerunners of intelligent transportation systems technology improvements. Even if surveillance and communications are not required on a project immediately, provisions for future installation of surveillance and communications equipment should be considered in urban project designs. The following actions, adapted from High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual, are typical of the provisions that should be considered: ! Installation of 3 NPS conduits; normally two are sufficient. They should be placed under or adjacent to the right shoulder in both directions. They should not be placed under barrier or buffers. ! Installation of conduit vault openings within longitudinal box beam bridge structures and abutments. ! Installation of induction loops in Portland cement concrete pavement at intervals of 450 m to 900 m. Up to three loops in a series should be applied, even if all are not ultimately used.

24.2.11

5/4/98

MOBILITY MEASURES These provisions are not recommended for projects located in rural areas. For further information on incident management, refer to Section 24.5.6. 24.2.11.2 Maintenance

24-65

The maintenance needs of HOV lanes are generally no different than those of any general-use facility. By taking certain factors into consideration, maintenance activities and their effect on the HOV facility's operation may be reduced. The following factors, adapted from High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual, are among those that should be considered: ! Median crossovers for maintenance and emergency use should be provided in accordance with Chapter 5, Section 5.8.13 in this Manual. ! Drainage inlets should not be located in a travel lane or under barriers. ! Gaining access to VMS, lighting, and surveillance equipment should not block a travel lane. ! Adequate width should be provided for snow storage and removal. Refer to Chapters 3 and 5 in this Manual for more information. ! Maintenance of enforcement areas should be provided on a routine basis to minimize debris accumulation, which might otherwise result in damage to HOVs and enforcement vehicles. The appropriateness of these factors should be determined on a project-by-project basis. 24.2.12 Highway Drainage Highway drainage is an important consideration in the design of HOV facilities. Highway drainage features should protect the HOV facility, adjacent roadway(s), adjacent landowners, and the traveling public while maintaining water quality and protecting other environmental resources. The physical type of HOV facility proposed will influence how the pre-project drainage patterns will be altered, and the extent of the drainage analysis necessary to accommodate these altered drainage patterns. Refer to Chapter 8 in this Manual for drainage design criteria and other considerations specific to highway drainage. The location and placement of inlets is dependent upon the physical type of facility to be provided, the horizontal and vertical alignment of the existing freeway, and the cross sections of the new HOV facility and the existing general-use lanes. When the median is limited in width, it may be necessary to construct a retaining wall between opposing HOV lanes on superelevated horizontal curves. Roadway runoff can be collected as shown in Figure 24-21a. Another alternative is to construct standard crown HOV lanes which drain to the right shoulder where a closed drainage system can be installed to collect the runoff at the barriers on each side, from both the HOV lanes and the freeway lanes, as shown in Figure 24-21b. When the cross slope of the existing general-use lanes is continued across, and to the center of the HOV lanes, drainage can be collected at the center, as shown in Figure 24-21c. It will be necessary to provide inlet structures along the barrier between

5/4/98

24.2.11.1

MOBILITY MEASURES

24-67

the freeway and HOV lanes in areas where the freeway pavement drains toward the center. Drainage structures, interconnected with storm drain, can be located beneath the median barrier. Inlets should be placed at the edges of the barrier to collect runoff, but not be located in a travel lane or under barriers. 24.2.13 Lighting Lighting of HOV lanes, including the mainline, the origin, terminal and intermediate access ramps, ingress/egress weave lanes, enforcement areas, and emergency median crossovers, should be in accordance with the NYS Policy on Highway Lighting and Chapter 12 of this Manual. Consideration should be given to providing appropriate lighting levels in areas adjacent to concrete median barriers. 24.2.14 Lane Conversions Three alternatives for adding HOV lanes are 1) constructing a new lane, 2)restriping an existing roadway for reduced lane and/or shoulder widths, and 3) taking an existing general-use lane and converting it to HOV use. Constructing a new HOV lane is usually the most costly method and may not be achievable due to right of way constraints. Restriping, while less costly, may compromise safety and restrict access by emergency vehicles. The lane conversion method has the capability of producing considerable construction cost savings, but has proven, in many cases, to be an unpopular alternative in the eyes of the general public. Several lane conversions have ultimately been revoked, and the lane returned to general use due to negative public opinion. Converting general-use lanes to HOV lanes should not be considered on freeways with less than 6 lanes and is, therefore, not an acceptable alternative for many NYSDOT facilities since they do not have the excess capacity and the volume of multiple occupancy vehicles necessary for a successful lane conversion. Conversion of general-use lanes to HOV lanes on these facilities would severely impact the operation of the remaining general-use lanes. Lane conversion should be evaluated in corridor studies and/or major investment studies for facilities with 6 or more lanes. Surveys of freeway users' opinions of HOV lanes and lane conversions have found that public involvement and support are critical to the success of lane conversion projects. Considerable marketing will be required to convince users to consider HOV lane conversions as an acceptable alternative. For further information on lane conversion survey results, refer to Statistical Assessment of Public Opinion Toward Conversion of General-Purpose Lanes to High-Occupancy Vehicle Lanes; Public Attitudes Toward Conversion of Mixed-Use Freeway Lanes to HighOccupancy-Vehicle Lanes; I-90 Lane Conversion Evaluation; and Converting a General Purpose Lane to an HOV Lane: The Interstate 90 Project.

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24-68

MOBILITY MEASURES

24.3 COMMUTER TRANSFER FACILITIES The AASHTO Guide for the Design of Park-and-Ride Facilities defines transfer facilities as those parking facilities where individuals rendezvous to utilize carpools, vanpools, buses and/or public transit for group travel to their destinations. Park-and-ride (P&R) lots, park-and-pool (P&P) lots, employment center parking lots, on-line (located within the HOV facility right of way), and off-line (located off, but near the HOV facility right of way) transit stations, and bus stops are examples of transfer facilities. During the scoping process, the HOV corridor under consideration should be identified as one of two basic types: radial or suburban systems. The type of corridor may influence the collection and distribution facilities needed to complement the mainline HOV lanes. The characteristics of corridors described below are found in High-Occupancy Vehicle Facilities: A Planning, Design and Operation Manual. Radially oriented treatments serve a traditional central business district, or multiple activity centers, clustered in a hub surrounded by outer residential regions. There is usually some pronounced directionality for demand, and a peak direction is distinguishable. These HOV treatments typically (but not always) enhance conventional bus transit, since collection and distribution can be more effectively served and the productivity of the transit vehicle improved. Trips can be more easily aggregated between common trip origins and destinations. Radially oriented HOV lane facilities include such support facilities as: ! convenient bus stops and bus lanes on arterials leading to and within the central business district, ! P&R lots for bus transit users, ! P&P lots for vanpoolers and carpoolers, ! preferential ramps accessing HOV lanes and support facilities, and ! locally sponsored rideshare programs. In a suburban orientation, trips are not as focused on a single activity center or closely concentrated area of employment. Trip characteristics are more dispersed, and there is no identifiable peak direction. Candidate freeways that exhibit this characteristic are circumferential loops, outlying segments of some radially oriented routes, and freeway networks that have no central urban focus. HOV treatments have been recognized as effective in addressing suburban congestion in this setting. A suburban orientation does not necessarily require conventional bus transit for success. Ridesharing (carpools and vanpools) can also succeed. HOV planning warrants in some states do not as yet recognize a suburban market orientation, but this characteristic is becoming increasingly common in congested corridors. System support facilities for suburban-oriented HOV lanes serving multiple activity centers include: ! ! ! ! ! greater reliance on P&P lots for carpooling and vanpooling near trip origins, ridesharing programs, preferential parking facilities near activity centers, convenient ingress/egress provisions with the HOV lane, and complementary zoning and building permit demand reduction policies and practices.

24.3

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Where the need for transfer facilities is established, and construction is warranted, the market area should be defined and an analysis done to estimate the parking demand for the area. From that, the type of facility to be provided should be determined, the size estimated, and potential location sites evaluated. Following site selection, layout and design can begin. The design should be done with local agency and transit authority involvement and in compliance with all local standards, requirements and regulations. For general guidance on planning for transfer facilities, refer to High Occupancy Vehicle Facilities: A Planning, Design and Operation Manual; National Cooperative Highway Research Program (NCHRP) Report 155 Bus Use of Highways: Planning and Design Guidelines; and the Transportation Research Board (TRB) Special Report 209 Highway Capacity Manual. P&R lots generally serve residential commuters who choose to change from low- to highoccupancy travel modes to reach their final destinations. In most cases, that means transferring from an automobile to line-haul (the portion of a commute trip that is express [nonstop] between two points) transit or rail system. Commuters also travel to P&R lots by local bus, bicycles or motorcycles, or as pedestrians. In areas where bus or rail services are not available, P&P lots may be created for carpool and vanpool operations. There are also P&R lots served by bus and rail services that allow the use of part of the facility for carpool and vanpool formation. Transit transfer stations may be located on or off HOV lanes, where passenger transfers occur from transit, express, local and community transportation services, as well as transfers from auto, bicycle, and pedestrian modes. They are the link between multiple origin points and multiple destination points which maximizes the number of opportunities available to passengers. Transfer stations may be located at major activity centers, at outlying points in residential areas, or in the CBD of a heavily urbanized area. The transfers are interruptions in the passenger's journey, so the design should ensure that they are as efficient, dependable, safe, and convenient as possible. Properly designed transfer stations will complement the HOV system of which they are a part. No universal design criteria have been established for transfer stations due to the variability in needs and functions from project to project. Design guidelines are available in various references, including High-Occupancy Vehicle Facilities: A Planning, Operation and Design Manual; Revised Manual for Planning, Designing, and Operating Transitway Facilities in Texas; NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines; and The Location and Design of Bus Transfer Facilities. As with HOV lanes, the design of transfer facilities should be sensitive to the operational needs determined during the scoping phase of project development. Poorly designed transfer facilities can cause delays in operation resulting in reduced time savings and loss of users, which could ultimately affect the entire HOV system. Access to transfer facilities must be provided to persons with disabilities and the elderly in accordance with Chapter 18 of this Manual, and the Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities (ADAAG). This section provides guidelines for the design of the more common types of transfer facilities, including park-and-ride, park-and-pool, on-line and off-line transit stations, and bus stops.

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24.3

24-70 24.3.1 Park-and-Ride Lots

MOBILITY MEASURES

The Department is empowered to obtain property for, and construct P&R lots, by Section 10-39 of the New York State Highway Law and by Title 23 of the United States Code, Highways, Sections 137 and 142. The Federal-Aid Policy Guide, 23 CFR, Part 656 and Part 810 contains the federal guidelines for these facilities. The New Jersey Transit Corporation has established guidance that recommends that P&R facilities, regardless of size, should achieve the following objectives: ! ! ! ! ! ! ! ! provide access to and encourage the use of mass transit, provide adequate parking capacity to meet existing and future needs, be recognized as an element of a park-and-ride network, provide an attractive, visible, high-quality environment that meets modern standards of comfort, safety, security, and access for persons with disabilities, be identified for ease of location, minimize the maintenance and operation burden on the responsible municipality or authority, provide an extensive display of transit system information, and be compatible with surrounding land uses and community needs and activities.

The High-Occupancy Facilities: A Planning, Design and Operation Manual maintains that P&R service for radially oriented facilities is justified when the central business district employment level reaches or exceeds 20 000, and/or commercial development exceeds 929 000 square meters (m2) in 2.6 square kilometers (km2). P&R lots should be provided at a minimum distance of 8 km and preferably 16 km from the central business district. New or expanded express bus service should be considered in conjunction with the opening of an HOV lane. Dedicated HOV ingress/egress ramps for high-volume passenger movements are strongly encouraged. P&R facilities are generally categorized by their location relative to the activity center they serve, and the level of transit service provided, and the exclusive nature of the operation. Locations known as remote, local, and peripheral, and uses known as shared or exclusive are the common names given to P&R lots. The level of transit service provided to the P&R facilities is generally related to their location, as described below. Remote P&R lots generally provide a location for travelers from communities outside major employment areas to change from their mode of travel to express transit. Their locations are rather distant from the final destination, from 7 km to 50 km, depending on the size of the community, but relatively close to the trip origin. This serves to make the travel time as short as possible. It is accomplished by being located adjacent to or near freeways or HOV lanes. Local P&R lots are located along and at the ends of bus routes, closer to the final destination than remote lots. They serve various neighborhoods at those locations and are usually smaller than the remote P&R lots. They are served by local non-express transit.

24.3.1

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MOBILITY MEASURES

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Peripheral P&R lots are located at the edge of an activity center or central business district. They act as overflow lots by intercepting vehicles before they enter the area. In contrast to the other types of lots, the non-transit portion of the trip to peripheral lots is the longest, and the part by transit is the shortest. Transit service is normally provided by local or shuttle bus. Exclusive lots are designed, built and operated specifically as P&R lots. They are generally medium to large in size, provide passenger amenities to attract users, and are served by frequent peak period transit service. Design effort should address all aspects of the facility, as described in this section. Shared-use lots are usually existing lots whose primary function is to serve local activity centers such as shopping malls, municipal buildings, sports arenas, etc. Generally, they are located along transit routes, and their P&R areas are usually smaller than exclusive P&R lots. Shared lots are normally on private property and require no design effort by the Department. While shared-use lots should not be excluded from consideration by the designer, the main focus of this section will be on the design of exclusive lots. For additional information on shared-use lots, refer to Section 24.3.1.13. 24.3.1.1 Facility Demand The size and type of P&R facility appropriate to a specific site is primarily determined by the level of P&R demand. According to High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual, techniques for demand estimation for P&R facilities vary from extremely simple to relatively complex. The scale and complexity of the project should govern the level of effort expended on planning the facilities. The same manual overviews several relatively simple techniques which use commonly available data, including: ! ! ! ! ! Demand observation, Market area population, Mode split, Regression analysis, and The Institute of Transportation Engineers model.

Refer to High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual, and Effective Use of Park-and-Ride Facilities, NCHRP Synthesis 213 for further discussion of those methods.

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MOBILITY MEASURES

NCHRP Synthesis 213 describes the factors that should be considered in estimating facility demand, as follows: ! ! ! ! ! ! daily demand fluctuation, maximum walking distance, transit service, ridesharing use, access, and land availability.

The projected average daily demand should be the starting point for sizing P&R lots, and should generally be expected to fluctuate very little, except during severe weather. However, the facility should be designed to accommodate additional vehicles. A 10% increase is suggested as a realistic factor to ensure that adequate parking is available. The size of a lot may be constrained by the distances people must walk to and from their vehicles. It is best that the distance be kept within 120 m to 195 m. Factors influencing walking distances may include whether walkways are sheltered and the frequency of transit services. Bus headways of 5 min to 10 min appear to be common from larger lots associated with HOV lanes or other dedicated facilities. Smaller lots served by one or two buses during each peak period are not normally governed by headways. Walking distances in lots oriented only toward ridesharing activities, (carpooling and vanpooling), are less of a concern than with facilities served by buses. This is because carpoolers and vanpoolers will usually meet at a prearranged location, rather than walking to a central platform or waiting area. Lot size will depend on the demand projections, available space, and design constraints. The capacity of roadways and intersections adjacent to the P&R site will also influence the size of the lot. To address potential concerns, a site-specific traffic impact analysis should be conducted as part of the lot selection and lot sizing process. This analysis should include a review of existing capacity and levels of service, as well as an estimate of the impact of the P&R lot. This analysis will identify whether there is a need to improve the roadway system to accommodate the projected demand. A key consideration in the sizing of a P&R facility will be the amount of available land, the purchase or lease costs, and development costs. In addition to the number of parking stalls, demand levels will also determine the extent and complexity of the internal circulation system, maintenance, security, and amenity requirements, and the need to insulate the facility from adjoining facilities.

24.3.1.1

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MOBILITY MEASURES 24.3.1.2 Site Selection

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P&R facilities improve transit service and operation performance by focusing demand near highcapacity roadway interchanges. Increased passenger loads collected over fewer boarding points can justify the levels of express service required to attract commuters, thereby making them willing to drive to reach the transit service. To intercept automobile trips and facilitate modal transfer with minimal delay, facilities must be properly located within the express bus commutershed, the regional highway system, and the transit network. In High-Occupancy Vehicle Facilities: A Planning, Design, and Operation Manual, the following guidelines are recommended for consideration in locating P&R facilities during the scoping and design phases: ! Lots will generate the greatest use in travel corridors that experience high levels of traffic congestion. As a general guide, as average traffic per freeway lane approaches about 20 000 vehicles per day, utilization increases significantly. ! Lots should be located in advance (upstream) of the more intense traffic congestion. Potential patrons should have the opportunity to select the alternative prior to encountering the more heavily congested peak-period traffic. ! The most successful lots tend to be located some distance from the users ultimate destination. For P&R users this distance is at least 6 km to 8 km, and preferably 15 km. P&P demand is conducive to even longer trips of 15 km to 30 km. (Few successful lots have been located as far as 45 km from the destination.) ! Since relatively few patrons backtrack to use a lot, the lot should be located so that the area immediately upstream generates sufficient travel demand to the activity center intended to be served by transit. ! As the total population in the market area increases and as the patronage of the population working in the activity center served by the lot increases, so will use. The magnitude of development of the activity center is an important determinant of potential utilization. ! Both accessibility (a measure of the ease with which potential users can get to the general area of the lot) and access (a measure of how easily users can get into and out of the specific lot site) are associated with a parking facilitys ability to attract potential users. Lots should be developed with both good access and good accessibility. ! If the current number of spaces available in an operating lot are sufficient to handle demand from a given area, other proposed lots in that same travel corridor should not overlap the market area (i.e., no closer spacing than 6 km to 8 km). ! To minimize development costs, the site should be flat and well drained. Compatibility with adjacent land uses should also be considered and environmentally sensitive areas avoided wherever possible. ! Space should be available for expansion. Initial demand may be underestimated and could increase over time. ! Preferably, a lot should be located on the right side of the roadway to conveniently intercept inbound traffic. However, successful lots have been developed that were not located in this manner. Local access conditions generally provide the greatest influence. ! To partially address security concerns, lots should not be located in high crime areas or have design features attractive to criminal activity. The lot should be clearly visible from the street, provide lighting and preferably security fencing, and have minimal line of sight obstructions. The possibility of jointly developing a lot with other services can contribute to security, and may be worth of consideration. 5/4/98 24.3.1.2

24-74

MOBILITY MEASURES

24.3.1.3 Interface with Local System The traffic that will be generated by the P&R lot will have some effect on the local highway system. To assess the impacts, AASHTOs Guide for the Design of Park-and-Ride Facilities recommends considering: ! easy maneuverability for the specific categories of vehicles allowed on the lot, ! minimizing potential increase in traffic congestion on local roadways, including expressways, and ! safety at access points and adjacent access roadways. Current and projected design year traffic volumes, developed for the Expanded Project Proposal with the new P&R lot in place, should be used to determine the capacity of the existing highway and the improvement needs of the local highway and traffic signal systems. Ingress and egress must be provided for automobiles and transit vehicles. In addition, access for bicycles and pedestrians should be considered. All users should be able to enter and exit safely and easily. Access points should be located in the vicinity of freeway or expressway interchanges, but not so close as to cause, add to, or be delayed by congestion on the local system, freeway or expressway. Exclusive bus-only entrance and exit connections may expedite the movement of transit vehicles. Access points on local collectors that intersect with arterials may be suitable for automobile traffic. In situations where bus passenger loading/unloading areas may be located directly on the local streets, the proposed operation should be considered in the assessment of impacts on the local system. 24.3.1.4 Interior Lot Layout A. Lot Capacity The number of parking stalls should be based on the projected design year demand volumes from the Design Approval Document. A design load factor (the number of autos simultaneously parked [long term] divided by the total number of parking spaces) for P&R lots should not exceed 70% to 80%. That gives commuters a reasonable chance of finding a parking space. Where adequate overflow spaces exist on nearby local streets or lots, the design load factor can be increased to 80% to 90%.

24.3.1.3

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MOBILITY MEASURES B. Entrances and Exits

24-75

The number and type of entrances and exits for automobiles should be based on the projected design year lot capacity. There should be at least one entrance and one exit in lots with a capacity of up to 300 autos. For capacities exceeding 300 autos, two entrances and two exits should be provided. The demand should not exceed 300 vehicles per hour, per entrance or exit. Their locations are determined by the character of the adjacent streets, the lot shape and the desired interior lot circulation. It is preferable to have multiple entrances and exits to access different streets, if possible. Ideal circulation into the site would separate automobile traffic, bus traffic, bicycle traffic, and pedestrian traffic, thus easing the access for each. Guidelines for the location of entrances and exits for automobiles and buses are contained in the AASHTO Guide for the Design of Park-and-Ride Facilities. Driveways should be designed in accordance with Chapter 5, Section 5.8.11 of this Manual. The design should emphasize safe access for both automobiles and transit vehicles. Entrances and exits used by buses should be designed for the AASHTO BUS design vehicle, or the local transit operator buses, whichever are larger. Pedestrian access to P&R facilities should be provided by walkways from adjacent streets to passenger loading areas. Walkways should be as direct as possible to discourage pedestrians from using drives meant for vehicles, or to minimize the number of pedestrian crossings at circulation roads. Pedestrian walks should be adequately signed and marked. Pedestrians should have right of way over vehicles at all pedestrian/vehicle crossings. AASHTOs Guide for the Design of Park-and-Ride Facilities recommends: ! ! Pedestrian crossings should have good visibility for both pedestrians and drivers. Curbs at all marked crossings between the parking facilities for persons with disabilities and loading zones should be ramped. Refuge or pedestrian islands should be provided where street widths or large volumes of pedestrians and vehicular traffic make it difficult for pedestrians to cross the street safely. Refer to Chapter 18, Section 18.6.6.3D for additional information on refuge islands. Midblock pedestrian crosswalks should be avoided; pedestrian crosswalks should be located at intersections. Drivers do not expect pedestrians at midblock, signals are not usually warranted, and visibility may be restricted due to parking or bus loading and unloading along the curbs. Ramps, pedestrian walkways, and facilities for persons with disabilities must conform to ADAAG requirements. Refer to Chapter 18 in this Manual for additional information on pedestrian facility design.

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24-76 C. Parking Layout

MOBILITY MEASURES

Consideration should be given to including provisions for loading and unloading bus passengers, kiss-and-ride (K&R) passengers (commuters who are dropped off in the morning and picked up in the evening), taxi passengers, cyclists, and pedestrians, and to providing parking for buses, K&R, taxies, bicycles, motorcycles, and long term park-and-ride parking. These spaces should be located so the time required to transfer to the bus loading area is as short as possible. The bus loading/unloading area is the focal point of the P&R lot. The internal parking areas should be oriented toward it, and their proximity to it should be prioritized as follows: 7. parking for persons with disabilities, 8. bicycle parking, 9. motorcycle parking, 10. K&R and taxi parking (short term parking), and 11. P&R parking (long term parking). The number of parking spaces reserved for persons with disabilities shall be based on the total number of parking spaces in the lot. Refer to ADAAG Section 4.1.2 (5) (a). Accessible parking should be located adjacent to the bus shelter with direct access to the shelter and the bus loading/unloading area. Wheelchairs should not be required to cross internal traffic routes or behind parked cars. Accessible parking stalls shall be 2440 mm wide and 6096 mm long with a 2440 mm wide access aisle between spaces. Refer to Standard Sheet M608-4. Bicycle parking demand should be estimated, and where necessary, provision should be made for parking and/or storage of bicycles. The area should be located as close as possible to the passenger loading/unloading area without disrupting pedestrian flow or facility operation. Refer to Chapter 18 of this Manual, the AASHTO Guide for the Design of Park-and-Ride Facilities, and the NYSDOT Pedestrian and Bicycle Facility Scoping Guide for information on the design of bicycle parking areas. Refer to Section 24.3.1.9 B for information on bicycle parking facilities. Motorcycle parking demand should be estimated, and where necessary, provisions should be made for parking of motorcycles. The area should be as close as possible to passenger loading/unloading areas without disrupting pedestrian flow or facility operation. The area should be well lighted to reduce the risk of theft and vandalism. Motorcycle stalls should be a minimum 1000 mm wide and 2000 mm long measured at 90o to aisles that are a minimum 1500 mm wide.

24.3.1.4

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MOBILITY MEASURES

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K&R parking stalls should be close to the bus loading/unloading area and have easy access from the interior circulation routes. They should face the bus loading/unloading area if possible. K&R operates best with one-way drive through stalls at an angle to the aisle. The stalls should be 3.0 m wide, and laid out at a 45o angle between 4.6 m wide aisles spaced 6.1 m apart. Lots served by 12 buses per peak hour or less can normally operate satisfactorily with the K&R discharge and loading area at the bus loading/unloading area. For lots utilized by more than 12 buses per peak hour, the K&R discharge and loading area should be separate from the bus loading/unloading area. K&R parking stalls and discharge and loading areas may also be used by taxies. The components of P&R parking include stalls, aisles, and combinations of the two, called modules. A complete module consists of one access aisle and the row of parking stalls that borders on each side of the aisle. A partial module is where the aisle serves only a single row of parking. The dimension of a complete module is obtained by adding the aisle width plus the stall depth on both sides. The dimension of a partial module is dependent upon the boundary condition of the module. Where car bumpers contact a wall or fence, the maximum partial module dimension is required. Where the boundary is a curb or wheel stop, the bumper overhang must be considered. For 90o pull-in (as opposed to back-in) parking, a minimum bumper overhang of 0.76 m should be provided. The recommended arrangement is to interlock the stalls in a bumper-to-bumper layout as shown in Figure 24-22. The bumpers of cars in abutting stalls are next to one another but offset from those in the stalls on either side. This arrangement maximizes the use of available space and provides easier traffic circulation when the parking angle is less than 90o. Aisle width varies according to stall width and parking angle. Aisles for 90o parking should be two-way and one-way aisles should be used for lesser angles. Minimum aisle widths for oneway operation shall be 4.6 m (45o parking), and 8.0 m for two-way operation, (90o parking). Figure 24-22 shows standard 2.7 m wide stalls (measured perpendicular to the side stall lines) for parking at 90o, 75o, 60o and 45o angle parking. While the most appropriate parking layout is site dependent, rectangular sites are best for maximizing capacity, maneuverability, and circulation. By arranging access aisles parallel to the longer site dimension with parking spaces along both sides of the access aisles, the efficiency of space use is maximized. The 90o parking layout provides the most efficient use of space and allows two-way aisles. The wider aisles of 90o parking are more inviting than the narrower aisles of the lesser-angle layouts. The Traffic Engineering Handbook describes other advantages of 90o parking. Angular parking provides easier maneuverability to and from the stall than 90o parking. The Traffic Engineering Handbook describes other advantages and disadvantages of parking layouts less than 90o: The arrangement of parking stalls and the location of the bus loading/unloading area should be designed so that walking distances are minimized. A layout which limits walking from 120 m to 195 m is preferable. A distance no greater than 300 m is considered an acceptable maximum. Since aisles also serve as pedestrian walkways, the rows of parking stalls should 5/4/98 24.3.1.4

24-78

MOBILITY MEASURES

be generally parallel to the direction the pedestrian must travel between the parking stall and the bus loading/unloading area. With this arrangement, the pedestrian will not be forced to walk between parked cars and the number of vehicle travel aisles to be crossed will be minimized. The use of bumpers and excessive use of islands should be avoided since they also hinder snow removal operations. Islands should accommodate needed channelization and placement of light poles and should be large enough to accommodate appropriate landscape plantings. Channelizing islands are suggested at the ends of rows of parking stalls to better define the row alignment and to maintain a clear sight distance area for drivers and pedestrians at the point where the aisles intersect circulation routes. They also limit parking encroachment into cross aisles, provide space for storage of limited quantities of snow, and protect directional signing.

24.3.1.4

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24-80

MOBILITY MEASURES

D. Bus Loading and Unloading Area The area of the P&R lot designated for passenger loading and unloading should provide convenience and security for the passenger and a minimal maintenance and operational burden on the responsible municipality, authority, or agency. The design of the area should be closely coordinated with the Regional Landscape Architect. The bus loading/unloading area can be located at the perimeter of the lot, accessed directly from the street or the lot, or located at or near the center of the lot. Refer to Sections 24.3.5 and 24.3.6 for more information on curbside bus stops and bus turnouts. Street side bus loading/unloading areas may provide a time savings because the bus would not have to enter, circulate through and exit the lot, which may make it suitable for small lots. In a large lot, where the distance from the farthest parking stall to the Street side location would exceed 300 m, a layout with an interior bus loading/unloading area may be more appropriate. It is recommended that the bus loading/unloading area be separated from other loading and discharge areas when bus volumes exceed twelve buses per peak hour. The area should provide for right side loading and unloading and be located so that pedestrian/vehicle conflicts are minimized or prevented altogether. A shelter over the bus loading/unloading area should be provided at P&R lots, based on consultation with local transit providers. The number of bus bays will depend on the passenger demand, bus routing, the headways on the routes, and the number of bus companies using the lot. A reasonable minimum number is 2. As a guide in determining the capacity of a single bus bay, it is estimated to take 5 minutes to load and 3 minutes to unload a single-door 60 passenger bus. Consideration should be given to furnishing additional bus bay area to accommodate future increases in bus volumes. The dimensions of the 12.1 m BUS design vehicle should be used to establish the turning radii unless the local buses are a larger size or different type. Refer to Figure II-3 in the AASHTO Policy on Geometric Design of Highways and Streets for turning radii. Bus parking stalls may be the parallel type or sawtooth type. The sawtooth type is appropriate for loading more than two buses at a time. Typical bus bay layouts can be found in the AASHTO Guide for the Design of Park-and-Ride Facilities, Figure II-8, and Figures 24-26 and 24-27 in this chapter. E. Interior Traffic Movement One-way bus circulation within the lot is more direct and avoids conflict. Bus routes within the lot should permit safe, convenient and fast circulation between entrances and exits and the bus loading/unloading area. Usually this will be provided by locating the bus loading/unloading area at the front of the lot. Generally, bus traffic and automobile traffic should be kept from using the same internal routes, if possible. Further, buses should not be forced to circulate through automobile parking aisles. For P&R lots located at the end of bus routes, consideration should be given to providing a bus layover area near the approach to the bus loading/unloading area.

24.3.1.4

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MOBILITY MEASURES

24-81

The layout of interior automobile circulation routes and parking stalls will depend upon the shape and size of the lot, the entrance and exit locations and the location of the bus loading/unloading area. One-way circulation should be in a counterclockwise direction. Less space is required but signing is necessary to prevent traffic conflicts and confusion. Long term and short term parking aisles can be either one-way (angle parking) or two-way (90o parking). Two-way traffic flow eliminates the problem of signing, traffic conflicts and confusion but takes more space. K&R parking should be one-way through stalls to accommodate passenger arrival and drop-off and passenger pick-up. Two-way bicycle paths should be provided separate from the automobile and bus routes. The Regional Traffic Engineer and the Regional Landscape Architect can provide valuable assistance regarding the interior layout and should be consulted early in the development of the project. In all cases, an adequate length or queuing must be provided within the parking lot to prevent backup of entering vehicles onto the adjacent highway. Also, when feasible, an adequate queuing length should be provided within the lot at the approach to the exit to prevent blocking of parking stalls. A continuous interior circulation route is desirable so that a vehicle searching for a parking space can easily maneuver within the lot. Where space is available, this should be provided by a continuous circulation route around the periphery of the lot. Long, dead-end aisles should be avoided. Refer to the AASHTO Guide for the Design of Park-and-Ride Facilities for a list of further considerations on interior traffic movement. F. Channelizing Islands Islands in entrances and exits, and within the parking lot should be designed in accordance with Chapter 5, Section 5.10.4 of this Manual. Islands within the parking lot should have a 0.6 m offset from the edge of interior circulation routes. No offset should be provided from the edge of aisles and parking stalls. Islands in the entrance and exit area shall be paved in accordance with Chapter 5, Section 5.10.4.9 of this Manual. Islands within the parking lot should either be planted consistent with landscaping needs or paved where no special treatment is required. G. Walkways Walkways leading to the bus loading/unloading area should be accessible to persons with disabilities, and as direct and safe as possible, with a minimal number of crossings of vehicle routes. Raised sidewalks should be provided at and on approaches to the bus loading/unloading area, and between rows of cars to aid pedestrian flow. However, the potential for problems associated with snow removal, drainage, and maintenance should be considered before installing raised sidewalks within the parking lot.

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24.3.1.4

24-82

MOBILITY MEASURES

Sidewalks for use by the general public shall be a minimum of 1.525 m wide. At curbed exits and entrances and along the edge of curbed parking lots, the sidewalk width shall be measured from the back of the curb. Where significant pedestrian traffic is anticipated and where continuous pedestrian facilities are available, such as sidewalks on the adjacent streets, paved sidewalks should be placed along the exit and entrance roadways to provide access to the bus loading/unloading area. Sidewalk design must include sidewalk curb ramps for persons with disabilities. The minimum width of the bus loading/unloading platform should be 3.66 m, or the width of the adjacent walk plus 2.1 m, whichever is greater. For further details on sidewalk design see Chapter 18, Section 18.6 and Chapter 3, Section 3.2.11 in this Manual. 24.3.1.5 Pavement and Shoulders Entrances and exits and interior roadways used by buses shall have minimum 3.6 m lane widths. Interior roadways with curves shall be widened in accordance with Chapter 2, Table 2-7, Lane Widths for Ramps and Turning Roadways. Widths shall be appropriate for passing a stalled vehicle. For uncurbed entrances and exits, it is recommended that 1.2 m wide shoulders be provided at the same thickness as the adjacent pavement. Where bicycle paths are provided, the width of two-way paths should be at least 3.0 m wide. Curves shall be in conformance with AASHTO's Guide for the Development of Bicycle Facilities, Table 1 Minimum Radii for Paved Bicycle Paths. For additional information, refer to Chapter 18, Section 18.7.8 of this Manual. The pavement thickness design guidelines for P&R lots are as follows: A. Hot-Mix Asphalt (HMA) Pavement 1. Automobile Areas HMA pavement thickness should be 100 mm (40 mm top course over 60 mm binder course) over 300 mm select subbase (subbase thickness requirements may be modified by the Regional Geotechnical Engineer based on local conditions). 2. Bus Areas HMA pavement thickness should be 155 mm (40 mm top course over 40 mm binder course and 75 mm base course) over 300 mm select subbase (subbase thickness requirements may be modified by the Regional Geotechnical Engineer based on local conditions). See note below. 24.3.1.4 5/4/98

MOBILITY MEASURES B. Unreinforced Portland Cement Concrete (PCC) Pavement 1. Automobile Areas

24-83

PCC pavement thickness should be 125 mm over 150 mm select subbase (subbase thickness requirements may be modified by the Regional Geotechnical Engineer based on local conditions). 2. Bus Areas PCC pavement thickness should be 150 mm over 150 mm select subbase (subbase thickness requirements may be modified by the Regional Geotechnical Engineer based on local conditions). See note below. Note: In areas of a P&R lot that may be exposed to vehicle loading heavier than that for which it is intended, (e.g., snow removal or maintenance equipment) the pavement should be designed commensurate with the heavier loading. Assistance with determining the appropriate pavement thickness is available from the Geotechnical Engineering Bureau. 24.3.1.6 Drainage and Snow Removal P&R lots should be designed to provide a well-drained surface and subsurface. Drainage system design should take into consideration the effect of overflow relief on features located on and/or adjacent to the site (e.g., buildings, parking lots, etc.). Where there are no features, or where overflow relief is available that will protect those features, drainage systems should be designed for a 10-year design storm frequency. Where no overflow relief is available, a 50-year design storm frequency should be used. Stormwater inlets should be located in areas where pedestrians do not walk or stand, such as along parking stall interlocks (see Figure 24-22). Stormwater inlets should be located so that surface runoff will not travel more than 50 m to reach an inlet, and designed so that no ponding will occur at the inlet, under design storm conditions. Pavement and sidewalk elevations should be designed to provide drainage away from pedestrian areas. A minimum profile of 0.5% with a minimum cross slope of 2% is recommended to provide adequate runoff of the paved area and subsurface. The maximum grade should not exceed 5.0%. Highway drainage facilities affected by P&R lot projects should be designed according to Chapter 8 of this Manual. The provisions for subsurface drainage should be thoroughly discussed with the Regional Geotechnical Engineer. On-site snow storage is less costly than removal to off-site locations, and should be a design consideration. For curbed exit and entrance roadways with sidewalks, a 0.9 m to 1.2 m minimum snow storage area should be provided between the curb and sidewalk. Refer to Chapter 3, Section 3.2.11 in this Manual for further information on snow storage provisions. Within the P&R lot, consideration should be given to providing large obstacle-free areas to maximize snow removal efficiency. 5/4/98 24.3.1.5

24-84

MOBILITY MEASURES

24.3.1.7 Signing and Pavement Markings Signing and pavement markings shall conform to the NYSMUTCD. Guide signing should be provided on all major access routes in the areas served by the P&R lot. Interior signing should be provided to direct the commuter to the appropriate area of the lot. Signing should be used to designate specific functional areas such as bicycle parking/storage, K&R and taxi parking, shortterm and long-term parking, loading and discharge zones, and exits. Signs shall be provided for all parking stalls for persons with disabilities. The travel routes within the P&R lot should be generally self-regulating to minimize the need for control devices. One-way entrances and exits and one-way circulation routes should be signed to prevent wrong way movements. Self-regulation of these moves should be developed by placing curb radii and directional islands where they permit turns only in the desired one-way direction. The AASHTO Guide for the Design of Park-and-Ride Facilities provides guidance on locating external guide signs and interior lot signing. Special display signing of information on bus routes and schedules, maps, and bus fares should also be provided. Pavement markings aid the driver in complying with the P&R lot regulations when they are used to designate parking areas, direction of travel, restricted areas, crosswalks, stop lines, and other special uses. Crosswalks should be conspicuously marked to enhance the safety of pedestrian access to boarding areas. The type of markings used and what they designate is dependent on the type of pavement provided. Stone or gravel surfaces are not appropriate for painted markings and require stop blocks and curbs made of PCC, asphalt, or wood. PCC and HMA pavements offer the advantage of being suitable for pavement markings, minimizing or eliminating altogether the need for other types of markings. Accessible parking for persons with disabilities in lots with paved surfaces of HMA or PCC and shall be delineated by pavement markings and signs. Refer to ADAAG Section 4.1.2, the AASHTO Guide for the Design of Park-and-Ride Facilities, Figure II-19, and Standard Sheet M608-4 for details. 24.3.1.8 Lighting Lighting is considered warranted at P&R lots in accordance with the Departments Policy on Highway Lighting. Where lighting of P&R lots is provided, it should be of adequate level to enhance safety and security for commuters. Illuminance values shall be in accordance with Chapter 12, Section 12.8 of this Manual. The lighting layout should be closely coordinated with the parking lot and landscape design. Poles within the parking lot shall be non-breakaway type. Illumination of automobile parking areas should be designed so that the motorist can distinguish features of the area, as well as pedestrians moving about. The area should be lighted so that the motorist can read information signs for directions to various areas. The level of illumination should be sufficient to discourage illegal activities by vandals, muggers, etc.

24.3.1.7

5/4/98

MOBILITY MEASURES

24-85

The illumination design shall be such that the vision of drivers in adjacent roadways is not impaired by luminaire brightness or light spillage. Also, for parking lots in residential areas, the light spillage at the perimeter of the lighted area should be minimal. The lighting of the bus loading/unloading area should be given special consideration. This may consist of different source color illumination for improved color rendition or area designation, increased average level of illumination (not to exceed twice that of the general parking area), or variations on pole or fixture design or mounting height. Luminaires should be placed so as to prevent steps and curbs from being located in shadows. 24.3.1.9 Furnishings A. Shelters It is recommended that a sheltered waiting area be provided at all P&R lots. The type, size, and number of shelters should be coordinated with the local transit provider serving the lot, who may have a standard shelter design suitable for use. Clear sided structures are recommended for security. The floor should be located slightly above grade. The placement of an appropriate number of suitable heavy duty benches is recommended. Permanently fixed litter containers shall be placed at appropriate locations to assist in maintenance of the area. Public telephones should also be considered. For larger shelters, other amenities might include heated waiting space and restrooms, vending machines and information displays. Factors such as the size of the P&R lot, the number of users, whether the lot is owned or leased, and whether local policies or conditions permit their use, all influence which amenities are appropriate for a particular P&R site. Shelters should be located adjacent to bus loading/unloading areas, parking areas for persons with disabilities, and short-term (K&R and taxi) parking areas. The shelter's location should not interfere with the sight distances of drivers using the lot. Shelters must be accessible to persons with disabilities and shall be designed in accordance with the applicable provisions of ADAAG. Shelters should be oriented so the opening is away from the direction of the prevailing wind, if possible. The AASHTO Guide for the Design of Park-and-Ride Facilities recommends several other considerations in shelter design, such as site visibility, the width of doorways, the use of doors, and the use of optional features. It also provides guidelines on sizing the shelter to the lot capacity and on the use of construction materials and elements.

5/4/98

24.3.1.8

24-86 B. Bicycle Parking Facilities

MOBILITY MEASURES

P&R lots should be safe and secure to induce bicyclists to make use of them. Bicycle parking/storage facilities should be located near the bus loading/unloading area, protected by curbs or barriers. The area should be well lighted to reduce the risk of theft and vandalism, and protected from rain. It may be appropriate to coordinate the planning and design of the facilities with representatives of the local bicycle club. Bicycle parking should be provided on well-drained hard surfaces with facilities for short term and long term users. The type of facility (e.g., bicycle rack or storage locker) to be used should be coordinated with the party responsible for operating the lot. Refer to Chapter 18, Section 18.7.9.1 for additional information. 24.3.1.10 Landscape Development A well-landscaped P&R lot can improve the area in which it is located as well as enhance the visual appeal of the facility. The landscaping should be consistent with the surrounding land uses and take into consideration such things as safety, operation, degree of maintenance and snow removal, fiscal constraints, vandalism, loitering and where possible, the preservation of existing vegetation. It should be of sufficient quality to result in a beneficial visual impact. Landscaping should be designed so as not to compromise the safety and security of the users of the lot. The Regional Landscape Architect should be involved early in project development to ensure that pedestrian and vehicular circulation, lighting, landscaping and aesthetics are properly considered, developed, and coordinated. Further guidance is available in the AASHTO Guide for the Design of Park-and-Ride Facilities. Peripheral landscaping should be considered for all P&R lots. Lots with a capacity of 130 parking stalls or more should also be considered for interior landscaping to provide relief from, and to reduce the scale of, expansive paved areas. 24.3.1.11 Security Providing security to the users of P&R lots is a very important consideration. Adequate protection of people and their vehicles will serve to draw users to the facility. Some examples of security measures are fences and gates, lighting, 911 emergency/security call boxes, guards, and security cameras. Determining which security measures are necessary should be done on a case-by-case basis. It is recommended that P&R lots be fenced, in areas subject to vandalism or where access is to be prevented to adjacent areas such as railroad tracks. Vinyl-clad chain link fences, plantings, or other cost effective materials should be considered where aesthetics is important.

24.3.1.9

5/4/98

MOBILITY MEASURES 24.3.1.12 Maintenance and Operation

24-87

The Highway Law, Section 10, Subdivision 39 gives the Commissioner the authority to construct publicly owned parking facilities and appurtenances for use in conjunction with existing or planned public transportation systems or facilities. Prior to construction, the governing body of the municipality where the facility is to be located must give its approval. The law also allows the Commissioner, through the municipality, or other party, to operate and maintain the parking lot and enter into an agreement for those services. Usually, the Department arranges for maintenance and operation to be done by the local municipality, authority, etc. However, there may be situations when local municipalities cannot, or will not, provide all maintenance and operation. For example, in Region 10 the local government provides snow and ice removal. Region 10, by low bid contract, may provide maintenance and repair of fencing, signs, pavement markings, landscape development, litter removal, sweeping of the pavement, mowing of grass, etc., on an as needed basis. The Region and the local government should agree, before P&R lot construction begins, who will be responsible for maintenance, repairs, and operation of the lot, or, if the responsibilities are to be shared, how they will be divided. Proper upkeep of P&R lots is necessary to enhance the operation of the facility, to help attract users, and to provide the best return on investment to the State. An effective maintenance and repair program will include the following items: ! ! ! ! ! ! ! ! ! ! ! ! ! periodic inspection, pavement resurfacing and repair, shelter or station repair, traffic control devices (signs and pavement markings), lighting and telephone systems, mowing and care of trees and shrubs, sweeping and cleaning, litter and refuse collection and removal, landscape development, site furnishings, snow and ice control, removal and replacement of vandalized or damaged items, and security/gates.

Costs of P&R lots also include operation of the lighting system and telephone system. The responsible agency or authority should provide for adequate safety of commuters and protection of personal property. Police surveillance should be provided in order to control illegal or improper parking and use of the lot. The extent of law enforcement effort and involvement should be coordinated with the local governing body and law enforcement agency.

5/4/98

24.3.1.12

24-88 24.3.1.13 Shared-Use Lots

MOBILITY MEASURES

A shared-use P&R lot may be selected over an exclusive lot because it is the least cost alternative to constructing a new lot, or it may be used to serve as a test location to help determine if an exclusive P&R lot is needed. Potential shared-use lots may be available at shopping centers, churches, and recreation or entertainment centers. Each potential site must meet ADAAG requirements and should be assessed in terms of lot size, delineation, bus accommodation, and amenities before concluding which site is to be selected. The AASHTO Guide for the Design of Park-and-Ride Facilities elaborates on these factors and how they affect the selection of a shareduse site. When a lot is selected, it is recommended that agreements addressing lease/rental arrangements, maintenance and repairs, number of spaces, seasonal use, etc., be formalized between the appropriate parties. High-Occupancy Vehicle Facilities: A Planning, Design, and Operations Manual describes shareduse lots and exclusive lots as having certain advantages and disadvantages, with the advantages of shared-use lots being, in effect, the disadvantages of exclusive lots, and vice versa. Advantages of Shared-Use Lots ! The parking facility is immediately available and, therefore, the lead time for opening the lot is significantly reduced. Provision of new exclusive facilities can greatly increase the lead time required for inaugurating transit service. ! The parking area and access roadways already exist, requiring less capital to implement. ! Due to the lower capital requirements, shared-use lots can be used as a means of testing demand. If demand proves inadequate, the transit service or lot designation for ridesharing can be quickly terminated. If the demand is more substantial, the desirability of serving that demand with more capital-intensive facilities can then be considered. Although the location and amenities at a shared-use lot may not be optimal, opening a lot at the location may still generate significant use. ! The shopping opportunities available at some shared-lot location may encourage ridership. Disadvantages of Shared-Use Lots ! Transit services, if provided, must be worked into the existing lot layout. This may create difficulty in developing desirable access and circulation patterns. Pavement strength within the lot may dictate that all transit operations take place on the adjacent streets. ! Space may not be available for expansion. Expansion area will be needed if initial demand estimates are low or if demand increases over time. If demand at the shared-use lot location is greater than anticipated, problems may be created when the excess parking demand causes parking in areas not designated. ! It may be difficult to obtain assurance that a certain number of parking spaces will be available on a daily basis. Many shared facilities that have unused parking area during most of the year require the use of that parking area during peak times of the year. In essence, the transit operator or rideshare sponsor lacks control over the facility.

24.3.1.13

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MOBILITY MEASURES

24-89

! There is generally a lack of management control over a shared facility (i.e., safety and liability). This shortcoming may prevent the operator from obtaining adequate liability insurance. ! Many of the amenities provided may be temporary in nature since large capital investment may be difficult to justify. The temporary appearance of the facility may discourage some potential riders. ! During peak periods, especially the evening peaks, congestion within the lot and at the access points may be intensified due to traffic generated by the shared use. For example, evening shopping traffic may conflict with evening park-and-ride traffic.

5/4/98

24.3.1.13

24-90 24.3.2 Park-and-Pool Lots

MOBILITY MEASURES

Park-and-Pool (P&P) lots are locations where drivers of single occupant vehicles meet to switch modes to carpool and vanpool vehicles. P&P lots are not generally served by public transit, and as such, have no provision for access by bus, or for assigned passenger loading/unloading areas. In most other respects, P&P lots should be designed similar to P&R lots. They can be the exclusiveuse type or the shared-use type, similar to P&R lots. Refer to Section 24.3.1 in this chapter for more information on usage types. P&P lots may start out as test locations for future P&R lots. In those cases, they must be designed to allow for incorporation of the P&R elements at a later date. P&P lots should be designed to meet the same objectives as P&R lots, as listed in Section 24.3.1. Site selection guidelines are the same for P&P lots as for P&R lots. Refer to Section 24.3.1.2. A traffic analysis similar to that for P&R lots should be done for P&P lots to determine what improvements will be needed to interface with the local street system without creating significant negative impacts. Refer to Section 24.3.1.3 in this chapter. The standards that apply to the location and design of P&R lots also apply to P&P lots. P&P parking is generally designed as right angle (90o) parking. Refer to Figure 24-22 for parking stall layout dimensions. If there is a likelihood that the P&P will become a P&R, provisions should be made in the design for subsequent accommodation of bus loading, turning radius, vertical clearances, and grades. Refer to Sections 24.3.1.4 through 24.3.1.10 for the design guidelines. Fewer amenities are needed for P&P lots than for P&R lots. Items for consideration might include a public telephone, trash receptacles, and lighting.

24.3.2

5/4/98

MOBILITY MEASURES 24.3.3 On-Line Transfer Stations

24-91

On-line transfer stations are located along the HOV facility within the right of way or adjacent to it. They function as collection and distribution points for passengers to transfer from bus to bus (both express and local), which improves travel time compared to off-line transfer stations. Their location within the right of way may make access for pedestrians difficult, but where there is demand, pedestrian access and P&R access should be provided, if possible. On-line stations generally reduce travel time by providing through-routing in the station design, which is influenced by the orientation of the passenger platform areas. Figures 24-23 and 24-24 illustrate center loading platform and side loading platform arrangements, respectively. The center loading platform makes it easier for passengers to transfer but requires buses traveling in opposite directions to cross paths as they enter and leave the bus loading area to accommodate right-side loading and unloading. Side loading platforms do not require buses to cross paths but passenger safety may be jeopardized if someone tries to cross the through route rather than using the pedestrian access. Although this scheme requires more width than the center loading scheme, it may be preferable to crossing bus paths. It is recommended that the following factors, taken from High-Occupancy Vehicle Facilities: A Planning, Operation and Design Manual, be considered when designing on-line transfer stations: 1. Maintain the capability of mainline traffic to bypass loading and unloading vehicles at the stations. If the station is located along a high-speed through lane used by other HOVs, some consideration should be made for a buffer or barrier separating the mainline lanes from the bus loading lane. Provide good pedestrian access, via ramps and/or elevators. For side-loading platforms, pedestrian access should be possible from one platform to the other without having to cross the mainline through lane. This accommodation can be made by grade separating access via an elevated or depressed walkway or by use of an adjacent street grade separation. Provide supporting improvements that can facilitate effective collection and distribution. These improvements may include park-and-ride lots, feeder bus loading/unloading platforms, passenger pick-up/drop off zones, pedestrian walkways and other features to integrate the station with the specific needs of the area. Provide amenities comparable to most grade-separated rail stations. If the busway is considered to be convertible to rail technology at some future date, it may be desirable to orient the amenities to serve both technologies in order to maintain this flexibility. Provide access for persons with disabilities in accordance with the requirements of ADAAG, Section 10.

2.

3.

4. 5.

On-line stations are best suited to two-way operation, and may be adapted to reversible-flow HOV operations. Through lanes should be provided at the stations to allow other HOVs to bypass stopped buses. The cross section of station through lanes should match the cross section of the HOV mainline lanes, if possible. Where constraints do not allow that, the through lane cross section may be reduced to the appropriate acceptable cross section. Refer to Section 24.2 of this chapter for HOV cross sections.

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24.3.3

24-94 24.3.3.1 Bus Berths

MOBILITY MEASURES

Bus berths are specific spaces in transfer facilities designated for loading and unloading passengers. Small transfer stations, such as simple one-route operations, may also allow the berths to serve as temporary layover points for buses between scheduled arrival and departure times. For larger operations, transfer stations should include separate unloading and loading berths, with separate holdover areas. The primary factors to be considered in the selection of berth type are available space, pedestrian access, bus operations policies, and to a lesser extent, snow removal requirements. The different types of bus berths are: ! ! ! ! parallel bus bay sawtooth bus bay linear bus bay head-in bus bay.

Linear bus bays and head-in bus bays are generally limited to major transfer stations in the central business district (CBD), and as such, are not included in this Manual. For further information refer to NCHRP Report 155, Bus Use of Highways: Planning and Design Guidelines. The parallel design fits better into an existing right of way, reduces the turning movement the buses must make, and easily adapts to various bus lengths. In constrained areas, it allows buses to operate linearly where they queue up to unload and load passengers and leave the station. It also allows them to pull in and pull out around stopped buses along the platform, in stations where enough space is available for wider loading lanes and longer platforms. Figure 24-25 illustrates the layout dimensions for parallel bus bays. Considerable linear space is necessary to permit a bus to overtake and pull into a platform ahead of a standing bus. Table 24-6 shows the required berth length dimensions to achieve various tailout dimensions, as illustrated in Figure 24-25. Shorter berth lengths result in the rear of the bus protruding further into the loading lane. Where road width is constrained, longer berth lengths may be required to provide adequate passing room. For any runway where such maneuvers are permitted, the road width should also assure adequate safe clearance for vehicles in the adjacent lane. Additional roadway width is required for swing-out maneuvers past other vehicles in close quarters. The roadway width and the amount of lineal space at a bus loading platform are directly related where designs allow departing buses to pull out from the platform around a standing bus. Table 247 shows the effect that pull-out distance has on loading lane width. The shorter the berth length allowed, the wider the roadway must be, and conversely.

24.3.3.1

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MOBILITY MEASURES

24-95

Sawtooth bus bays optimize the number of bus loading areas that can be placed in a confined area a given length. Buses are able to pull in to and pull out of each bus bay without interference from parked buses in other bays. The loading lane width shown in Figure 24-26 is the minimum width required. Compared to the parallel bus bays, they require greater station width but shorter station length. They may be preferred over the parallel type to prevent delays where more than two buses will be stopping at one time. Sawtooth bus bays should only be considered in an indoor or roofed facility where they are well protected from the weather, and snow removal is not required. The layouts in Figures 24-25 and 24-26 are for the standard 12.1 m BUS vehicle. The bus berth lengths must be increased for articulated buses. 24.3.3.2 Passenger Platforms The platform widths shown in the bus bay layouts are the minimum widths for single-sided platforms. The minimum width for double-sided platforms should be 3.6 m. Permanent passenger platforms should be raised 125 mm to 200 mm above the busway pavement. Passenger protection should be provided in the form of railing, fencing or wall around the sides where access to the buses is not needed. The bottom of the fence or railing should provide continuous protection against roadway splash and exhaust blast. Detectable warning devices conforming to the current requirements of ADAAG must be provided at platform edges where access to buses is provided. The design of the platform should be coordinated with the transit authority. 24.3.3.3 Platform Shelters Canopy shelters should be provided over the passenger loading areas. The canopies should provide adequate vertical clearance to allow them to overhang the buses by at least 300 mm, and care should be taken not to place supports where they will interfere with the transfer operation. Refer to Table 24-5 for the desirable design vehicle height, and to ADAAG Section 10.2.1 for accessible design requirements. 24.3.3.4 Platform Access Access to the passenger platforms should be provided by stairs and/or ramps. Multi-level stations will normally require escalators or elevators. Access should be provided at the end of the platforms to minimize interference during the loading/unloading process. Stairways and ramps should be designed in accordance with Chapter 18, Section 18.6.6 of this Manual, and Section 10 of ADAAG. The Regional Landscape Architect should be consulted for additional information regarding access for persons with disabilities.

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24.3.3.1

MOBILITY MEASURES 24.3.4 Off-Line Transfer Stations

24-97

Off-line transfer stations are located off the HOV lanes, outside the right of way. They can be P&R lots or they can be major terminals. They function as collection and distribution points for passengers to connect to express buses. Their location is less dependent on the HOV lane alignment than on-line transfer stations are, lending versatility to site selection. Connections to HOV lanes can be provided for vanpools and carpools, but they should be separate from those for buses. Locations that provide good connections to HOV lanes are generally well-suited to interfacing with local activity or employment centers. There are a number of factors which should be taken into consideration when designing off-line stations. The following factors are taken from the NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines. 1. Special bus areas. Off-street bus loading areas or loops should be provided when there are more than 12 to 15 buses per peak hour terminating at a single stop and where the stop serves as a staging area for buses. Station capacity. The number of bus berth positions should be based on the maximum number of buses to use the station at any given time. Berthing requirements depend on peak-hour passenger volumes and berth turnover. Current experience indicates 20 to 30 bus berths as an upper limit for most urban conditions. Berth capacity. Bus layover times should be minimized during peak periods with 5-minute loading (dwell) times a desirable maximum. This allows a peak berth turnover of about 10 buses per hour. Berth design. A specific loading area should be designated for each bus route. Heavily used bus routes may need two berths, whereas long-headway lines may double-up at a single berth. Bus platforms may be of either the parallel pull-through type or a modified sawtooth design, and must be sized according to the largest type of bus that will use them. A primary design requisite is the need for buses to load parallel to curbs or walkways. Refer to Figures 24-25 and 24-26 for typical bus berth layouts. Street access. Bus access should be by ramp directly from arterial streets and the HOV lanes. Street widening, reserved bus lanes, special bus turn lanes and signals, or even bus grade separations, may be provided to expedite bus flow and minimize conflicts.

2.

3.

4.

5.

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24.3.4

24-98 24.3.5 Curb-Side Bus Stops

MOBILITY MEASURES

This section provides guidance regarding the location of bus stops, and factors that should be considered in their design. Refer to Section 24.3.6 for guidance on bus turnouts. For further guidance in the design of bus stops, refer to the Transit Cooperative Research Program (TCRP) Report 19 Guidelines for the Location and Design of Bus Stops, NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines, and Summary of Guidelines for Bus-Related Street Improvements. Guidance on curb-side factors, including those that can affect the comfort, safety, and convenience of bus patrons, as well as discussion of shelter design and placement, amenities, and enhancing bus patron comfort at bus stops, can be found in the TCRP Report 19. Guidance regarding access to bus stops for pedestrians and for persons with disabilities is found in Chapter 18, Section 18.6.6.9 of this Manual, and in ADAAG, Section 10. Curb-side bus stops are designated areas where buses stop in the right curb lane to load and unload passengers at curb side. They are generally located where there is concentrated commercial, residential, office or industrial development, or at intersections of arterial or major collector streets. TCRP Report 19, Guidelines for the Location and Design of Bus Stops, describes several advantages and disadvantages of curb-side bus stops. Advantages are: ! ! ! ! they provide easy access for bus drivers and result in minimal delays to the bus, they are simple to design and easy and inexpensive for a transit agency to install, they are easy to relocate, and they provide easy access for passengers going to/from bus stops.

Disadvantages are: ! they can cause traffic to queue behind a stopped bus, thus causing traffic congestion, ! they may cause drivers to make unsafe maneuvers when changing lanes in order to avoid a stopped bus, and ! they can cause sidewalk congestion. A variation of the curb-side bus stop is the nub, or curb extension bus stop. It is applicable to intersections where parking is permitted. The curb line is extended into the parking lane between the end of the curb radius and the end of the adjacent parking zone. Buses stop in the traffic lane to load and unload passengers. Refer to Figure 24-27. Nub-type bus stops are particularly suited to streets with low traffic speeds and volumes. Advantages of nub bus stops are: ! ! ! ! ! they remove fewer parking spaces for the bus stop, they decrease the walking distance (and time) for pedestrians crossing the street, they provide additional sidewalk area for bus patrons to wait, they result in minimal delay for the bus, and they provide additional space for persons with disabilities.

In addition to the same disadvantages as for curb-side bus stops, nub bus stops also cost more to install compared with curb-side stops.

24.3.5

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MOBILITY MEASURES

24-99

The location pattern (near-side or far-side) of a community's bus stops should be standardized to the extent that bus service requirements and traffic conditions permit. If conflicts seriously impede bus and vehicle flow, the stops should be relocated to an adjacent intersection or eliminated. When a large percentage of passengers using a stop are destined for a single trip generator (a school, office, shopping center or similar generator), the stop should be located to minimize pedestrian street crossings. The design of bus stops should be coordinated with the local transit authority. Pedestrian crossing issues affecting bus passengers should be examined in the placement of bus stops for both the inbound and return trips. If pedestrians will be required to cross the road for either of these trips, the following design treatments should be considered: ! ! ! ! ! ! placing bus stops at cross streets, preferably signalized; placing bus stops to provide adequate sight distance for pedestrians and motorists; providing signage to alert drivers of pedestrian crossings; providing clearly marked crossing zones; locating bus stops to reduce pedestrian travel across intersections; and placing the bus stop within the trip generator.

24.3.5.1 Vehicle Criteria The design vehicle for bus stops shall be the AASHTO BUS (refer to Section 24.2.3.1.). Where articulated buses are in use, or are planned for use, the design vehicle shall be the AASHTO A-BUS. Refer to Chapter II of AASHTO's A Policy on Geometric Design of Highways and Streets for their turning templates. 24.3.5.2 Bus Stop Spacing Bus stop spacing has a major impact on transit vehicle and system performance. Stop spacing also affects overall travel time, and therefore, demand for transit. Bus stops should be spaced to maximize passenger accessibility, convenience, and safety, while minimizing undue delay or traffic interruptions. Land use characteristics and population densities should be taken into consideration. The determination of bus stop spacing is primarily based on development type, such as residential area, commercial, and/or central business district . Typical bus stop spacings representing a composite of prevailing practices are shown in Table 24-8. Table 24-8 Bus Stop Spacing Environment
Central Core Areas of CBDs Urban Areas Suburban Areas Rural Areas

Spacing Range
90 m - 300 m 150 m - 370 m 180 m - 760 m 200 m - 800 m

Typical Spacing
180 m 230 m 300 m 380 m

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24.3.5

24-100

MOBILITY MEASURES
Source: TCRP Report 19

Special bus stop spacing considerations should be arranged to serve major employment or residential generators, and coordinated with the local transit authority. 24.3.5.3 Bus Stop Location The location of bus stops is described by their position relative to intersections. Far-side bus stops are located immediately after passing through an intersection. Near-side bus stops are located immediately prior to an intersection. Midblock bus stops are located within the block. Nub-type bus stops are normally installed at the near-sides of intersections Figure 24-27 illustrates the bus stop placements. The conditions that determine the suitability of the different bus stops are described in Sections 24.3.5.4 through 24.3.5.7. A comparison of the advantages and disadvantages of each bus stop location is found in Table 24-9. TCRP Report 19, Guidelines for the Location and Design of Bus Stops, lists the following factors to be considered when selecting the location of bus stops: ! ! ! ! ! ! ! ! ! ! ! ! adjacent land use and activities, bus route (e.g., is bus turning at the intersection), bus signal priority (e.g., extended green suggests far side placement), impact on intersection operations, intersecting transit routes, intersection geometry, passenger origins and destinations, pedestrian access, including access for disabled persons, physical roadside constraints (trees, poles, driveways, etc.), potential patronage, presence of bus bypass lane, and traffic control devices.

24.3.5.4 Near-side Bus Stops Near-side bus stops are normally preferred: ! ! ! ! where buses operate in median lanes, where signalized intersections are frequent, where curb parking is permitted through the day, and where the accumulation of buses at a far-side stop would exceed the length of the bus zone, and additional length is not available. This removes the potential for queuing buses to overflow the intersection.

24.3.5.2

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MOBILITY MEASURES

24-101

Buses stopping on approaches to intersections can use the width of the cross street to re-enter the main traffic flow. However, near-side stops do have drawbacks in that the stopped bus: ! may block the view to the right, or the view of the signal head for through lane drivers, and ! creates a hazardous situation for motorists making right turns. Near-side stops should not be used where the right-turning traffic exceeds 250 turns per peak hour. When transfer activity between two lines exhibits a strong directional pairing (i.e., heavy volumes from eastbound to northbound), placing one stop near-side and one stop far-side can minimize pedestrian activity within the intersection. 24.3.5.5 Far-side Bus Stops Far-side bus stops are normally preferred: ! where there is a high volume of right or left turns at an intersection; ! when the transit route alignment requires a left turn. Stops should be located one block before, and immediately after the left turn is completed; ! at complex intersections such as intersections with multi-phase signals or dual right or left turn lanes, because they remove the buses from the complicated activities occurring within and near the intersection; ! where sight distance or signal capacity problems exist; or ! where buses have use of curb lanes during peak periods. 24.3.5.6 Midblock Bus Stops Midblock stops may be used when a stop is required in advance of a left turn, or when a long loading area is required where several routes come together, or where major passenger generators are located. Midblock locations should be used when project conditions prevent the use of near-side or far-side stops.

5/4/98

24.3.5.4

24-102

MOBILITY MEASURES

Table 24-9 Comparison of Bus Stop Locations Advantages Near-Side Stop

C Minimizes interferences when traffic is heavy on the far side of the intersection. C Allows passengers access to buses close to crosswalk. C Provides the width of the intersection for the driver to pull away from curb. C Eliminates the potential for stopping twice (once at the signal and again at the far side; see Far-Side Stop, Disadvantages). C Allows loading/unloading of passengers while the bus is stopped at a red light. C Provides driver with the opportunity to look for oncoming traffic, including connecting buses. C Minimizes conflicts between right turning vehicles and buses. C Provides additional right turn capacity by making curb lane available to traffic. C Reduces sight distance problems at approaches to intersections. C Encourages pedestrians to cross behind the bus C Bus can use the intersection to decelerate. C Bus drivers may take advantage of the gaps in traffic flow created at signalized intersections. C Improves potential for signal priority treatments. C Reduces potential for buses to block curbside signs approaching intersection. C Minimizes sight distance problems for vehicles. C May result in passenger waiting areas experiencing less pedestrian congestion. C Usually provides adequate space for buses. C Enhances potential for signal priority treatments. CReduces potential for buses to block the intersection.

Disadvantages
C Increases conflicts with right-turning vehicles. C May result in stopped buses obscuring curbside traffic control devices and crossing pedestrians. C May cause sight distance to be obscured for cross vehicles stopped to the right of the bus. C May block the through lane during peak period with queuing buses. C Increase sight distance problems for crossing pedestrians. C May cause additional delays due to traffic signal. C May limit bus priority signal strategies. C Stopping buses may block the intersections during peak periods. C Stopped buses may obscure sight distance for crossing vehicles. C Stopped buses may increase sight distance problems for crossing pedestrians. C Increases potential for a bus to stop twice (once at signal and again at far side) causing interference with bus operations and other traffic. C Increases potential for rear-end accidents by drivers not expecting buses to stop after passing through the intersection. C Increases potential to queue traffic into intersection when a bus is stopped.

Far-Side Stop

Mid-Block Stop

C Requires additional distance for noparking restrictions. C Increases walking distance for patrons crossing at intersections. C It may be difficult to merge back into the general traffic lane. C Less convenient for connecting with routes on cross streets. C May cause congestion at midblock with buses merging back into traffic lane.

Sources: TCRP Report 19 and draft NCHRP HOV Systems Manual

SEE 24.3.5.3

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MOBILITY MEASURES 24.3.5.7 Bus Stop Lengths

24-103

Bus stop lengths for single unit buses are shown in Figure 24-27. The dimensions will permit the use of a 13.7 m bus in the future (refer to Section 24.2.3.1). They are measured as follows: 1. 2. Near-side stops are measured from the front of the stopped bus to the front of the preceding parking stall (Figure 24-27a). Far-side stops are measured from the rear of the stopped bus to the end of the first parking stall (Figure 24-27c). Where buses enter a far-side stop after a right turn, increase the length by 17 m, measured from the face of curb of the intersecting street to the rear of the bus (Figure 24-27d). Midblock stops are measured from the front of the preceding parking stall to the rear of the next parking stall (Figure 24-27e). Nub-type stops (Figure 24-27b), (see Near-Side Stops above).

3. 4.

Where more than one single unit bus will be using the bus stop at a time, the bus stop length should be increased by 15 m for each bus. Where the bus stops will be used by articulated buses, the bus stop length should be 20 m for one bus. For each additional articulated bus, provide an additional 20 m. 24.3.5.8 Signing and Pavement Markings Bus stops should be provided with signing in accordance with the requirements of the NYSMUTCD. They should delineated with the standard NO STOPPING EXCEPT BUSES signs (221.5). Signs containing information on the bus routes and hours of operation (253.4) should also be provided. Signs should be located in accordance with 221.5 and 253.4 respectively, and must conform with the requirements of ADAAG, Section 10.2.1(3). A common marking is yellow painted curb at the bus stop. The bus stop should be separated from the adjacent traffic lanes by a solid white line, 150 mm to 200 mm wide. Crosswalks should be provided at midblock bus stops. 24.3.5.9 Site Furnishings Sidewalks and other appropriate facilities that provide access for persons with disabilities should be provided at all bus stops and placed at locations consistent with local accessible bus configurations. See Chapter 18, Section 18.6.6.9 in this Manual, and ADAAG, Section 10 for additional guidance. Bus stops are frequently constructed or reconstructed and improved as part of Department projects. Existing bus stops that must be removed or relocated as part of a project are usually reconstructed at Department expense. However, this depends on the specifics of any existing agreement with the transit operator. The designer should refer to Chapter 18, Sections 18.6.6.9 and 18.6.6.11 for additional information. 5/4/98 24.3.5.7

MOBILITY MEASURES 24.3.6 Bus Turnouts

24-105

Bus turnouts, also known as bus bays, are bus stops located in recessed curb areas out of the adjacent moving lanes of traffic. They should be considered on arterials and other major roadways that experience high auto traffic volumes, high over-all travel speeds, and where the bus dwell times are relatively long. With the use of bus turnouts, through traffic is allowed to flow freely without the obstruction of stopped buses. Turnouts are preferred at the far sides of an intersection wherever possible. Far-side locations are less likely to be mistaken for turning lanes by general traffic. Near-side turnouts should be avoided, if possible, due to conflicts with right-turning vehicles. Midblock turnouts should be used where major activity centers attract large numbers of bus transit users. Queue-jumper bus bays should be used at congested intersections to enable buses to bypass traffic to reach the far-side bus turnout. TCRP Report 19, Guidelines for the Location and Design of Bus Stops recommends bus turnouts be considered when the following conditions exist at a location: ! ! ! ! ! ! ! ! ! ! ! ! ! ! traffic in the curb lane exceeds 250 vehicles during the peak hour, traffic speed is greater than 70 km/h, bus volumes are 10 or more per peak hour on the roadway, passenger volumes exceed 20 to 40 boardings an hour, average peak-period dwell time exceeds 30 seconds per bus, buses are expected to lay-over at the end of a trip, potential for auto/bus conflicts warrants separation of transit and passenger vehicles, history of repeated traffic and/or pedestrian accidents at stop location, right of way width is adequate to construct the bay without adversely affecting sidewalk pedestrian movement, sight distances (i.e., hills, curves) prevent traffic from stopping safely behind a stopped bus, a right-turn lane is used by buses as a queue jumper lane, appropriate bus signal priority treatment exists at an intersection, bus parking in the curb lane is prohibited, and improvements, such as widening, are planned for a major roadway. (This provides the opportunity to include the bus turnout as part of the reconstruction, resulting in a better designed and less costly bus turnout.)

Bus turnouts should not be used where traffic volumes exceed 1000 vph per lane. Bus turnouts should be designed to allow buses to safely exit from and merge into the general traffic lane within the length of the turnout, so that the traffic in the adjacent through lanes is not significantly affected.

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24.3.6

24-106

MOBILITY MEASURES

Fully effective bus turnouts include: ! a deceleration lane and taper to permit safe exit from the general traffic lane and easy entrance to the loading area, ! a standing space sufficiently long to accommodate the maximum number of vehicles expected to occupy the space at one time, and ! an acceleration lane and an exit taper to enable safe and easy re-entry into the throughtraffic lanes. A deceleration lane allows the bus to slow down without slowing the traffic behind. An acceleration lane permits the bus to reach a suitable speed for merging into the adjacent lane. While the use of bus turnouts is generally associated with concurrent curb HOV lanes, their use can also be extended to contraflow (one-way right curb, or two-way with median inside) and median or center lanes (two-way with median), where the median width is adequate. The median width should be a minimum of 1.6 m for passenger loading/unloading areas. The median width should be carried to the crosswalk to allow passengers to move safely. The use of fencing and splash guards is also recommended for the passengers' protection. Various configurations of bus turnouts are available to accommodate bus service. Figure 24-28 illustrates far-side and midblock turnouts and queue-jumper bus bays. An exception is at signalized intersections where right turns exceed 250 in the peak hour, in which case the combination nearside right-turn lane and far-side bus turnout, known as a queue jumper bus bay, is preferred. The near-side right-turn lane serves as a right-turn lane for all traffic, and as a queue jumper lane for buses only to bypass the queue in the adjacent through lane to reach the far-side bus turnout. The far-side turnout is used for passenger unloading and loading. The advantages and disadvantages of the various types of bus turnouts are listed in Table 24-10. 24.3.6.1 Vehicle Criteria The design vehicle for bus turnouts shall be the AASHTO BUS (refer to Section 24.2.3.1). Where articulated buses are in use, or are planned for use, the design vehicle shall be the AASHTO A-BUS. Refer to Chapter II of AASHTO's A Policy on Geometric Design of Highways and Streets for their turning templates. 24.3.6.2 Bus Turnout Spacing The spacing of bus turnouts is similar to the spacing of bus stops. Refer to Section 24.3.5.2 .

24.3.6

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MOBILITY MEASURES 24.3.6.3 Bus Turnout Location

24-107

Bus turnouts should be located in accordance with the following guidelines, adapted from TCRP 19, Guidelines for the Location and Design of Bus Stops: ! Far-side intersection location is desirable (may vary with site conditions). Bus turnouts should be placed at signal-controlled intersections so that the signal can create gaps in traffic. ! Near-side turnouts should be avoided at intersections where right turns are allowed, due to conflicts with right-turning vehicles. They also cause delays to transit service as buses attempt to re-enter the travel lane, obstruct the view of traffic control devices and interfere with pedestrian activity. ! Midblock bus turnouts should be considered only when associated with pedestrian access to major activity centers. ! Queue-jumper bus bays begin at the near side of intersections to allow for right turns, and carry across to the far side. A comparison of the advantages and disadvantages of each bus turnout location is found in Table 24-10. Table 24-10 Comparison of Bus Turnout Locations Advantages Midblock Turnout
C Allows patrons to board and alight out of the travel lane. C Provides a protected area away from moving vehicles for both the stopped bus and the bus patrons. C Minimizes delay to through traffic. C Bus drivers may be able to take advantage of gaps in traffic flow created at signalized intersections.

Disadvantages
C Without acceleration lane and exit taper, may be difficult to re-enter traffic, especially during periods of high roadway volumes. C Is expensive to install compared with curbside bus stops. C Is difficult and expensive to relocate. C May significantly reduce sidewalk space at turnout. C May increase the difficulty meeting ADAAG accessible design requirements at turnouts. C Pedestrian crossing distance is increased by the width of the turnout. CSee Midblock Turnout Disadvantages. CMay cause delays to right-turning vehicles when a bus is at the start of the right turn lane. C See Far-Side Turnout disadvantages.
Source: TCRP Report 19

Far-Side Turnout

C Allows the bus to decelerate as it moves through the intersection. C See Midblock Turnout advantages. C Allows buses to bypass queues at a traffic signal. C See Far-Side Turnout advantages.

Queue-Jumper Bus Bay

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24.3.6.3

24-108 24.3.6.4 Near-side Bus Turnouts

MOBILITY MEASURES

The preferences for the use of near-side bus turnouts are similar to those for near-side bus stops. Refer to Section 24.3.5.4. 24.3.6.5 Far-side Bus Turnouts The preferences for the use of far-side bus turnouts are similar to those for far-side bus stops. Refer to Section 24.3.5.5. 24.3.6.6 Midblock Bus Turnouts The preferences for the use of midblock bus turnouts are similar to those for midblock bus stops. Refer to Section 24.3.5.6. 24.3.6.7 Queue-jumper Bus Bays TCRP 19 recommends that queue-jumper bus bays be considered for use when: ! high-frequency bus routes have an average headway of 15 minutes, or less, ! traffic volumes exceed 250 vph in the curb lane during the peak hour, ! the intersection operates at level of service D, or worse, and ! land acquisitions are feasible and costs are affordable. An exclusive bus lane, in addition to a right-turn lane, should be considered when right turns exceed 400 vph during the peak hour. 24.3.6.8 Bus Turnout Lengths The TCRP Report 19 Guidelines for the Location and Design of Bus Stops, advocates including enough space for entrance and exit tapers, deceleration and acceleration lanes, and the stop area, where feasible. The recommended deceleration, acceleration, and taper lengths for various entering speeds are given in TCRP Report 19, Chapter 3, Figure 5.

24.3.6.4

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MOBILITY MEASURES

24-109

The layouts in Figure 24-28a, b, and c illustrate the more common practice of providing only the taper lengths and stopping area, leaving deceleration and acceleration to occur in the travel lane. The dimensions will permit the use of a 13.7 m bus in the future (refer to Section 24.2.3.1). They are measured as follows: 1. 2. Near-side turnouts are measured from the front of the stopped bus to the beginning of the turnout entry transition (Figure 24-28a). Far-side turnouts are measured from the rear of the stopped bus to the end of the turnout exit transition (Figure 24-28b). Where buses enter the turnout after a right turn, provide an additional 17 m measured from the face of the curb of the intersecting street to the rear of the bus. Midblock turnouts are measured from the beginning of the turnout entry transition to the end of the turnout exit transition (Figure 24-28c).

3.

The queue-jumper bus bay illustrated in Figure 24-28d includes an acceleration lane, and a deceleration lane that also provides the means for the bus to jump a queue at the intersection. Where more than one single unit bus will be using the bus turnout at a time, the bus turnout length should be increased by 15 m for each additional bus. Where the bus turnouts will be used by articulated buses, the bus turnout length should be 20 m for the first bus. For each additional articulated bus, provide an additional 20 m. 24.3.6.9 Signing and Pavement Markings Signing and pavement markings for bus turnouts are similar to the signing and pavement markings for bus stops. Refer to Section 24.3.5.8 . 24.3.6.10 Site Furnishings Sidewalks and other appropriate facilities that provide access for persons with disabilities should be provided at all bus turnouts and should be placed at locations consistent with local accessible bus configurations. See Chapter 18, Section 18.6.6.9, and ADAAG, Section 10 for additional information. The site furnishings that should be provided at bus turnouts are similar to the site furnishings that should be provided for bus stops. Refer to Chapter 18, Sections 18.6.6.9 and 18.6.6.11.

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24.3.6.8

MOBILITY MEASURES 24.3.7 Bus Turnarounds

24-111

Bus turnarounds enable buses to return to the routes they serve without having to travel a circuitous route. They may be used at the termini of routes or they may be incorporated into the design of new developments for which transit service is to be provided. Transit operations are most efficient when provided on through streets. However, developments that do not have internal roadway networks to return a bus efficiently to the arterial roadway may choose to use bus turnarounds. "Cul de sac" and "loop" designs are acceptable for the end of a bus route. A "jug-handle" bus turnaround design may be used at mid-block bus terminal locations. Examples of bus turnarounds that will accommodate 12.1 m buses are shown in Figure 24-29. Bus turnarounds should be designed so that a bus can be turned in a counter-clockwise direction to improve the driver's visual capabilities. The roadway should be designed wide enough to allow adequate space for a bus to pass a standing vehicle. This facilitates service in the event of a breakdown and permits passing at terminals used by buses from several routes.

5/4/98

24.3.7

MOBILITY MEASURES 24.4 HIGH-OCCUPANCY VEHICLE LANES ON ARTERIALS

24-113

Most congestion on urban/suburban arterial streets occurs at signalized intersections, causing delays to buses and other HOVs. By giving buses advantages over non-HOVs, person-hours of delay due to congestion can be reduced, and may help to increase bus ridership. This should, in turn, improve the arterial's person-moving efficiency, maintain mobility and provide reliability. Design treatments include designating exclusive busways or HOV lanes, providing queue bypasses at bottlenecks, intersection channelization improvements, bus stop improvements, bus turnouts, and bus shelters. Operational treatments include priority treatments at signals, priority turns at intersections, or turn controls that exempt buses. To determine the appropriate treatment, the designer should consider the function of the arterial in question, its geometric and operational characteristics, the source of the congestion, and the abutting land use. Bus-only treatments make up virtually all existing urban arterial HOV lanes. Very few cities that have them allow carpools to use the lanes. As a result, there is very little information available on combined bus/carpool HOV lane treatments to help develop recommendations for typical cross section dimensions as has been done for freeway HOV lanes. The guidelines that are currently available are based on urban arterial bus-only lanes. Since most projects of this type are retrofit projects, they have the cross section elements of general-purpose urban arterials. The AASHTO Guide for the Design of High Occupancy Vehicle Facilities, and the National Cooperative Highway Research Program (NCHRP) Report 155 Bus Use of Highways: Planning and Design Guidelines provide detailed guidelines. The bibliography and list of references at the end of this chapter provide other design guideline sources. 24.4.1 Design Considerations

24.4.1.1 Design Criteria The standard values for critical design elements for Urban Arterials in Chapter 2, Section 2.7.2.2, of this Manual are the design criteria for HOV lanes on urban arterials. In addition, other controlling design parameters, included in Chapter 5, must be considered by the designer during the design phase. Variances from standard values established for the critical design elements require a justification and approval as described in Chapter 2, Section 2.8 of this Manual. Variances from the recommended values and accepted practices for the controlling design parameters must be explained and documented as described in Chapter 5, Section 5.1.

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24.4

24-114 24.4.1.2 Design Factors

MOBILITY MEASURES

Urban arterials that have limited access from abutting property and that permit, turning movements (right and left, onto and off the facility) under off-peak conditions, are generally used to provide priority treatment for buses. The NCTR&DP Synthesis of Transit Practice, Enforcement of Priority Treatment for Buses on Urban Streets recommends that project design should consider the possible conflicts between bus priority and other functions of the arterial, e.g., property access, vehicular traffic flow, on-street parking, etc. The following factors should be considered in evaluating alternatives for bus priority treatment and in designing projects: ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! street widths and facility capacity, number of traffic lanes, the traffic volumes and speeds, anticipated changes in traffic flow as a result of project restrictions, cross streets and cross-traffic volumes, turning movements, median type and width, vehicle travel times and delays (including buses), curb-parking controls, bus passenger loading (curb or off-street), abutting land use, property access and future growth, the traffic generated by abutting properties, adjacent major parking facilities, bus routing and volume, conflicts with pedestrian traffic, and bicycle traffic, lanes, and routes.

It should be noted that many of the above factors can be modified or restricted to facilitate bus priority (e.g., number of traffic lanes, curb parking, turning movements); however, such restrictions must be enforced, making enforcement an important factor to be considered early in the project.

24.4.1.2

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MOBILITY MEASURES 24.4.2 Design Treatments

24-115

As with HOV lanes on freeways, HOV lanes on arterials are categorized by their physical and operational attributes. There are one-way without barrier and two-way, with or without median or median barrier between the HOV lanes. They can operate as center lane, concurrent flow or contraflow lanes. They may be located in an exclusive right of way or use one or more lanes of an arterial. Figure 24-30 shows a matrix of various combinations of physical and operational types of HOV lanes. The physical types of arterial (across the top) and the types of operation (along the left side) are matched for arterial HOV treatments. As pointed out in AASHTO's Guide for the Design of High Occupancy Vehicle Facilities, not all HOV lane combinations diagrammed are necessarily amenable to local bus transit use because of the need to maintain safety of passengers during right side loading and off-loading. Table 24-11 lists various design issues to be considered for the HOV types. These bus priority treatments differ according to the direction of flow, which lane is to be used, what the mix of vehicles will be, and what traffic controls will be used. Guidelines from HOV Lanes on Arterial Streets, adapted here for use in designing and operating arterial priority lanes and streets, are: ! Access to major parking garages should be maintained. This may require limited automobile circulation in the block adjacent to the garage. ! Design and operations must accommodate the service requirements of adjacent land uses. Deliveries should be prohibited from bus lanes only during the hours that the lanes are in operation. Alternatives would be to provide for deliveries from side streets, from off-street, or from a delivery bay adjacent to the HOV lane. ! Bus lane additions, ideally, should not reduce the lanes available to through traffic in the heavy direction of flow. Accommodation of both existing lanes and the bus lane addition may entail eliminating parking or reducing lane widths to provide additional travel lanes, eliminating left-turn lanes, and/or providing reversible lane operation. ! Median bus lanes should be physically separated from general traffic for maximum effectiveness. ! Taxi loading areas should be removed from the bus lane to prevent interference. On oneway streets, the loading areas should be placed on the opposite side of the street from the bus lane. ! Curb parking should be prohibited before bus lanes are established. This makes an additional lane available for moving traffic, thereby substantially increasing street capacity, reducing delays and marginal frictions resulting from parking maneuvers, and giving buses easier access to stops. Where that is not practical, the bus lane should be provided in the lane adjacent to the parking lane. ! Bus routes should be restructured (by the transit operator) to make full use of priority lanes and streets. Buses may be shifted from other streets to build up usage, provided that they do not exceed capacity, or inconvenience passengers. One-way volumes ranging from 60 to 80 buses per peak hour will help "enforce" the bus lanes without excessively bunching buses. ! Bus lanes may operate all day, or only during peak periods. On streets that pass through shopping areas, bus lanes should be limited to peak periods to allow curb access by shoppers during off-peak periods. 5/4/98 24.4.2

24-116

MOBILITY MEASURES

Cross street geometrics at their intersections with arterials can be affected by the HOV treatment selected for use. The turning radii for curb lanes or median lanes may need to be enlarged to permit buses to make the turn from the arterial to the cross street without encroaching into the adjacent lane. Turning radii from the cross street to the arterial may have to be reduced to prevent turns by general-use vehicles onto the arterial. Cross streets may also need upgrading where right turn ground loops (three consecutive right turns around a city block) are used in place of left turns. The following sections provide guidelines for the types of bus priority treatments available for consideration. Additional guidance is available in HOV Lanes on Arterial Streets, Operations and Design Guidelines for Facilities for High-Occupancy Vehicles, and NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines, including detailed descriptions of the exclusive busway, the median bus lane, the concurrent bus lane and the contraflow bus lane. They also provide guidance as to the applicability of, and the factors to be considered in the design and operation of, these treatments on urban arterials. The AASHTO Guide for the Design of High Occupancy Vehicle Facilities contains design guidelines for geometric design and traffic control considerations for HOV lanes on arterial streets. Another good source of information is Faster Than Walking? Street Congestion and New York City Transit Buses prepared by MTA New York City Transit.

24.4.2

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24-118

MOBILITY MEASURES

TABLE 24-11 DESIGN CONSIDERATIONS FOR ARTERIAL HOV LANES ARTERIAL HOV TREATMENT TYPES ONE-WAY TWO-WAY w/ MEDIAN (OR BARRIER) TYPE TWO-WAY w/o MEDIAN (OR BARRIER)

EXCLUSIVE R.O.W.

-Parking & loading prohibited in both lanes

-Provide shoulder in each lane 1 -Provide bus turnouts if used by local transit -Parking & loading prohibited in both lanes 2 -Prohibit right turns from both lanes 3 -Prohibit left turns from both lanes -Provide a shoulder in HOV lane -Provide bus turnouts if 1 used by local transit -Provide passenger loading platforms at local transit bus stops

MEDIAN OR CENTER LANE RIGHT CURB C O N C U R R E N T

NOT APPLICABLE

-Provide bus turnouts if 1 used by local transit -Parking & loading prohibited in HOV lane -Prohibit right turns from 2 HOV lane -Provide passenger loading platforms at local transit bus stops

-Provide passenger loading platforms at local transit bus stops -Parking & loading prohibited in HOV lane 2 -Prohibit right turns from HOV lane 3, 4 -Prohibit left turns from general-use lane

INSIDE OR INTERIOR

-Lane separation by buffer or broken white line -Provide passenger loading platforms at local transit bus stops -Parking & loading prohibited in right curb lane 2, 5 - Prohibit right turns from right general-use lane - Prohibit left turns from right general-use lane

LEFT CURB

-Provide passenger loading platforms at local transit bus stops -Parking & loading prohibited in left curb lane - Prohibit left turns from 2 HOV lane -Provide priority signal treatment for HOV left turns

SEE CONCURRENT RIGHT CURB

SEE CONCURRENT RIGHT CURB

24.4.2

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MOBILITY MEASURES
TABLE 24-11 DESIGN CONSIDERATIONS FOR ARTERIAL HOV LANES (continued) ARTERIAL TYPE

24-119

HOV TREATMENT TYPES RIGHT CURB

ONE-WAY

TWO-WAY w/ MEDIAN (OR BARRIER) SEE CONTRAFLOW LEFT CURB

TWO-WAY w/o MEDIAN (OR BARRIER) SEE CONTRAFLOW LEFT CURB

-Provide bus turnouts if used 1 by local transit -Parking & loading prohibited in HOV lane -Prohibit right turns from HOV 2 lane -Prohibit left turns from HOV 3 lane -Specialized treatment of exit/entry points -May increase pedestrian accident rate NOT RECOMMENDED

C O N T R A F L O W

INSIDE OR INTERIOR

-Provide passenger loading platforms at local transit bus stops -Parking & loading prohibited in left lanes 2, 5 -Prohibit right turns from left curb lane 3, 4 -Prohibit left turns from left curb lane -May increase pedestrian accident rate

LEFT CURB

-Provide passenger loading platforms at local transit bus stops -Parking & loading prohibited in HOV lane -Prohibit left turns from HOV 2 lane -Prohibit right turns from HOV 3 lane -Specialized treatment of exit/entry points -May increase pedestrian accident rate

-Provide passenger loading platforms at local transit bus stops -Parking & loading prohibited in left lanes -Prohibit left turns from right general-use lanes 2 -Prohibit left turns from HOV lane 3, 4 -Prohibit left turns from left general-use lane 3, 5 -Prohibit right turns from left general-use lane -Specialized treatment of exit/entry points -May increase pedestrian accident rate

Source: Adapted from Operational Design Guidelines for High Occupancy Vehicle Lanes on Arterial Roadways

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24.4.2

24-120 NOTES TO TABLE 24-11

MOBILITY MEASURES

GENERAL: ! Refer to Section 24.4.3.2 for lane separation and pavement markings guidelines. ! Prohibit right turns from right curb lanes, and left turns from left curb lanes when the volume of pedestrians crossing at the cross street exceeds 300 persons per hour. SPECIFIC: 4. Prevents delays to HOV through traffic at passenger loading/unloading areas. 5. Prevents delays caused by heavy volumes of pedestrian crossings. 6. Prevents delays caused by oncoming traffic. 7. Permit general-use left turns by providing an interior general-use left-turn lane. 8. Permit general-use right turns by providing a general-use right-turn lane.

24.4.2.1 Exclusive Busways Exclusive busways (bus streets) are located on arterial rights-of-way reserved exclusively for use by buses only. They are most often found in the central business district (CBD) where traffic is usually dense and internal circulation is poor. Bus service there is generally local and more consideration is given to movement of people and maintaining good traffic circulation than to reducing travel time. Typical applications for their use are: ! ! ! ! bus/pedestrian malls to provide direct access to major activity centers, bus loop at street terminus to allow a smooth return to the bus route, terminal approach to CBD transfer facilities, and connector links between arterials or from an arterial to a freeway.

Busways generally operate on a full-time (24 hr) basis and separate bus traffic from general-use traffic, to improve bus service. During night periods when traffic is light, however, general-use traffic may be allowed to use them. The selection of streets to be used for HOVs must be made so as not to have a significant negative impact on other traffic or access to abutting properties. Parallel routes with sufficient capacity to carry the diverted traffic should be available. The safety of exclusive busways is increased, and their enforcement is made easier, when ingress and egress are gained only at the termini. Access should be restricted to the termini and prevented at cross-street intersections. Preventing access may be accomplished by restricting turning movements, or by eliminating the cross-street, where possible. Terminal treatments for exclusive busways are project specific and do not lend themselves to standard or typical layouts. Locations where busways begin and end must be designed to allow the smooth diversion of general-use traffic to other streets. The diversion of traffic should be direct and deliberate, preferably through the use of right turns.

24.4.2

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Busways that carry heavy volumes of more than 60 buses per hour and are more than 800 m long, should be wide enough to allow for passing stopped buses. An alternative, in areas where sufficient space is available, is to provide bus turnouts. Refer to Sections 24.3.5 and 24.3.6 for design guidelines for bus stops and bus turnouts. Delivery zones should be provided to accommodate the service requirements of the abutting land use where off-street or side street access cannot be gained. On-street delivery zones may be provided for use during off-peak hours when traffic is minimal. Set back delivery areas should be considered for deliveries that must be made during peak hours. Automobile access to or from parking garages should not be provided by way of a busway, if at all possible. In cases where it cannot be avoided, autos that must enter a busway to access a parking garage should be allowed to enter the busway, within the block in which the garage is located. Autos that must use the busway as egress from the garage should be required to exit the busway at the first downstream cross street. 24.4.2.2 Median or Center Bus Lane Median or center bus lanes are applicable to two-way streets with five or more lanes, and are almost always reversible. Different methods of separating buses from general-use traffic include painted areas, raised medians abutted by curb (mountable or non-mountable), barriers, or flexible posts installed in holes drilled into the pavement, in which case they operate similarly to exclusive busways. Consideration should be given to snow removal operations, collection of surface runoff, and enforcement operations in selecting the method of separation to be used. In situations where there is no separation between the median lane and the general-use lanes, they operate similarly to two-way median or center lanes without median barrier. Terminal point transition, points of access, and turning movements on median or center lanes are described in the AASHTO Guide for the Design of High Occupancy Vehicles. The preferred width of passenger loading/unloading islands is 3.0 m and should extend to the nearest crosswalk serving the islands. The length of non-continuous islands should be determined by the number of buses to stop for passengers at one time, but no less than 15.0 m. The islands should be raised (150 mm mountable curbs) for easy access to buses. Fencing, or posts and chains may be used to designate waiting areas and channel passengers to crosswalks. Splash barriers should be provided to protect passengers. Pedestrian cross walks should be protected by traffic signals and provide access from the near side intersection. To support a bus-only median bus lane, current guidelines call for the number of peak hour bus passengers to equal the average number of passengers carried by car in the adjacent general-use lanes. The recommended threshold range for minimum peak hour bus usage is from 20 to 40 buses per hour (AASHTO Guide for the Design of High Occupancy Vehicle Facilities).

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24.4.2.1

24-122 24.4.2.3 Concurrent Flow Lane

MOBILITY MEASURES

HOVs in concurrent flow lanes travel in the same direction as the adjacent general-use traffic without physical separation between the lanes. They normally require only the addition of pavement markings and signing, and are the most common priority treatment used on arterials. They are usually located next to the curb or in the inside lane next to a median. The curb lane is well suited to local bus service. The inside lane is better suited to express service. Pickups, deliveries, and parking must be prohibited in curb bus lanes when they are in operation. The lanes should be strictly enforced and parked vehicles must be removed quickly, if the lanes are to operate properly. Heavy use of the curb lane by delivery vehicles, particularly where no other means of goods delivery is possible, may dictate the use of interior lanes. The preferred lane width is 3.6 m and a lane width of 3.3 m is acceptable. Where the demand for curb access is high, and there is no other acceptable alternative but to allow it, the design should provide a 6.1 m wide continuous curb bus lane to permit a bus to pass vehicles that are loading/unloading, or set back delivery zones should be provided where needed. Buses should not leave the bus lane during normal operation except to pass a stalled vehicle. At locations where right turns are necessary, right turning general-use vehicles should only be allowed to enter the HOV lane within one block of the intersection. Turning movements for concurrent flow lanes are described in the AASHTO Guide for the Design of High Occupancy Vehicle Facilities. An alternative method is to set the right curb back at certain signal-controlled intersections to provide storage for a right turn lane. Left turning restrictions vary from prohibiting all left turns to the joint use of left turn bays by HOVs and non-HOVs. Where the blocks are small enough and local streets can carry diverted traffic, right turn ground loops can be used. Still another alternative is to use priority signal turn phases. The NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines advocates the use of a concurrent flow bus lane when the number of peak hour bus passengers equals the average number of passengers carried by car in the adjacent general-use lanes. The guideline for minimum peak hour bus usage is 30 to 40 buses one way. HOV Lanes on Arterial Streets goes on to recommend that in situations where the peak bus volumes exceed 100 buses per hour, dual bus lanes should be considered to prevent congestion. This allows buses to pass each other at stops, but right turns by general-use traffic from the right are precluded. Operations and Design Guidelines for Facilities for High-Occupancy Vehicles recommends posting speeds that limit the speed differential between the HOV lane and the general-use lane to a maximum 15 km/h, if necessary and possible, to minimize the number of accidents that result from large speed differentials. This can be accomplished with the use of variable message signs (VMS) installed above the lanes.

24.4.2.3

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MOBILITY MEASURES

24-123

For curb lane HOV lanes, locations should be provided for enforcement areas that do not encroach on the street and impede traffic. The use of cross streets may be a viable option. Pedestrian safety must also be considered. The following options, adapted from Operations and Design Guidelines for Facilities for High-Occupancy Vehicles, should be considered: ! ! ! ! strict enforcement of jay-walking ordinances. a special yellow stripe 300 mm to 600 mm wide with a warning message painted on the sidewalk adjacent to the curb. plantings to obstruct and channel the pedestrian traffic to particular locations equipped with pedestrian signals. buses operating with their headlights on at all times.

In selecting the curb lane as the HOV lane, there may be deficiencies which require correction to make the lane useable. Signs, poles and other obstacles located along the route should be a minimum of 500 mm from the curb. Drainage inlets may need to be relocated or leveled to provide a smooth ride. 24.4.2.4 Contraflow Lane A contraflow bus lane is a lane borrowed from the off-peak direction to carry HOVs in the peak direction. To be successful, the directional traffic demand split should be 60% peak to 40% off-peak or greater. The contraflow lane can be the curb lane of a one-way street, or the curb lane or the inside lane of a two-way street. The center lane of a three lane one-way street should not be used as a contraflow lane. Contraflow lanes operating in right curb lanes of one-way streets orient the bus passenger door to the right curb line, and are best suited to passenger loading/unloading. These lanes normally serve local bus stops. They may operate either during the peak period or on a 24 hour, full-time basis. Use of the contraflow lane by other types of HOVs (carpools and vanpools) should not be considered unless bus volumes are low. Contraflow lanes operating in left curb lanes or inside lanes are normally used for express bus service. The inside lanes may be used as reversible lanes to provide reserved lanes in the peak direction at all times. They permit HOVs to bypass congestion in the general-use lanes and at signalized intersections. They generally operate during the peak period. The preferred width of all lanes is 3.6 m; the acceptable lane width is 3.3 m. Where there are heavy pedestrian volumes and sufficient space is available, contraflow bus lanes next to curbs should be 3.9 m to 4.2 m wide, so buses can turn out around pedestrians who step off the curb.

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24.4.2.3

24-124

MOBILITY MEASURES

The operation of contraflow lanes is contrary to basic driver expectancy. They are potentially one of the most hazardous priority treatments that can be implemented on an arterial street. The possibility that motorists and pedestrians may not recognize the opposing traffic flow, and what lane it is in, may lead to higher accident rates during the initial operation. To help mitigate that, contraflow bus lanes are usually limited to use by buses driven by trained professional bus drivers. To further improve safety, when space is available, contraflow lanes should be separated from general-use lanes by physical separations. AASHTOs Guide for the Design of High Occupancy Vehicle Facilities contends that for right curb contraflow lanes on one-way streets and inside contraflow lanes on two-way streets, this is not essential. However, left curb lanes should always be physically separated from opposing traffic. Median islands or barriers are the preferred separation; permanently installed flexible posts are acceptable where space is constrained; and pavement striping can be used for low speed areas. Operations and Design Guidelines for Facilities for High Occupancy Vehicles recommends improving the safety of pedestrians and motorists by: ! ! ! ! ! ! strict enforcement of jay-walking ordinances signing that warns pedestrians to "LOOK BOTH WAYS" at designated cross-walks special visual or audible warning devices installed on contraflow lane buses a special yellow stripe 300 mm to 600 mm wide with a warning message painted on the sidewalk adjacent to the curb for median contraflow projects with a divided median, application of a combination of fencing and plantings in the median to obstruct and channel the pedestrian traffic to particular locations equipped with pedestrian signals buses operating with their headlights on at all times.

Left turns should be prohibited in both the contraflow lane and the off-peak direction when pedestrian traffic parallel to the bus lane is heavy, unless traffic signal phasing and separate storage lanes 3.9 m to 4.8 m wide are provided to protect the turning vehicles, allow the pedestrians to clear the crosswalk, and prevent delays in the bus lane. Contraflow HOV lanes with high bus volumes and no passing lane should be provided with bus turnouts to allow for passing a stopped bus. 24.4.2.5 Transitions The design of transitions from normal street cross sections to HOV priority lanes is a key factor in determining the effectiveness of the facility. Priority lanes should be terminated only at intersections. Various combinations of signing, pavement markings, signalization, movable barriers, and geometric changes can be used to provide the transition treatment needed for projects. Advance warning signs alerting motorists to the start of an HOV lane should be provided at least one block upstream of the start of the lane to give motorists time to move safely into the proper lanes. Signs should also be provided at the beginning of the priority lane. Refer to the NYSMUTCD, 214.5, R420 or R4-25 signs.

24.4.2.4

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MOBILITY MEASURES

24-125

Signs warning motorists of the end of the HOV lane should be provided in advance of the transition, and at the end of the HOV lane where the parking lane resumes. Advance signs should be located so as to give the HOV driver sufficient time to move safely into the adjacent lane. The end of the priority lane should be a right-turn-only lane to prevent vehicles from crossing the intersection into the parking lane. Refer to the NYSMUTCD, 214.5, R4-22 or R4-27, and R3-24 signs. Curb lanes that transition to a general-use lane on the other side of the intersection need not be signed for a right-turn-only. Pavement markings can also be used to aid HOV transitions on 24-hour HOV lanes. Permanent pavement markings should not be used on HOV lanes that operate only on a part-time basis, due to the confusion that may occur during the off-peak hours the lanes are not in operation. HOV lanes generally begin at intersections. When an HOV lane begins on the near side of an intersection, care must be taken to prevent the development of a queue of non-HOVs that will block the intersection. An alternative would be to start the HOV lane on the far side of the intersection. Concurrent HOV curb lanes can also be terminated upstream of the intersection at a pre-signal location where a priority green phase is provided to the HOV lane, allowing HOVs to move forward into any of the approach lanes. When the HOVs are in place, the pre-signal allows the non-HOVs to move into the approach lanes. Then the main signal is activated to clear the intersection. This operation allows maximum use of the intersection approach capacity, particularly when the HOV volumes are low. In addition, right curb setbacks or turning lanes can expedite turning movements by preventing blockages due to waiting vehicles.

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24-126

MOBILITY MEASURES

24.4.3 Signing and Pavement Markings When space allows, concurrent flow HOV lanes should be separated from general-use lanes by buffers, and contraflow lanes should be separated by barriers. When that is not possible, pavement striping must be used to provide the separation. Signs and pavement markings should follow standard signing principles and conform to the NYSMUTCD and Appendix A-19 to Title 17 of the New York State Official Codes, Rules, and Regulations (NYCRR) to the fullest extent possible. Signs and/or signals, including variable message signs, should be used to convey lane use restrictions. Preferential lane markings should also be used to designate the restricted lanes. The standard symbol for HOV lanes shall be the elongated diamond symbol which shall be used on all signs and as pavement markings. Refer to Figure 24-20. 24.4.3.1 Signing Preferential lane signs should be located at regular intervals along the HOV lane and at exit and entry points. Signs may be ground-mounted for the curb lanes, but they may be less visible to the motorist than overhead signs, due to visual interference by other signs, buildings, etc. Overhead signs are the most visible, and should be used exclusively for interior lanes. Implementing preferential lane use restrictions may require obtaining approval of signs not included in the NYSMUTCD and NYCRR, Title 17, Appendix 19. For example, lanes restricted to buses may be signed BUSES ONLY or RIGHT LANE BUSES ONLY. The sign should be similar to R4-21 or R4-26 signs in the NYSMUTCD, with appropriate wording changes, and conform to the requirements of 214.5. Lane restrictions can be emphasized by overhead signing placed over the appropriate lanes at intersections. Signing for HOV lanes not physically separated from the adjacent general-use lanes should be located at shorter intervals than on separate HOV lanes. AASHTO recommends spacing of 100 m minimum to 250 m maximum. Reversible-flow lanes and contraflow lanes are good candidates for the use of overhead signs. The signing of contraflow lanes can be augmented with flashers to warn opposing traffic. The reversible lane signing can have signals installed for both directions to show drivers which direction of travel is in operation. Flashing lights along with a sign message, for example, "HOVs ONLY WHEN FLASHING", on HOV lanes, conveys to motorists when the lane is in operation and helps prevent confusion as to when the lanes are open to general-use traffic. Information giving time of operation and vehicle occupancy requirements can then be provided on roadside signs, when feasible. Signs for control of exits and entrances to HOV lanes should be located far enough in advance to give the drivers time to move into the correct lane. Signing in the off-peak direction approaching a contraflow section should include advanced-warning and restricted-lane signing along the mainline. Signing in the peak direction would normally be the standard signing with emphasis on vehicle eligibility.

24.4.3

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MOBILITY MEASURES

24-127

When right turns are permitted from right curb HOV lanes, the signing should state specifically where the right-turning general-use vehicles may enter the lane. NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines recommends right-turning general-use vehicles be allowed to enter the right curb lane 75 m upstream of the intersection. Signs with the wording BUSES AND RIGHT TURNS ONLY should be used, including the days and hours of operation. The sign should be similar to R4-21 or R4-26 signs with the appropriate wording changes, and conform to the requirements of the NYSMUTCD, 214.5. Refer to Section 24.2.10 in this chapter for additional guidelines on signing. 24.4.3.2 Lane Separations and Pavement Markings The preferred method of separating exclusive, median, or concurrent flow HOV lanes from adjacent general-use lanes and from adjacent HOV lanes is by 0.6 m wide buffers. Contraflow lanes should be separated from the adjacent general-use lanes by 0.6 m wide concrete barriers. When the cross section is restricted by lack of space, preventing the use of buffers or barriers, lane striping must be used. Lane striping guidelines for the separation of HOV lanes from adjacent general-use lanes, and from adjacent HOV lanes, are found in AASHTO's Guide for the Design of High-Occupancy Vehicle Facilities. All pavement markings for travel lane lines, edge lines, full barriers, reversible lane lines and HOV lane symbols shall conform to the NYSMUTCD and NYCRR, Title 17, Appendix A-19. The elongated diamond symbol illustrated in Figure 24-20 shall be used to designate all HOV lanes, except parttime lanes, to avoid confusion. The diamond symbol should be centered laterally in the HOV lane, and located at intervals of 25 m to 150 m depending on the block length and location of major access points. Pavement markings, combined with appropriate signs and lights, contribute to ensuring that motorists are aware that the lane is restricted and when it is in operation.

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24.4.3.1

MOBILITY MEASURES 24.4.4 Enforcement

24-129

The National Cooperative Transit Research & Development Program Synthesis of Transit Practice Number 2, Enforcement of Priority Treatment for Buses on Urban Streets provides information on bus priority design guidelines in which enforcement is considered to be a primary element in a projects success. It makes the point that the lack of consideration of enforcement strategies during the design of a project may result in significant limitations on the enforcement effort. Improper project design for bus priority treatments on urban arterials may result in either expensive enforcement or an operation in which enforcement is difficult or impossible. Project design should be coordinated closely with the local enforcement agency. FHWA's High Occupancy Vehicle Enforcement Guide contains design considerations important to enforcement of surface street HOV lanes, which include various geometric and traffic control elements, summarized in Sections 24.4.4.1 through 24.4.4.3 below. Also refer to FHWAs Enforcement Requirements for HOV Facilities for additional guidance. 24.4.4.1 Exclusive HOV Lanes A. Geometric Considerations Access and egress usually occurs at HOV lane terminal points. Unlawful access at intermediate intersections can be impeded by using small radius curbs that will not allow for an adequate turning path for a passenger car. B. Traffic Control Considerations 1. 2. 3. Pedestrian indications at intersections and midblock locations. Traffic signs and signals to restrict the turning movements between the busway and cross streets. Use of NYSMUTCD signing and pavement markings for terminal areas and other access areas to channel the traffic appropriately.

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24.4.4

24-130 24.4.4.2 Concurrent Flow Lanes A. Geometric Considerations 1.

MOBILITY MEASURES

2.

Center medians of sufficient width, or containing numerous left turn lanes, closed off during peak period operation due to left turn restrictions, may provide vantage points (points from which enforcement officers can watch the HOV lanes) and violator detention areas. Cross streets may be considered for violator detention areas for lanes with tight space restrictions.

B. Traffic Control Considerations 1. 2. 3. 4. 5. 6. 7. NYSMUTCD signing upstream of, and within, HOV lanes should be frequent enough to alert new arrivals and remind through traffic of lane use restrictions. "RESTRICTED LANE ENDS" signing is necessary to establish the location where the HOV lane use restriction ceases, and the lane is available to all motorists. Signing permitting right turns from curb HOV lanes should specifically state the point at which a right-turning general-use vehicle may enter the priority lane. Possible need for signs restricting turns from HOV lanes. Signs prohibiting parking in curb HOV lanes. Wider striping used as lane lines. Use diamond symbol, rather than word messages, for 24-hour operation restrictions. Diamond symbol should not be used for facilities that operate as restricted lanes only during the peak-period.

24.4.4.3 Contraflow Lanes A. Geometric Considerations 1. 2. Wide HOV curb lanes (6.0 m preferred) provide a violator detention/citation area during HOV operation, or space for loading/unloading when the HOV lane is not in operation, and a passing lane, that will allow traffic to safely pass. Inside contraflow or reversible lanes with adjacent physical medians and mountable curbs, or with left turn lanes that are closed during peak period operation, provide areas for surveillance, apprehension and issuing citations.

24.4.4.2

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MOBILITY MEASURES B. Traffic Control Considerations 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.

24-131

Special signal control devices might be required to guide traffic through the entrance points to and exit points from the contraflow lane. Use overhead lane use signals (NYSMUTCD 275.3), especially at lane terminals and intermediate access locations. Overhead lane designation signs are desirable. Use advanced warning signs to advise drivers they are approaching the beginning or end of preferential lanes (NYSMUTCD 214.5). Special crossover signs may be required at transitions points. Marked buffers are desirable, where space allows. Diamond symbols should only be used on 24-hour full-time HOV lanes to avoid confusion. Stanchions (drums, cones, and tubular markers) are effective when used to facilitate transitions and limit intermediate access and egress. Stanchions (drums, cones and tubular markers) may be used to separate right curb or median HOV lanes from opposing general-use lanes (AASHTOs Guide for the Design of High Occupancy Vehicle Facilities). Left-curb HOV lanes should always be physically separated from opposing general-use traffic (AASHTOs Guide for the Design of High Occupancy Vehicle Facilities).

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24.4.4.3

24-132

MOBILITY MEASURES

24.4.5 Access to Abutting Properties It is just as important to consider the adverse impacts that converting a curb lane to HOV use can have on access to the abutting properties for service and deliveries, as it is to consider the impacts to the traffic patterns and street system capacities. Curb lane HOV treatments will likely result in conflicts between the need for access to the abutting properties and the objective of providing improved traffic conditions. Full-time curb lane HOV treatments require that curb parking be prohibited and property access be achieved by some other means such as from the rear, off a local street or alley, or via off-street access. If there is no alternative but to provide access from the arterial, it will be necessary to select specific locations for the turns. A part-time HOV curb lane restricts access only during the peak period, and reverts to normal use during the off-peak period. In either case, arrangements must be made with abutting property owners and the street should be signed to restrict the turns, as necessary. 24.4.6 Provisions for Bicycles Arterials may be shared roadways, designated as bike routes (not a preferential use lane), or have designated bike lanes within their rights of way. This tends to make turning movements at intersections, bus stops and bus turnouts complicated. Where bike lanes are provided, a marked through lane should be provided to guide bicyclists along the outside of the bus stop or turnout. Refer to Chapter 18 in this Manual and AASHTO's Guide for the Development of Bicycle Facilities for further guidance on the design of bike lanes at intersections. Those details can be adapted for use at bus stops and bus turnouts, as shown in Figure 24-32. Another means of providing for bicycles is for transit operators to implement an on-vehicle bus storage program to allow passengers to bring their bicycles onto the bus. An alternative is for operators to provide a carrying rack on the front of the bus.

24.4.4.2

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24-134 24.5 OTHER TREATMENTS

MOBILITY MEASURES

This section discusses other treatments that may improve mobility for highway users. Section 24.5.1 presents freeway entrance ramp control as a means of reducing congestion on the mainline and improving safety at the mainline/ramp merge point. Section 24.5.2 discusses the use of freeway-to-freeway connector metering to alleviate congestion on high volume connectors. Queue bypasses for HOVs at freeway entrance ramps and other queue bypass treatments are discussed in Section 24.5.3. The use of freeway shoulders as peak hour travel lanes is covered in Section 24.5.4. Section 24.5.5 summarizes the importance of access management to preserving safety and arterial capacity, and reducing congestion on streets and roads. The importance of incident management is summarized in Section 24.5.6. Section 24.5.7 briefly presents the relatively new topic of traffic calming. Work is ongoing to develop a formal policy on the use of traffic calming measures. A Department task force has developed a draft policy and interim guidance to assist the Regions. Special traffic controls, including signal priority systems, signal preemption systems, and signs and lane use control signals are covered in Section 24.5.8. A brief discussion of traveler information systems is presented in Section 24.5.9. 24.5.1 Freeway Entrance Ramp Control Freeway entrance ramp control is the application of control devices such as traffic signals, signing, and gates to regulate the number of vehicles entering the freeway in order to achieve some operational goal, such as balancing demand and capacity or enhancing safety. The primary method of ramp control is ramp metering. Typically, the objective is to balance demand and capacity of the freeway in order to maintain optimum freeway operation and prevent operational breakdowns. Ramp metering may also be applied for safety considerations where certain geometric inadequacies or other constraints exist. Positive benefits of ramp control most commonly realized are reduced delay, travel time, and accident experience, and increased throughput and operating speeds. By maintaining noncongested freeway flow, or at least reducing freeway congestion, ramp metering improves the efficiency and safety of freeway operation. It can also improve the safety of the merging operation, particularly at entrance ramps with inadequate sight distances. In addition, by making traffic wait, it makes using the freeway less attractive for some trips than using available alternate routes, or using the freeway at another time, or transferring to another mode of transportation. Although individual ramps may be metered or closed for specific reasons, ramp control is most effective when ramps are metered in an integrated system manner. System control requires a central or distributed control system master with control algorithms and interconnection by some communications media. The following sections present discussion on metering rates and strategies to reduce or eliminate congestion, and enhance the safety of merge operations, pretimed and traffic-responsive metering, and local and system control.

24.5

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MOBILITY MEASURES

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Entrance ramp closure is a seldom-used technique for ramp control. It is the most restrictive and least popular form of ramp control, and should not be considered comparable to ramp metering. The following factors, adapted from NCHRP Report 155 Bus Use of Highways: Planning and Design Guidelines, are recommended for consideration in determining the applicability of ramp metering: ! Ramp metering should be considered wherever urban freeways operate below level of service "D". Freeway lane density generally should exceed 25 to 30 vehicles per kilometer. Adequate parallel surface routes must be available for the traffic diverted from the ramps, to improve overall network performance. Adequate ramp storage capacity must be available, to prevent queues of vehicles waiting to enter the freeway from blocking local street circulation. Ramp metering should not be applied where queues exist, e.g., at freeway lane-drops or convergence points, or at freeway-to-freeway connectors.

! ! !

A report on the Connecticut Freeway Traffic Management System relates applicability of ramp metering to available ramp storage: .........metering is considered feasible if the available ramp storage exceeds 10 percent of the premetered peak hour volume. If there is storage for 5 percent to 10 percent of the peak volume, metering may still be feasible; but additional analysis is required and possibly mitigating measures (e.g., additional ramp lane, queue detection, etc.). Ramp metering is not considered feasible if the storage is less than 5 percent of the premetered peak hour volume. For additional guidelines, refer to the Federal MUTCD, Part IV, Section 4E-23, Guidelines for Freeway Entrance Ramp Control Signals, NCHRP Report 232 Guidelines for Selection of Ramp Control Systems, and Traffic Control Systems Handbook (1985 and 1996 editions).. 24.5.1.1 Ramp Metering Metering rates are determined according to whether metering is to be used to reduce congestion, or to improve the safety of the merge operation. For examples of how to calculate metering rates, refer to FHWA's Traffic Control Systems Handbook.

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24.5.1

24-136

MOBILITY MEASURES

A. Metering Rates for Congestion Reduction To eliminate or reduce congestion, demand must be kept below capacity. The metering rate will depend on the relationship among upstream demand, downstream capacity, and the volume of traffic wishing to enter the freeway at the ramp. Downstream capacity is determined by the capacity of a downstream bottleneck or the merging capacity at the ramp. When the sum of upstream demand and ramp demand are less than or equal to downstream capacity, ramp metering is not required to prevent congestion. When upstream demand is less than downstream capacity, but the sum of upstream demand and ramp demand exceeds downstream capacity, ramp metering is necessary to prevent congestion. The ramp metering rate is determined by the difference in hourly volumes between upstream demand and downstream capacity. When upstream demand exceeds downstream capacity, a minimum metering rate of 3 vpm 4 vpm should be used. It has generally been found that metering rates lower than 3 vpm are not effective because drivers waiting at the ramp will judge the ramp metering signal to be malfunctioning and proceed through on red resulting in increased congestion. Metering at the minimum rate may reduce the congestion that might otherwise result from violators ignoring the metering signal. B. Metering Rates for Safer Merging Operations When the purpose of ramp metering is to provide safer ramp merging operations, the metering rate should be selected to ensure that each vehicle has time to merge before the next metered vehicle approaches the merge area. When vehicles are released in a platoon from a traffic signal at a nearby intersection onto a ramp, they will compete for gaps in the mainline traffic stream, creating risks of rear-end and lane-change collisions. Ramp metering can break up the platoons and smooth out the merging operation. The Traffic Control Systems Handbook (1996) recommends that metering rates for single lane ramps be: ! ! no less than the peak hour ramp volume, or 240 vph, whichever is greater, to prevent queues from forming on the ramp and encroaching into the local street, and no greater than 900 vph, to prevent traffic from being released so close together that safety is compromised.

The Traffic Control Systems Handbook also recommends that a 2 lane meter use a minimum metering rate of 400 vph and a maximum rate of 1500 vph.

24.5.1.1

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MOBILITY MEASURES 24.5.1.2 Pretimed Metering

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Pretimed metering refers to a fixed metering rate that is not influenced by current mainline traffic conditions. The rate will normally be set on the basis of historical data. The time period over which a metering rate is in effect is the control interval, which is usually the length of the peak period. Several methods have been developed to establish metering rates for pretimed metering. Refer to FHWA's Traffic Control Systems Handbook (1985). Metering cycles may be actuated and terminated by detectors on the ramps. The ramp metering signal intervals (red, green and yellow) are timed according to whether single-entry metering or platoon metering is used. Single-entry metering permits one vehicle to enter the freeway per green interval. Platoon metering allows the release of two or more vehicles per green interval, either two abreast or in tandem. With two-abreast metering, two vehicles are released side-by-side per green interval. This method is used on the Long Island Expressway in Suffolk County. Requirements are two parallel lanes on the entrance ramp and sufficient distance beyond the ramp metering signal to achieve a tandem configuration before merging with freeway traffic. With tandem metering, the vehicles are released one after another. The disadvantages of the platoon metering are driver confusion, greater probability of rear-end accidents, and greater likelihood of disrupting mainline freeway flow. Platoon metering should only be used when the required metering rates are higher (greater than 900 vph) than can be provided with single-entry metering. Pretimed metering gives a condition to which the driver can easily adjust, and which can be depended upon. A primary disadvantage to pretimed metering is that it can not adjust to significant changes in mainline demand or react to circumstances resulting from incidents. Therefore, the metering rate should be set to operate at volumes that, when added to the upstream volumes, will total slightly less than the downstream capacity. Pretimed metering is the simplest form of entrance ramp metering. The essential components of a pretimed metering system include: ! Ramp metering signal - A standard 3-section (red-yellow-green), or 2-section (redgreen)signal display which controls the ramp traffic. Refer to the NYSMUTCD 275.6 for design, location, and operation requirements. Local controller - A standard pretimed controller, with or without the logic to adjust metering rates by time of day and/or accept input from check-in and queue detectors. Advance signal ahead sign with flashing beacon - A sign which indicates to traffic approaching the ramp that the ramp metering signal is in operation when the beacon is flashing. Refer to the NYSMUTCD 275.6 for related devices.

! !

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24.5.1.2

24-138

MOBILITY MEASURES

Optional components that may be used to provide more capabilities to the metering system include: ! Check-in detector - A detector placed on the ramp approach to the metering signal upstream of the stop line. When the vehicle stops at the stop line and is detected, the signal changes from red to green. It is preferable to have a default minimum metering rate of 4 vehicles per minute (vpm) on the chance that the detector fails or that the vehicle is not detected. An alternative is to install two detectors in the ramp lane. Check-out detector - A detector placed on the ramp 2.4 m downstream of the stop line. When the vehicle is detected the green signal is terminated. This limits the length of the green interval to the time needed to permit one vehicle to pass. Queue detector - A detector placed as far upstream on the ramp as possible, without detecting the frontage road traffic which desires to bypass the ramp. When a vehicle occupies the loop for a minimum length of time, indicating a queue that may interfere with the traffic on the access roadway, the metering rate changes to a higher rate to shorten the queue, or metering may be temporarily terminated to clear the queue. There may be situations where the ramp length is not adequate for the queue that will develop during the peak hour. In those cases, adding a storage lane and queue detector to the access roadway should be considered. Merge detector - A detector that senses stopped vehicles in the merge area of the ramp and freeway mainline. Actuation of the merge detector preempts subsequent green intervals until the vehicle merges.

The Official Compilation of Codes, Rules, and Regulations of the State of New York (NYCRR), Title 17, Appendix A-19, Authorization 89-3 authorizes the use of signs with the words ONE VEHICLE PER GREEN in conjunction with ramp metering signals. Refer to Figure 24-33 for a layout of a pretimed entrance ramp metering system. For detailed design guidelines on pretimed entrance ramp metering systems, refer to the FHWA Traffic Control Systems Handbook (1985 and 1996 editions). 24.5.1.3 Traffic-Responsive Metering Traffic-responsive metering strategies are based on current or predicted demand-capacity conditions and real-time traffic measurements. The basic metering strategy is: ! ! ! obtain real-time measurements of traffic variables on the freeway and entry ramps, on the basis of these measurements, determine how the freeway section is operating with respect to capacity, and determine the maximum ramp metering rate at which vehicles can be permitted to enter the freeway to maintain uncongested operations.

24.5.1.2

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24-140 A. Demand-Capacity Control

MOBILITY MEASURES

Demand-capacity control involves measuring the real-time upstream volume and comparing it to the downstream capacity. The downstream capacity is either: ! ! a preset value of downstream capacity determined from historical data, or a real-time value computed from downstream volume measurements.

The difference between the upstream volume and the downstream capacity then becomes the allowable entrance ramp volume. The ramp volume is expressed as a metering rate and is used during the next control interval (usually 1 minute). The downstream capacity may be a fixed value estimated for the site. The disadvantage of a fixed value capacity is that variations in weather conditions, traffic composition, and incidents make it difficult to estimate. An alternative to a fixed value capacity is a real-time capacity measured by detectors located at the downstream site. Refer to Table 24-12 for ranges of metering rates applicable to different demand-capacity metering arrangements. For further detail on the demand-capacity strategy, refer to the Traffic Control Systems Handbook (1985 and 1996 editions). Since a low upstream volume could occur in congested as well as uncongested flow, volume alone does not indicate degree of congestion. Therefore, an occupancy measurement also is usually made to determine whether uncongested or congested flow prevails. If the occupancy measurement is above a preset value which is determined from historical data, congested flow will be assumed to exist and a minimum metering rate used. B. Upstream Occupancy Strategy Occupancy control uses real-time occupancy measurements generally taken upstream of the entrance ramp. One of a number of predetermined metering rates is selected for the next control interval (usually 1 minute) on the basis of occupancy measurements taken during the current control interval. For each level of occupancy measured, a metering rate can be computed that corresponds to the difference between the predetermined estimate of capacity and the real-time estimate of volume. If the measured occupancy exceeds or equals the preset capacity occupancy, a minimum metering rate is selected, for the same reasons as described in Section 24.5.1.1. Refer to Table 24-13 for ranges of local actuated metering rates applicable to the upstream occupancy strategy. For further information on the upstream occupancy strategy, refer to the Traffic Control Systems Handbook (1985 and 1996 editions).

24.5.1.3

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MOBILITY MEASURES Table 24-12 Metering Rates for Demand-Capacity Metering Number of Metered Lanes
1

24-141

Type of Metering Single vehicle entry per green interval Single vehicle entry per green interval per lane

Approximate Range of Metering Rates (vehicles/hour)

240 - 900 NA

Comments

400 - 1500

CApplies when required metering rate exceeds 900 vph CRequires 2 lanes for vehicle storage CVehicles may be released from each lane simultaneously or sequentially CPlatoon lengths permit passage of 1 to 3 vehicles per green interval CPrincipally used to increase metered volumes when geometrics do not permit use of more than 1 metered lane CRequires changeable sign indicating permitted number of vehicles in green interval CMUTCD requires yellow interval after green
Source: Traffic Control Systems Handbook (1996)

Single lane multiple vehicle entry per green interval (platoon metering)

200 - 1100

Table 24-13 Local Actuated Metering Rates as a Function of Mainline Occupancy Occupancy (%) # 10 11 - 16 17 - 22 23 - 28 29 - 34 > 34 Metering Rate (Vehicles/Minute) 12 10 8 6 4 3
Source: Traffic Control Systems Handbook (1996)

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24.5.1.2

24-142

MOBILITY MEASURES

Traffic-responsive systems contain the same components as described for pretimed systems, as described in Section 24.5.1.2. In addition, detectors are required on the mainline both upstream and downstream of the ramp. The controller must have the additional capability to monitor the detectors, select metering rates and respond to override conditions. It may also be desirable to include detectors that sense weather conditions and traffic composition to account for their effects on the traffic flow. The principal advantage of traffic-responsive metering is that it automatically adapts to the ever changing traffic conditions, thus minimizing the adverse impacts of variations in demand and capacity. Refer to the NYSMUTCD (275.6) for metering signals and related devices, 261.12 for stop line markings, and NYCRR Title 17, Appendix A-19, Authorization 89-3 for signing requirements. Refer to Figure 24-34 for a layout of a traffic-responsive entrance ramp metering system. For detailed design guidelines on traffic responsive entrance ramp metering systems, refer to the FHWA Traffic Control Systems Handbook (1985 and 1996 editions). According to the Traffic Control Systems Handbook, (1985), override features of a traffic-responsive system adjust metering rates in accordance with certain operational considerations. ! Continued actuation of the queue detector - Indicates that the queue of vehicles waiting at the ramp metering signal is approaching the frontage road or surface street and is likely to interfere with traffic on either or both. Therefore, a higher metering rate should be used to shorten the queue length. Actuation of the merge detector - Indicates that a vehicle is still in the merge area. Therefore, in the case of single-entry metering, subsequent green intervals are preempted until the vehicle merges. No actuation of the checkout (passage) detector after a green interval - Indicates that a vehicle has missed the green signal. Therefore, the ramp metering signal is returned to or left in green. Continued actuation of the queue detector with no actuation of the check-in (demand) detector (in the case of systems in which the ramp metering signal rests in red) - Such a condition would indicate that a vehicle on the ramp has stopped short of the check-in detector. Therefore, the ramp metering signal is turned to green to allow this vehicle to proceed.

24.5.1.3

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24-144 24.5.1.4 Local Ramp Metering Local ramp metering is used: ! ! !

MOBILITY MEASURES

to improve safety, to control one or a few ramps, where downstream freeway sections have experienced recurrent congestion, or where system-wide metering proves difficult because metering is not feasible at certain ramps.

24.5.1.5 System Ramp Control System ramp control refers to the application of ramp control to a series of entrance ramps where a single ramp meter cannot address the excess freeway demand. The primary objective of system ramp control is to prevent or reduce the occurrence of congestion on the freeway. The control of each ramp in the control system is based on the demand-capacity considerations for the whole system rather than on the demand-capacity constraint at each individual ramp. System ramp control may be applied to both pretimed metering and traffic-responsive metering. Refer to the Traffic Control Systems Handbook, (1985 and 1996 editions) for more information on system pretimed and system traffic-responsive ramp metering. A significant feature of system ramp control is the interconnection among local ramp controllers, which permits conditions at one location to affect the metering rate imposed at one or more other locations. Real-time metering plans are computed and updated by a central master computer which issues metering rates to the respective local ramp controllers on the basis of freeway traffic information obtained from vehicle detectors throughout the system. Although the decision-making capabilities are centralized within the central computer system, the processing of control intelligence may be distributed among the individual entrance ramps. For economic reasons, there is a trend toward decentralized decision-making, distributed computation, and hierarchical control. For further details on system ramp control, refer to the Traffic Control Systems Handbook, (1985 and 1996 editions). System control can also be used to coordinate traffic operations of freeways with street, parkway, or other systems to provide an integrated system. The INFORM system in Region 10 is an example of system control operation. For detailed design guidelines on integrated ramp control, refer to the FHWA Traffic Control Systems Handbook (1985).

24.5.1.4

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MOBILITY MEASURES 24.5.1.6 Ramp Design A. Ramp Type

24-145

Single-lane metered entrance ramps should be provided when ramp volumes are less than 900 vph. Multi-lane metered entrance ramps should be used when entrance ramp volumes exceed 900 vph, and/or when an HOV bypass lane is required. Three-lane ramps should be considered only under the most advantageous conditions where the ramp will be on a tangent or a minimum 100 m radius curve approaching the ramp meters. B. Design Criteria Metered entrance ramps should be designed in accordance with the design criteria for ramps in Chapter 2, Section 2.7.5.2 of this Manual. Design features or elements which deviate from those standards must be justified and approved in accordance with Chapters 2 and 5. C. Ramp Length The length of metered ramps is affected by three design elements: ! ! ! the length of the frontage road from the cross street to the entrance ramp; the length of queue storage from the ramp entrance to the stop line; and the distance from the stop line to the freeway entrance gore point (the physical point where the ramp lane and the mainline lane meet).

Access to a ramp from a cross street is often provided by a frontage road or surface street. If the capacity of the ramp is exceeded, additional storage may be available on the frontage road. The minimum required storage length is project dependent, based on traffic projections. The available queue storage length depends on the availability of space. Ideally, the available queue storage capacity of the ramp will exceed the difference between ramp demand and the metering rate. At ramps with volumes between 500 vph and 900 vph, where single lane storage capacity may be exceeded, and there is no storage capacity on the frontage road, a second bypass lane may have to be provided to double the vehicles that can be stored in the available storage length. An alternative is to install a queue detector near the beginning of the entrance ramp. When a queued vehicle stops on the detector, the ramp metering interval is adjusted to unload the ramp. See Sections 24.5.1.2 and 24.5.1.3 for detailed descriptions of the system operation. CALTRANS has developed ramp meter design guidelines that include storage requirements, as represented by the chart in Figure 24-35.

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24.5.1.6

MOBILITY MEASURES 24.5.2 Freeway-to-Freeway Connector Metering

24-147

Interchanges and ramps that connect urban freeways are potential locations for congestion. Even with metering at upstream ramps, high-volume freeway-to-freeway connectors can be bottlenecks. Metering of freeway-to-freeway connectors is a technique that has proven to be a successful and useful complement to ramp metering when high volume connectors are significant contributors to operational bottlenecks. FHWA's Control of Freeway and Freeway-Freeway Connectors for Bottleneck Alleviation describes traffic situations that lead to congestion on freeway connectors as being typified by: ! ! ! ! high volume connectors which, together with the mainline volumes, involve demands on merge areas in excess of capacity immediately downstream of the merge area; queuing on the connectors, which may back up to and interfere with traffic flow on the feeding freeway; queuing on the mainline, which may back up to interfere with upstream exit movements; and in some instances, additional mainline congestion at other interchanges in the freeway segment.

Metering of freeway connectors has been used successfully in several locations to alleviate congestion. Potential benefits of metering freeway connectors include: ! ! ! ! ! displacement of queuing from the mainline to connectors, providing a consistent, controlled traffic situation with better safety characteristics, improved flow through the bottleneck area on the mainline, with attendant increase in traffic volume, avoidance of less efficient metering of on-ramps upstream of the freeway-to-freeway interchange, improved equity amongst drivers along the corridor, and diversion of connector traffic to alternate routes to provide better utilization of the freeway corridor.

Operational bottlenecks associated with freeway-to-freeway interchanges can be relieved by metering high-volume connectors. Connector metering moves the congestion from the receptor freeway or upstream metered on-ramps to the connector. If appropriate advance warning is provided to the connector traffic and queues do not extend into through traffic on the crossing freeway, this can lead to safety improvements. HOV treatments can be applied at the metering location to provide passenger travel time benefits. By maintaining uninterrupted flow conditions on the mainline freeway, full geometric capacities are realized. Diversion of connector traffic may occur and lead to further travel time benefits. Metering is typically accomplished by the use of a pair of traffic signals placed on either side of the connector. The options of one-at-a-time, two-at-a-time and platoon metering are available to yield the required range of metering rates. The queues which are created by connector metering require particular attention. They can grow 5/4/98 24.5.2

24-148

MOBILITY MEASURES

to such length that they impede traffic on the crossing freeway. This could negate any travel time benefits otherwise obtained and may create a serious traffic hazard. This potential problem can be addressed by restriping and/or reconstruction to provide more storage, operational procedures (e.g., closing a nearby ramp) to reduce weaving through the queue, and by queue override techniques which have been used for on-ramp metering. The latter technique involves real-time measurement of the queue length, and a responsive metering implementation which can open up metering as necessary to avoid having undesirable queue growth. Connector metering is generally a part of a larger metering system, including the metering of adjacent on-ramps. Thus, design of the metering plan for a connector should be integrated into a system metering plan. For a detailed presentation of freeway-to-freeway connector metering, refer to FHWA's Control of Freeway and Freeway-Freeway Connectors for Bottleneck Alleviation.

24.5.2

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MOBILITY MEASURES 24.5.3 Queue Bypasses

24-149

Queue bypasses are treatments that can be used in conjunction with general-use freeways or with HOV lanes during peak periods. Queue bypasses usually possess characteristics typical of constrained environments and often exist as concurrent flow lanes without separation from the adjacent general-use lanes. No uniform designs prevail; consequently, design latitude is broad. HOV queue bypasses at metered freeway entrance ramps, as presented in Section 24.5.3.1 below, are the most commonly applied treatment. Special treatments can be provided on arterials to allow HOVs to bypass bottlenecks or gain access to certain locations. In doing so, these HOVs may achieve travel time savings, enhanced travel time reliability, and improved access to specific activity centers, which may help to attract more users. Priority treatments can also be provided at signalized intersections, either as standalone treatments or in combination with other treatments. Some examples of treatments are presented in Section 24.5.3.2. 24.5.3.1 Freeway Entrance Ramp Meter Bypasses Metered entrance ramps to freeways are designed to reduce or prevent congestion on the mainline by metering the vehicles onto the freeway (See Section 24.5.1). A disadvantage to metering is that it temporarily delays non-HOV traffic on the ramp. However, by providing entrance ramp meter bypasses, HOVs are rewarded by being given unimpeded entry to the freeway, or metered entry at a rate favorable to HOVs. This may be done by restriping or re-signing the existing ramp, or adding a new bypass lane by widening the existing ramp, or adding a separate ramp nearby for HOVs only. Generally, it is best for a general-use lane ramp and an HOV lane ramp to be separated from each other by a barrier or by distance. Remote HOV bypass ramps should be located downstream of metered general-use ramps to avoid queues that may form at metered ramps. The width of bypass lanes and shoulders should conform to Chapter 2, Section 2.7.5.2 in this Manual. A 4.3 m wide right shoulder should be provided for enforcement purposes. The hours of operation of the bypass lane should coincide with those of the entrance ramp metering operation, normally during the peak period only. During the off-peak period, both lanes of two-lane ramps should be made available for general-use traffic. Three-lane ramps should be limited to 2 lanes during the off-peak period to reduce potential merge operation conflicts. For further guidance in the design of ramp meter bypass lanes refer to AASHTO's Guide for the Design of High Occupancy Vehicle Facilities, High-Occupancy Vehicle Facilities: A Planning, Operation and Design Manual, and Geometric Design of Metered Entrance and High-Occupancy Vehicle Bypass Ramps.

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24.5.3

24-150

MOBILITY MEASURES

24.5.3.2 Other Queue Bypass Treatments Queue bypasses are also applicable to other freeway congestion problem areas such as bottlenecks created by lane reductions, freeway convergences, significant truck volumes, or toll plazas. The bypasses at these locations are generally standalone facilities that can be located on either line-haul HOV facilities or general-use facilities. Bypass roadways must be longer than the normal maximum upstream queues to be effective. Bypass lanes should generally begin 100 m to 150 m upstream of queues. The selected length should be determined by field measurement with provisions for future traffic growth. Bypass lanes should be physically separated from the adjacent general-use traffic. Bypass lanes at toll plazas should generally be the center lane(s). Bypass lanes should meet the standards for the functional class of the general-use lanes adjacent to them. Separate bypass roadways should meet the standards in Chapter 2, Section 2.7.5.2 of this Manual. When long queues develop at intersections on line-haul arterials with no HOV lanes, HOVs can be given priority by allowing them to advance through an intersection from a right-turn-only lane, or by providing a queue bypass lane for their use only. This should include providing an advance green and a merge lane downstream of the intersection to allow the HOVs to re-enter the traffic flow. Queue bypasses are also applicable at other bottlenecks such as approaches to toll plazas, bridges and tunnels.

24.5.3.2

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MOBILITY MEASURES 24.5.4 Freeway Shoulders as Peak Hour Travel Lanes

24-151

Shoulders are frequently used as a means of traffic congestion relief in many states. Some typical applications include auxiliary lanes, merge areas, recurring congestion (bottleneck areas), deceleration lanes, preferred treatment of HOVs, and maintenance of traffic in construction work zones. In many cases, the existing lanes are narrowed so the shoulder can be widened to carry traffic. A recent study of 52 project sites in 11 freeway corridors across the U.S. focused on the operational and safety performance of various shoulder-use applications. The research found that simply using the shoulder as a travel lane or reducing lane widths over an extended distance can have a negative effect on corridor safety performance. However, when these methods are used selectively to deal with lane balance, lane continuity, and bottlenecks, there is no significant change in accident rates. A reduction of lane width from 3.6 m to 3.3 m was also found to have no significant impact. For more information refer to NCHRP Report 369 Use of Shoulders and Narrow Lanes to Increase Freeway Capacity. The use of shoulders, or the narrowing of lanes and shoulders, as described below, may result in nonstandard features. When nonstandard lane widths or shoulder widths are created, their use must be justified in accordance with the requirements of Chapter 2, Section 2.8 in this Manual. The use of auxiliary lanes is a very common application of shoulder use and narrowed lanes. See Figure 24-36a. They can be used on urban freeways between closely spaced interchanges, for example, by changing the lane line between a 3.0 m shoulder and a 3.6 m right lane, to provide two 3.3 m lanes. This is often an inexpensive method, but traffic operations may be affected by the narrower lanes. The general rule is that converting shoulders to auxiliary travel lanes must have potential for reducing greater numbers of congestion related problems and accidents than will be produced by the resulting lack of full shoulders for normal use. Merges of two facilities, where heavy traffic causes queuing on one or both of them, is another application for shoulder use and narrowed lanes. See Figure 24-36b. The added lane extends the merge area and can be dropped at a point downstream when it is no longer needed. Locations of recurring congestion may be altered by using shoulders and narrow lanes. See Figure 24-36c. The shoulder lane is employed as a mainline lane and is carried through several interchanges. The extension of deceleration lanes upstream of exit ramps, by the use of shoulders, may be resorted to at major facility connections, or at major ramps, to prevent ramp queues from backing up onto the mainline, or to allow ramp traffic to bypass a mainline queue. Refer to Figure 24-36d. Providing HOV lanes is another common reason to narrow existing lanes and utilize shoulders as travel lanes. See Figure 24-36e. In most cases, the left mainline lane is designated as the HOV lane and the right shoulder becomes a replacement lane. Depending on the available shoulder width, it may , or may not be necessary to narrow the general-use lanes.

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24.5.4

MOBILITY MEASURES

24-153

The use of these concepts to achieve additional width for travel lanes is not a normal alternative to traditional linear widening. Their use should, generally, be considered only as an interim measure, in instances where long-term solutions have been identified and will be programmed. These concepts should not be considered where there are nonstandard horizontal or vertical sight distances, or at non-standard horizontal curves and grades. Additionally, these concepts should not be considered at priority investigation locations (PILs), unless it can be shown that they are interim measures. The following recommendations, adapted from NCHRP Report 369, Use of Shoulders and Narrow Lanes to Increase Freeway Capacity, should be considered when contemplating the use of shoulders as travel lanes: ! ! Providing additional lanes through the use of shoulders and narrow lanes should not be considered as an option to traditional widening projects for adding capacity to a freeway. Use of shoulder(s) and narrow lanes should be considered as one alternative to achieve smoother flow in those areas of limited length and turbulent flow conditions. Such use should be limited to lengths of 1.5 km or less, to maintain as much of the standard lane widths and emergency parking areas as possible, while achieving the desired improvements. Where heavy truck traffic is a significant proportion (5% or more) of peak period traffic, and the structure of the shoulder is not adequate to support heavy trucks, they should be restricted from using shoulder lanes. Consideration be given to restricting the use of the converted lanes to peak period or daylight hours only.

Generally, the left shoulder should be considered first, for use as a travel lane, because the right shoulder is the preferred refuge area. The right shoulder is also better for providing emergency response access. The advantages and disadvantages of each shoulder use alternative are summarized in Table 24-14. For more information on the use of shoulders, refer to NCHRP Report 369 Use of Shoulders and Narrow Lanes to Increase Freeway Capacity for guidance in the application of AASHTO's standards and policies and those in the Federal MUTCD. Additional guidance is contained in FHWA's Freeway Modifications to Increase Traffic Flow. Guidelines for geometrics, operations, signing, and incident response are presented in Sections 24.5.4.1 through 24.5.4.4.

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24.5.4

24-154

MOBILITY MEASURES

Table 24-14 Primary Advantages/Disadvantages of Shoulder Use Alternatives on Freeways Alternative Use of Left Shoulder Advantages Left shoulder not used as much for emergency stop or emergency enforcement. May be able to open for use with little or no modification if width is available. No interference by trucks on highways where trucks are restricted from the left lane. Use of Right Shoulder May only require re-striping the right Right shoulder is preferred area for lane line adjacent to shoulder. emergency stops and enforcement activities, and maintenance staging areas. Merge angle and length of acceleration lane changes at entrance ramps. Sight distance changes at merge and diverge areas of ramps. Use of Both Shoulders NOT PERMITTED. Requires restriping. Safety concerns (no refuge). Enforcement is difficult. Exacerbates incident management problems. Maintenance too difficult and expensive.
Sources: Adapted from NCHRP 369 and Freeway Modifications to Increase Traffic Flow

Disadvantages Usually requires restriping.

Sight distance problem with some median treatments.

24.5.4

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MOBILITY MEASURES 24.5.4.1 Geometric Guidelines

24-155

Lane widths should conform to the standards in Chapter 2 for the functional classification of highway under consideration. If a narrower lane is used, a nonstandard feature justification must be prepared in accordance with Chapter 2, Section 2.8. An alignment transition from a standard lane to a shoulder may affect the operation of the freeway by causing traffic to slow down. It is desirable that any traffic slowdown at the beginning of a transition not affect freeway entrance ramps upstream. It is recommended that a minimum of 600 m be maintained between a transition and the next upstream ramp. Use of shoulders at entrance and exit ramps may reduce sight distance, and acceleration and deceleration lane lengths. Those locations should be examined. Where minimum standards are not maintained, improvements should be made, such as widening the section. Horizontal sight distance should also be investigated at retaining walls, high barriers and glare screens. Emergency stopping areas should be provided. This may require relocating guide rail and/or improving the edge treatments. Vertical alignment and sight distance should also be reviewed, especially on freeways with overpasses and underpasses at interchanges. 24.5.4.2 Operations Guidelines Conventional shoulders do not generally have the structural capability to support heavy truck traffic, in which case, trucks should not be allowed to use the right shoulder as a travel lane. Reinforcing or reconstructing the entire shoulder to support trucks may be too expensive. However, the right shoulder should be reinforced at entrances and exits to allow trucks to use the right shoulder lane to enter and leave the freeway. A minimum distance of 0.5 km should be provided beyond the end of the taper from entrance ramps and prior to the beginning of the taper for exit ramps. Shoulders constructed in accordance with equivalent single axle load (ESAL)-based design are fulldepth shoulders, i.e., shoulders having the same pavement section as the mainline pavement. Fulldepth shoulders can support truck traffic and can be used by trucks as long as the shoulder width is adequate. Turnouts and crossovers should be provided for emergency use. The turnouts should be large enough to accommodate a WB-20 tractor trailer and at least one piece of emergency equipment. The desirable turnout width is 4.9 m. Entrance and exit tapers should be 20:1. Generally, turnouts should be located at 0.5 km intervals. Shoulder use lanes that are not restricted to daylight hour use should be improved with the lighting and delineation of shoulder areas where necessary. Lighting should be provided in accordance with the NYS Policy on Highway Lighting and Chapter 12 of this Manual. Maintenance forces should inspect the shoulders each day for loose debris and disabled vehicles, prior to opening them to traffic. 5/4/98 24.5.4.1

24-156 24.5.4.3 Signing Guidelines

MOBILITY MEASURES

Signing for areas where driving on the shoulder is allowed shall conform to the NYCRR, Appendix A-19, Authorizations 92-1, 92-2, and 92-3. Advance warning should be provided at least 0.8 km upstream of where the shoulder use begins. Continued notice should be repeated at 1.5 km intervals. Sections of highway beyond the limits of permitted shoulder use should be signed in accordance with the NYSMUTCD, Appendix A-19, Authorization 92-4. The signing should be located near the shoulder use lane termini. Signs advising drivers of turnouts should be provided at the beginning of the shoulder use area. Advance signing for individual turnouts should be provided 300 m upstream of each turnout. Signing for emergency stopping only should be provided at turnouts in accordance with NYSMUTCD, 221.8. 24.5.4.4 Incident Response Guidelines Corridors subject to significant incident-related congestion may not be improved with the use of shoulders as travel lanes. Elimination of the shoulder as access for emergency vehicles makes reaching the incident more difficult, resulting in delayed response time; longer periods of congestion; greater risk for secondary incidents; and increased difficulties in clearing incidents. The corridor should be carefully evaluated before proceeding to ensure that shoulder use applications are appropriate to the solution of the problem. There are actions that can be taken to mitigate the effects of no shoulder and narrow lanes, as discussed below. Consideration should be given to implementing surveillance and service patrols to help eliminate the disadvantages of unfavorable geometrics to shoulder usage by emergency vehicles. In areas where there is a shoulder, emergency equipment usually approaches the incident along the shoulder. When there is no shoulder available, the approach must be made through the queue. A standard procedure should be developed and communicated to the public so they may respond safely in such situations. Pre-established emergency response routes should be developed. Consideration should be given to selecting locations where all traffic can be stopped to allow emergency vehicles access to the incident site from downstream. These locations should be identified in advance so that decisions can be made rapidly.

24.5.4.3

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MOBILITY MEASURES

24-157

Median crossovers should be provided more frequently in shoulder use areas than are normally provided in areas that do not permit use of shoulders as driving lanes. Consideration should be given to installing reference markers with dual panel faces so they are visible from both directions to assist emergency vehicle drivers who may be required to approach the incident from downstream. Numbered call boxes should be provided at emergency turnouts. The use of closed circuit television (CCTV) for freeway surveillance can decrease the incident detection time and provide a precise location of the incident. For information on incident management on freeways, refer to Section 24.5.6. 24.5.4.5 Conflicts With Bicyclists and Pedestrians Bicyclists and pedestrians are prohibited, by law (NYS Vehicle and Traffic Law, 1229a), from traveling on expressways or interstate routes in New York State. Generally, that does not present a problem because virtually every expressway and interstate highway in the state has a roadway nearby that can be used by bicyclists and pedestrians. Therefore, converting shoulders to travel lanes on expressways and interstates should not result in conflicts between motor vehicles, bicyclists, and pedestrians. Where bicyclists and pedestrians are allowed, by exception, to use controlled access highways, provisions should be made for safe access to, and use by them.

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24.5.4.4

24-158 24.5.5 Access Management

MOBILITY MEASURES

Access management is the process that manages access to land development while simultaneously preserving the flow of traffic on the surrounding public road system in terms of safety, capacity, and speed. Management of access to roadways may be the single most effective means of preserving safety and arterial capacity thereby reducing congestion and prolonging the functional life of existing capital investments. The primary goals of access management and the techniques used to achieve those goals are: 11. Limit the number of conflict points by decreasing the number of left turns, using rightturn-in and right-turn-out turns, restricting movements at median openings, and closing median openings. These techniques directly reduce the frequency of either basic conflicts, or encroachment conflicts, or reduce the area of conflict at some or all driveways on the highway by limiting or preventing certain kinds of maneuvers. Separate conflict points by implementing spacing standards, corner clearance requirements, signal spacing requirements, and separation of access points requirements. These techniques either reduce the number of driveways or directly increase the spacing between driveways or between driveways and intersections. They indirectly reduce the frequency of conflicts by separating turning vehicles at adjacent access points and by increasing the decision-process time for the through driver between successive conflicts with driveway vehicles at successive driveways. Separate turning traffic from through traffic through the use of left and right turn lanes, two-way left turn lanes, and acceleration/deceleration lanes. These techniques directly reduce both the frequency and severity of conflicts by providing separate paths and storage areas for turning vehicles and queues. Reduce maximum deceleration requirements by regulating highway speed limits, installing traffic signals to slow speeds, improving sight distances, and increasing the effective approach width of driveways. These techniques reduce the severity of conflicts by reducing highway speeds, increasing driveway speeds, and/or increasing driver perception time.

12.

13.

14.

For a comprehensive discussion of techniques to control conflicts at commercial driveways, refer to Technical Guidelines for the Control of Direct Access to Arterial Highways, Volumes I and II. Identification and implementation of such techniques should be discussed and worked out with the local governmental agency having jurisdiction for the project area, as the techniques are best implemented as part of the local site plan approval. For additional information, refer to the Department's Access Management Policy found in the Policy & Standards for Entrances to State Highways, and Best Practices in Arterial Management.

24.5.5

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MOBILITY MEASURES 24.5.6 Incident Management

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Incident management is the spectrum of activities involved in detecting, responding to and clearing roadway incidents. It is the coordinated pre-planned use of human and technological resources to restore full capacity after an incident occurs, and to provide motorists with information and direction until the incident is cleared. Studies have shown that delay to motorists increases geometrically with the time it takes to clear an incident. The California Department of Transportation estimates that for each minute the time to clear blocked lanes is reduced, a motorist's delay is reduced by four or five minutes. Incident management techniques involve many different agencies. The appropriate blend of solutions to incident management will require a high degree of coordination among the participating agencies. An incident management program involves identifying the agencies and officials who will have a stake in the program, meeting as a group to establish needs and responsibilities, and ultimately identifying the incident management techniques most suitable for use. Effective incident management generally requires that six major tasks be accomplished, defined in the Freeway Incident Management Handbook as: ! ! Detection - Determination that an incident of some nature has, indeed, occurred. This information needs to reach the location where response can be initiated. Verification - Determination of the precise location and nature of the incident as well as the display, recording, and communication of this information to the appropriate agencies. Response - The activation, coordination, and management of the appropriate personnel, equipment, and communication links and motorist information media as soon as there is reasonable certainty that in incident is present. Traffic Management - Application of traffic control measures in the area of the incident site including: < < < < < ! ! 5/4/98 lane closures and openings, establishing and operating alternate routes, diversions, parking of emergency vehicles, and ensuring safety of incident victims, motorists, and emergency personnel.

Information to Motorists - Activation of various means of communicating incident site traffic conditions to motorists. Removal/Restoration of Capacity - Removal of the wreckage, debris, spilled materials, etc., from the roadway and restoring the roadway capacity to its pre-incident condition. 24.5.6

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For a comprehensive discussion of the steps involved in planning, developing, and operating an incident management program, refer to FHWA's Freeway Incident Management Handbook. 24.5.7 Traffic Calming Traffic calming is the combination of mainly physical measures that reduce the negative effects of motor vehicle use, alter driver behavior, and improve conditions for non-motorized street users. The Department policy and guidance on traffic calming that creates a hierarchy of application for traffic calming techniques which strives to consider and balance the many conflicting needs between highway users and adjacent land owners, with safety being of paramount concern. Often both the State and local highway systems will be affected and coordination is needed during scoping and early design phases. It is essential that an evaluation be made in the scoping stage to determine if traffic calming measures are warranted and implementable, or if traditional approaches or strategies are more appropriate. Policy and guidance on traffic calming will be issued as a new chapter in this Manual in the future.

24.5.6

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MOBILITY MEASURES 24.5.8 Special Traffic Controls

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Implementing HOV lanes on congested CBD arterial streets, in itself, may not solve the problem of improving mobility on urban arterials. It may be necessary to enhance the movement of HOV traffic so it can use the existing facility more efficiently, maintain its advantage over general-use traffic, or improve access for emergency vehicles. Special controls can be provided to accomplish these. Examples of special controls include signal priority systems, signal preemption systems, signal queue jumps, directional controls and lane use control signals, and prohibition of curbside parking or vehicle loading. For further guidance on special traffic controls, refer to the FHWA publication Traffic Control Systems Handbook (1985 and 1996 editions), AASHTO's Guide for the Design of High-Occupancy Vehicle Facilities, Alternatives for Providing Priority to High-Occupancy Vehicles in the Suburban Arterial Environment, and NCHRP Report 155 Bus Use of Highways Planning and Design Guidelines. 24.5.8.1 Signal Priority Systems Signal priority systems provide priority to buses or emergency vehicles at signalized intersections by altering the operation of the traffic signal in their favor. With respect to buses, the purpose is to minimize total person delay, as compared to normal traffic signal systems, which attempt to minimize total vehicle delay. Signal priority systems identify priority vehicles, and modify the signal timing to the benefit of those vehicles. Bus detection involves the use of a radio frequency transmitter, a receiving loop buried in the pavement, and a control cabinet located at curbside. When the bus is over the detector, a busmounted transponder sends out a radio signal to the detector in the pavement, and the position and direction of approach of the bus are established. The signal is transmitted to the traffic signal control cabinet which modifies the traffic signal timing to give the bus priority through the intersection. After a predetermined time, the signal returns to normal operation. Other technologies include microwave transmission, optical or infrared identification, and surface acoustical wave technology. For information on other signal priority techniques, refer to the Traffic Control Systems Handbook, 1996. 24.5.8.2 Signal Preemption Systems Signal preemption systems are used to preempt the normal cycling of traffic signals for emergency vehicles, to control intersections near railroad tracks, or to permit transit buses to pass through intersections in advance of other vehicles. Emergency vehicles may use two preemption techniques. A local signal preemption system includes a transmitter located on emergency vehicles which emits an optical or radio signal detected by a receiver at the intersection. When the vehicle is detected approaching the intersection, a special signal control procedure assigns right of way to the vehicle. After a predetermined time, the signal returns to normal operation. 5/4/98 24.5.8

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Route preemption is a system that provides a preplanned route for firefighting equipment. Green signal indications are displayed at signals along the appropriate route, often selected at a control panel in the central fire station. The signals are switched back to normal operation after the reported passage of the emergency vehicle(s), often at a pre-specified time. Intersections that are located near railroad crossings and are affected by passing trains can be controlled by signals that stop traffic when they sense approaching trains. The signals can be programmed to display the appropriate colors for the direction in question, i.e., red on the street crossing the railroad tracks, and green on the street parallel to, and not crossing, the tracks. This should only be permitted if there are enough lanes to provide through traffic and turning traffic with their own lanes. 24.5.8.3 Signs and Lane Use Control Signals Signs and/or lane use control signals are normally used to control reversible-flow and contraflow HOV lanes on arterials and freeways, tunnel and bridge traffic operations, peak hour shoulder use on streets and highways, toll booth lane use, and special event traffic. Lane use control signals: ! ! ! ! ! permit or prohibit use of specific lanes of a street or highway; indicate impending prohibition of lane use; are commonly used for reversible-lane control to increase road capacity during periods of directional peak traffic flow; are used on freeways to keep traffic out of certain lanes at certain hours; and are used on freeways to indicate that a lane ends.

Signs are used to provide directional control. Static signs communicate a single message. The message is applicable at all times to a recurrent situation and the sign should be located in accordance with the NYSMUTCD. Active signs communicate a message that is applicable only at certain times. Signs may have lights that flash when the message is in effect, or they may be VMS that operate only when it is necessary to convey the message. 24.5.8.4 Bicycle Sensitive Traffic Signal Loops Normal large area signal loops (long loops designed to register the presence of a vehicle in the zone of detection as long as the detector is occupied) will not detect bicycles, and can leave cyclists who want to cross a busy road or street waiting for a motor vehicle to trip the signal for them. Large area detectors located on bicycle routes should be able to detect all vehicles, including bicycles, and hold the call until the display of the phase. Provision for bicycle detection should be considered on all urban arterials. Bicycle detection can be accomplished by winding the loop wire of a Quadrupoleloop configuration twice to give a double-layer design.

24.5.8.2

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MOBILITY MEASURES 24.5.9 Traveler Information Systems

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Safe and efficient operation of a highway system is dependent upon drivers being informed of the conditions they will encounter so they may act accordingly. The information is passed on to the traveler via traveler information systems (TIS), which include various visual and audio techniques. Among them are signs, signals, lane markings, public-address systems, telephones, and radio broadcasts. Static signs and lane markings are discussed in detail in Sections 24.2.10 and 24.4.3. This section discusses variable (or changeable) message signs (VMS or CMS), and highway advisory radio (HAR). 24.5.9.1 Variable Message Signs The INFORM system on Long Island is an example of a visual TIS. VMS are used to display different messages to motorists as traffic conditions warrant. Computers measure and analyze impulses from sensors in the major highways within Long Islands central corridor and determine the volume and speed of traffic on different sectors of the highways. With that information, the Traffic Operations Coordinators can transmit appropriate real-time motorist advisories to any of the VMS located at key points on the corridor highways and connecting routes. VMS can be used to inform drivers of both general and specific real-time problems resulting from varying traffic, roadway, and environmental conditions, such as incidents, work zones, weather, and special events. Unlike the standards established for static signing in the NYSMUTCD, there are no standards for VMS, mainly due to rapidly changing technological advancements. In fact, there is no widely accepted standard, state-wide or nation-wide, that addresses most aspects of VMS at the present time. Refer to the Traffic Control Systems Handbook, 1996, Chapter 10, for a comprehensive list of applications of VMS, and a detailed discussion of VMS technologies, display types, and installation, operation, and maintenance issues. 24.5.9.2 Highway Advisory Radio HAR is an example of an audio TIS. HAR provides information to travelers via the AM band in their vehicle radios. HAR can be either stationary or portable. Portable systems are mounted on trucks and moved from site to site to broadcast as needed. The area of coverage allowed for an HAR broadcast is project specific, and is typically very small. Therefore, HAR messages are intentionally short so the message can be repeated at least once during a drivers trip through the area.

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MOBILITY MEASURES

The two methods of HAR broadcasting are vertical antenna systems and induction cable antenna systems. Vertical antenna systems are installed within the broadcast area to form an electronically interconnected array to transmit the broadcast. Induction cable antenna systems use buried roadside cable, normally located along the center of the broadcast area, and broadcasts cover an area 30 m to 45 m in width. For more discussion on these and other types of audio TIS, refer to the Traffic Control Systems Handbook (1985 and 1996), and the Freeway Management Handbook.

24.5.9.2

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MOBILITY MEASURES 24.6 INTELLIGENT TRANSPORTATION SYSTEMS (ITS) [This section will be prepared in the future and released at a later date.]

24-165

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MOBILITY MEASURES

The following is a list of the publications that were used in the preparation of this chapter. Those with an asterisk (*) are available from the Main Office Plan Sales Section. A Policy on Geometric Design of Highways and Streets, 1994, American Association of State Highway and Transportation Officials, 444 North Capitol Street, NW, Suite 249, Washington, DC, 20001. A Review of the Development Process for Non-Traditional Projects, 1995, Management Systems Bureau. New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Alternatives for Providing Priority to High-Occupancy Vehicles in the Suburban Arterial Environment, 1993, Jacobson, K.L., L. Ingalls, E.H. Melone. In Transportation Research Record 1394. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Americans with Disabilities Act Accessibility Guidelines (ADAAG) for Buildings and Facilities, 1993, Landscape Architecture Bureau. New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Best Practices in Arterial Management, 1996. Corridor Management Group, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Bus Stop Location and Design, 1982, Demetsky, M.J. & Bin-Man Lin, B. Transportation Engineering Journal, Volume 108, No.TE4. American Society of Civil Engineers, 345 East 47th Street, New York, NY, 10017. Bus Use of Highways: Planning & Design Guidelines, 1975, National Cooperative Highway Research Program Report 155, Levinson, H.S., C.L. Adams, W.F. Hoey. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Conference Proceedings, First National Access Management Conference, Federal Highway Administration, 400 Seventh Street, SW. Washington, DC, 20590. Control of Mainline Freeway and Freeway-Freeway Connectors for Bottleneck Alleviation, 1982, FHWA/RD-82/030. Federal Highway Administration, Offices of Research & Development, Traffic Systems Division, Washington, D.C., 20590. Converting a General Purpose Lane to an HOV Lane, November 29, 1994, memorandum from Design Quality Assurance Bureau to Corridor Planning and Project Scoping Section, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232.

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MOBILITY MEASURES 24.7 REFERENCES (continued)

24-167

Cross Sections of HOV Lanes on Freeways and Arterials, 1994, Lomax, T.J., C.A. Fuhs. In Transportation Research Record 1445. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. The Dallas Contraflow Lane and Movable Barrier, 1993, Poe,C. Transportation Research Circular 409. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Design Features of High-Occupancy Vehicle Lanes, 1991, Hanks, J.W., Jr., R.H. Henk, T.J. Lomax. In Transportation Research Circular 384. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Design Features of High-Occupancy Vehicle Lanes, 1992, Lomax, T.J., Chairperson. ITE Technical Council Committee 5C-11, Pub.No. IR-055. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024-2797. The East R.L. Thornton Freeway (IH30) Movable Barrier Contraflow HOV Lane in Dallas, Texas: Evaluation of the First Two Years of Operation, 1994, Olyai, D., D. Skowronek, ITE 1994 Compendium of Papers. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024. Effect on Congestion and Motorcycle Safety of Allowing Motorcycle Travel on High-Occupancy Vehicle Facilities in Virginia, 1996, Jernigan, J.D., C.W. Lynn. In Transportation Research Record 1554. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Effective Use of Park-and-Ride Facilities, 1995, National Cooperative Highway Research Program Synthesis 213, Turnbull, K.F. Transportation Research Board, National Research Council, 2101 Constitution Avenue, Washington, DC, 20418. The Effects of Environmental Design on the Amount and Type of Bicycling and Walking, 1993, National Bicycling and Walking Study, Case Study No. 20. Federal Highway Administration, 400 Seventh Street, SW, Washington, DC 20590. Enforcement of Priority Treatment for Buses on Urban Streets, 1982, National Cooperative Transit Research & Development Program, Synthesis of Transit Practice 2, Roark, J.J., PAWA, Inc. Transportation Research Board, National Research Council, 2101 Constitution Avenue, Washington, DC, 20418. Enforcement Requirements for High-Occupancy Vehicle Facilities, 1978, FHWA-RD-79-15, Miller, N.C., R.B. Deuser. Federal Highway Administration, 400 Seventh Street, SW. Washington, DC, 20590.

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24-168 24.7 REFERENCES (continued)

MOBILITY MEASURES

Evaluation of Motorist Information Requirements for Transitways, 1989, Hawkins, G., J. Mounce, S. Albert. Texas Transportation Institute, Texas A&M University System, College Station, TX, 77843-3135. Evaluation of Priority Techniques for High Occupancy Vehicles on Arterial Streets, 1977, Urbanik, II, T., R.W. Holder. Reserarch Report No. TTI:205-5, Texas Transportation Institute, Texas A&M University System, College Station, TX, 77843-3135. Freeway Incident Management Handbook, 1991, FHWA-SA-91-056, Reiss, R.A., W.M. Dunn, Jr. Federal Highway Administration, Office of Traffic Operations & IVHS, 400 Seventh Street, SW, Washington, DC, 20590. Freeway Modifications to Increase Traffic Flow, 1980, FHWA-TS-80-203, McCasland, W.R., R.G. Biggs. USDOT Technology Sharing Program Report, Federal Highway Administration, Office of Technology Applications, 400 Seventh Street, SW, Washington, DC, 20590. Geometric Design of Metered Entrance and HOV Bypass Ramps, 1993, Lomax, T.J., C.A. Fuhs. In Transportation Research Record 1385. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Guide for the Design of High Occupancy Vehicle Facilities, 1992. American Association of State Highway and Transportation Officials, 444 North Capitol Street, NW, Suite 249, Washington, DC, 20001. Guide for the Design of Park-and-Ride Facilities, 1992. American Association of State Highway and Transportation Officials, 444 North Capitol Street, NW, Suite 249, Washington, DC, 20001. Guide for the Development of Bicycle Facilities, 1991. American Association of State Highway and Transportation Officials, 444 North Capitol Street, NW, Suite 249, Washington, DC, 20001. Guidelines and Standards for the Planning, Design, and Operation of Bus Park-and-Ride Facilities, 1983, Mather, J.J. In Transportation Research Record 908. Transportation Research Board, National Research Council, 2101 Constitution Avenue, Washington, DC, 20418. Guidelines for the Location and Design of Bus Stops, 1996, Transit Cooperative Research Program Report 19, Texas Transportation Institute. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. High-Occupancy Vehicle Enforcement Guide - Training Course, 1981. Administration, 400 Seventh Street, SW, Washington, DC, 20590. Federal Highway

High-Occupancy Vehicle Facilities: A Planning, Design and Operation Manual, 1990, Fuhs, C.A., and Parsons Brinckerhoff, Inc. Parsons Brinckerhoff, Inc., One Penn Plaza, New York, NY, 10119.

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MOBILITY MEASURES 24.7 REFERENCES (continued)

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High-Occupancy Vehicle Facilities: Current Planning, Operation, and Design Practices, Nomograph 5, 1990, Fuhs, C.A., and Parsons Brinckerhoff, Inc. Parsons Brinckerhoff, Inc., One Penn Plaza, New York, NY, 10119. High Occupancy Vehicle Facility Development, Operation and Enforcement - Training Course, 1981. Federal Highway Administration, 400 Seventh Street, SW, Washington, DC, 20590. High Occupancy Vehicle Guidelines for Planning, Design, and Operations, 1991, State of California, Department of Transportation, Division of Traffic Operations, 1120 N Street, PO Box 942673, Sacramento, CA 94273-0001. High-Occupancy Vehicle Treatments on Arterial Streets, 1993, Turner, S.M. In ITE Journal, Volume 63, Number 11. Institute of Transportation Engineers, 525 School St., SW, Suite 410, Washington, DC, 20024-2729. Highway Capacity Manual, Special Report 209, 1994. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. HOV Lanes on Arterial Streets, 1987, Levinson, H.S. In Proceedings of the Second National Conference on HOV Lanes & Transitways, Houston,TX. Texas Transportation Institute, Texas A&M University System, College Station, TX 77843. HOV Systems Manual (draft), 1997, Texas Transportation Institute, Parsons Brinckerhoff, Pacific Rim Resources. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. I-90 Lane Conversion Evaluation, 1995, Kim, S.G., J. Koehne, F. Mannering. Washington State Transportation Center, University of Washington, University District Building, 1107 NE 45th Street, Suite 535, Seattle, WA, 98105-4631. Investigation of the Impacts of Ramp Metering on Traffic Flow With and Without Diversion, 1992, Nsour, S.A., S.L. Cohen, J.E. Clark, A.J. Santiago. In Transportation Research Record 1365. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Manual of Uniform Traffic Control Devices, 1983. Transportation Planning, Highway Safety and Traffic Engineering Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Mobility in New York State, Issues and Opportunities, 1993. Policy Development Group, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232.

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24-170 24.7 REFERENCES (continued)

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Operational Considerations in HOV Facility Implementations: Making Sense of It All, 1989, Cechini, F. In Transportation Research Record 1232. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Operational Design Guidelines for High-Occupancy Vehicle Lanes on Arterial Roadways, 1994, TDFO-94-04, USDOT Technology Sharing Reprint Series. Demand Management and Forecasting Office, Ministry of Transportation of Ontario, Canada. Operational Experience with Concurrent Flow Reserved Lanes, 1977, Fuhs, C., A.V. Fitzgerald, R.W. Holder. Texas Transportation Institute, Texas A&M University System, College Station, TX, 77843-3135. Operations and Design Guidelines for Facilities for High-Occupancy Vehicles, 1980, Bowman, D., C. Miller, B. Deuser. In Transportation Research Record 757. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Pace Development Guidelines, Revise June 1995. Pace, Suburban Bus Division of the Regional Transportation Authority, 550 West Algonquin Road, Arlington Heights, IL, 60005-4412. Parking Layout Dimension Guidelines, 1984, Box, P.C., N.S. Kenig. In ITE Journal, Vol.54, No.4. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024. Pedestrian and Bicycle Facility Scoping Guide, Appendix I of Scoping Procedures Manual, 1995, Corridor Planning and Project Scoping Section, Corridor Management Group. New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. *Policy and Standards for Entrances to State Highways, 1998. Plan Sales Section, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Policy on Highway Lighting, 1979, Traffic Engineering and Safety Division. New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Predicting the Demand for High-Occupancy Vehicle Lanes,1996, FHWA-96-073, Dowling, R.G., J. Billheimer, V. Alexiadis, A.D. May. Federal Highway Administration, Office of Traffic Management/IVHS, Traffic Operations Division, Washington, DC, 20590. Preferential Lane Treatments for High-Occupancy Vehicles, 1993, National Cooperative Highway Research Program Synthesis 185, Fuhs, C.A. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Proposed Warrants for HOV Treatments in New York State, 1986, Boyle, D.K. In Transportation Research Record 1081. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418.

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MOBILITY MEASURES 24.7 REFERENCES (continued)

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Revised Manual for Planning, Designing and Operating Transitway Facilities in Texas, 1988, Mounce, J.M., R.W. Stokes, H.G. Hawkins, H.S. Payne. Texas Transportation Institute, Texas A&M University System, College Station, TX, 77843-3135. Scoping Procedures Manual, 1993, Office of Planning & Program Management. Planning Bureau, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Selecting Roadway Design Treatments to Accommodate Bicycles, 1994, Wilkinson, W.C., A. Clarke, B. Epperson, R. Knoblauch. Office of Safety and Traffic Operations R&D, Federal Highway Administration, 400 Seventh Street, SW, Washington, DC 20590. Shoulder Geometrics and Use Guidelines, 1982, National Cooperative Highway Research Program Report 254, Downs, H.G., D.W. Wallace. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Statistical Assessment of Public Opinion Toward Conversion of General-Purpose Lanes to HighOccupancy Vehicle Lanes, 1995, Mannering, F., J. Koehne, S.G. Kim. In Transporation Research Record 1485. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Summary of Guidelines for Bus-Related Street Improvements, 1991, Fitzpatrick, K., T. Urbanik. In ITE Journal, Vol.61, No.11. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024-2729. Technical Guidelines for the Control of Direct Access to Arterial Highways, Volume 1, General Framework for Implementing Access Control Techniques, FHWA-RD-76-86, 1975, Glennon, J.C., J.J. Valenta, B.A. Thorson, J.A. Azzeh. Federal Highway Administration, Office of Research and Development, 400 Seventh Street, SW, Washington, DC, 20590. Traffic Control Systems Handbook, FHWA-SA-95-O32, 1996, Gordon, R.L., R.A. Reiss, H. Haenel, E.R. French, A. Mohaddes, R. Wolcott. Federal Highway Administration, Office of Technology Applications, 400 Seventh Street, SW, Washington, DC, 20590. Traffic Control Systems Handbook, Revised Edition, 1985, FHWA-IP-85-11, Wilshire, R., R. Black, R. Grachoske, J. Higanbotham, of PAWA-Winkelmann & Assoc., Inc. Federal Highway Administration, Office of Implementation, 400 Seventh Street, SW, Washington, DC, 20590. Traffic Engineering Handbook, Fourth Edition, 1992, Pline, J.L., Editor. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024. Transit Facility Design Guidelines, 1987. Regional Transportation District, Department of Planning, Division of Systems Planning, 1600 Blake Street, Denver, CO 80202-1399.

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Transit Operations for Individuals with Disabilities, Transit Cooperative Research Program Report 9, 1995, EG&G, Dynatrend & Crain & Associates. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Use of Shoulders and Narrow Lanes to Increase Freeway Capacity, 1995, National Cooperative Highway Research Program Report 369, Curren, J.E. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418.

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MOBILITY MEASURES 24.8 OTHER SOURCES

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The publications listed below are additional sources of information related to the topics presented in this chapter: A Toolbox Approach to Residential Traffic Management, 1996, Savage, J.P., Jr., R.D. MacDonald. In ITE Journal Vol.66, No.6. Institute of Transportation Engineers, 525 School Street, SW, Route 410, Washington, DC, 20024. Bus Stop Accessibility: A Guide for Virginia Transit Systems & Public Entities for Complying with the ADA of 1990, 1993, Garrity, R., L.L. Eads. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. The Choice Between Ramp Metering and HOV Lanes, 1989, Howell, K. In ITE 1989 Compendium of Technical Papers. Institute of Transportation Engineers, 525 School Street, SW, Route 410, Washington, DC, 20024. Contraflow Bus Lanes in Chicago: Safety and Traffic Impacts, 1984, LaPlante, J., T. Harrington. In Transportation Research Record 957. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Converting a General Purpose Lane to an HOV Lane: The Interstate 90 Project,1994, Berg, D.B., L.N. Jacobson, E.L. Jacobson. ITE 1994 Compendium of Papers, Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024-2797. Development of Arterial High-Occupancy Vehicle Enforcement Techniques, 1994, Stoddard, A.M. Texas Transportation Institute, Texas A&M University System, College Station, TX 77843. Effects of Ramp Metering with HOV Bypass Lanes on Vehicle Occupancy, 1985, Rogers, C.A. In Transportation Research Record 1021. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Experiences in Transportation Systems Management, National Cooperative Highway Research Program Synthesis of Highway Practice 81, 1981, Roark, J.J. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Freeway Management Handbook, 1997, FHWA-SA-97-064, Carvell, J.D., Jr., K. Balke, J. Ullman, K. Fitzpatrick, L. Nowlin, C. Brehmer. Federal Highway Administration, 400 Seventh Street, SW, Washington, DC, 20001. Guide for the Design of High-Occupancy Vehicle and Public Transfer Facilities, 1983. American Association of State Highway and Transportation Officials, 444 North Capitol Street, NW, Suite 249, Washington, DC, 20001.

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24.8 OTHER SOURCES (continued) Guidelines for Selection of Ramp Control Systems, National Cooperative Highway Research Program Report 232, 1981, Blumentritt, C.W., C. Pinnell, W.R. McCasland.Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. High-Occupancy Vehicle Improvements on Signalized Arterials, 1991, Nihan, N.L., J.E. Davis, L.N. Jacobson. In ITE Journal, Volume 61, Number 3. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024-2729. HOV Lane Violation Study, DOT-T-90-22, 1990, Billheimer, J.W. Technology Sharing Program, Research and Special Programs Administration, US Department of Transportation, Washington, DC, 20590. HOV Lessons from the Dulles Toll Road, 1994, Stowers, J.R. TR News 170, Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Linking Bicycle/Pedestrian Facilities with Transit, National Bicycling and Walking Study, Case Study No. 9, 1992. Federal Highway Administration, 400 Seventh Street, SW, Washington, DC, 20590. The Location and Design of Bus Transfer Facilities, 1992. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024-2729. Location and Design of Safe and Convenient Park-and-Ride Lots , 1983, Aronson, M.N., W.S. Hornburger. National Technical Information Service, U.S. Department of Commerce, Springfield, VA, 22161. Movable Concrete Barrier Approach to the Design and Operation of a Contraflow HOV Lane, 1991, Poe, C. In Transportation Research Record 1299. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Park & Ride Facilities: Guidelines for Planning, Design and Operation, 1988, Bowler, C.E., E. Noel, R. Peterson, D. Christiansen. Federal Highway Administration, 400 Seventh Street, SW, Washington, DC, 20590. Parking Principles, Highway Research Board Special Report 125, 1971. Highway Research Board, National Academy of Sciences, 2101 Constitution Avenue, Washington, DC, 20418. Predicting High Occupancy Vehicle Lane Demand: Final Report, 1996, Dowling, R.G., J. Billheimer, V. Alexaidis, A.D. May. Federal Highway Administration, 400 Seventh Street, SW, Washington, DC, 20590.

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MOBILITY MEASURES 24.8 OTHER SOURCES (continued)

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Public Attitudes Toward Conversion of Mixed-Use Freeway Lanes to High-Occupancy Vehicle Lanes, 1994, Gard, J., P.P. Jovanis, V. Narasayya, R. Kitamura. In Transportation Research Record 1446. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. Ramp Meter Design Guidelines, 1993. State of California, Business, Transportation & Housing Agency, Department of Transportation, Division of Traffic Operations, 1120 N. Street, Sacramento, CA, 95814. Suburban Residential Traffic Calming, Walter, C.E. In ITE Journal Vol. 65, No.9. Institute of Transportation Engineers, 525 School Street, SW, Soute 410, Washington, DC, 20024. Synthesis of Safety Research Related to Traffic Control & Roadway Elements: Chapter 4-Access Control & Driveways, 1982, Stover, V.G., S.C. Tignor, M.J. Rosenbaum. Technology Sharing Report FHWA-TS-82-232. Federal Highway Administration, 400 Seventh Street, SW. Washington, DC 20590. Synthesis of Safety Research Related to Traffic Control & Roadway Elements: Chpt. 8, Priority for High Occupancy Vehicles, FHWA-TS-82-232, 1982, Christiansen, D., C. Miller, W. Cunagin, H.H. Bissell, M. Rosenbaum. Federal Highway Administration, 400 Seventh Street, SW, Washington, DC 20590. Transportation & Traffic Engineering Handbook, 2nd Edition, 1982, Homburger, W.S., Editor. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 200242729.

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24-176 24.9 ACRONYMS AASHTO ADA ADAAG CBD CCTV CMS ESAL FHWA HAR HCM HDM HMA HOV ISTEA ITE K&R MCB NA NCHRP NYCRR NYSMUTCD PCC P&P P&R PIL ROW SOV SSD TCRP TDM TIS TRB TRR TSM USDOT VMS VPH VPM

MOBILITY MEASURES

American Association of State Highway and Transportation Officials Americans with Disabilities Act Americans with Disabilities Act Accessibility Guidelines Central Business District Closed Circuit Television Changeable Message Sign Equivalent Single Axle Load Federal Highway Administration Highway Advisory Radio Highway Capacity Manual Highway Design Manual Hot Mix Asphalt High Occupancy Vehicle Intermodal Surface Transportation Efficiency Act Institute of Transportation Engineers Kiss-and-Ride Movable Concrete Barrier Not Applicable National Cooperative Highway Research Program New York State Compilation of Codes, Rules, and Regulations New York State Manual of Uniform Traffic Control Devices Portland Cement Concrete Park-and-Pool Park-and-Ride Priority Investigation Location Right of Way Single Occupancy Vehicle Stopping Sight Distance Transit Cooperative Research Program Transportation Demand Management Traveler Information System Transportation Research Board Transportation Research Record Transportation Systems Management United States Department of Transportation Variable Message Sign Vehicles Per Hour Vehicles Per Minute

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This Glossary includes terms used in this chapter and in publications by the Institute of Transportation Engineers (ITE), American Association of State Highway and Transportation Officials (AASHTO) and the U.S. Department of Transportation (USDOT). Add-a-lane. A general implementation approach whereby an HOV facility is created by adding roadway capacity to an existing freeway facility, usually by widening the freeway or modifying the median or outside shoulder. Articulated bus. An extra-long, high-capacity segmented bus that has the rear portion flexibly but permanently connected to the forward portion with no interior barrier to hamper movement between the two parts. The seated passenger capacity is 60 to 80 persons with space for many standees, and the length is from 18 m to 24 m. The turning radius for an articulated bus is usually the same as or less than that of a standard urban or inter-city bus. Barrier-separated facility. An HOV facility that is physically separated, frequently by barriers, and access controlled from adjacent mixed-flow freeway lanes. Barrier-separated facilities can be operated either as reversible-flow or two-way. The opposing directions within a barrier-separated facility are separated by either a barrier or buffer. Barrier-separated lane. A lane that is physically separated and access controlled from adjacent general purpose traffic and reserved for the exclusive use of HOVs. Barrier separation. A physical barrier (either concrete or guiderail) that is used to separate an HOV from general-use freeway traffic. Bicycle lane (bike lane). A portion of a roadway which has been designated by striping, pavement markings, and signing for the preferential use of bicyclists. Bikeway. Any road, path, or way which in some manner is specifically designated as being open to bicycle travel, regardless of whether such facilities are designated for the exclusive use of bicycles or are to be shared with other transportation modes. Buffer-separated facility. An HOV lane that is separated from adjacent mixed-flow freeway lanes by a designated buffer. Buffer widths should not be less than 0.3 m or greater than 1.2 m. They are either traversable or non-traversable (i.e., the buffer can be legally crossed at any point or cannot be legally crossed except at designated access points). Buffer widths greater than 1.2 m should not be provided, to prevent their use as breakdown lanes or travel lanes. Where wide buffers are required, they should be no less than 3.0 m wide and no greater than 4.2 m wide. Buffer-separated lane. A lane operating in the same direction as general purpose traffic that is separated by a designated buffer width of 0.3 m or more. The buffer can either be traversable or non-traversable.

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24.10 GLOSSARY OF TERMS (continued) Buffer separation, buffer strip. Part of a roadway area that is used to physically separate an HOV lane from a regular use lane. Buffer widths should not be less than 0.3 m or greater than 1.2 m. Bus bay. A specially constructed area off the normal roadway section for bus loading and unloading. Bus lane. A lane reserved primarily for buses, either all day or during specified periods. Bus priority system. A means by which transit vehicles are given special advantage over other traffic (e.g., preemption of traffic signals, or bus lanes). Busway. A preferential roadway designed for exclusive or predominant use by buses in order to improve bus movement and travel times. A busway may be constructed either at, below, or above grade, and located either in separate right-of-way or within freeway right-of-way. CALTRANS. The California Department of Transportation. Carpool. Any vehicle, usually an automobile, carrying two or more occupants including the driver, or a group of people sharing automobile transportation. Change of mode. The transfer from one type of transportation vehicle to another (e.g., auto to bus or pedestrian to auto). Concurrent-flow lane. A buffer-separated lane on which, during the entire day or certain hours of the day, HOVs operate in the same direction as the normal flow of traffic. Congestion. The level at which transportation system performance is no longer acceptable to the traveling public due to traffic interference. The level of acceptable system performance may vary by type of transportation facility, geographic location and/or time of day. Contiguous lane. A non-separated concurrent flow lane. Contraflow lane. A lane on which, during certain hours of the day, HOVs operate in a direction opposite to that of the normal flow of traffic (commonly the inside lane in the off-peak direction of travel). For freeway applications, the lane is typically separated from the opposing direction travel lanes by pylons or movable concrete barrier. Corridor. A broad geographical area that defines general directional flow of traffic. It may encompass a mix of streets, highways, and transit alignments. Curb-side stop. A bus stop in the travel lane immediately adjacent to the curb.

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Delay. The time lost by a person or vehicle during travel due to circumstances which impede the desirable movement of traffic. It is the travel time difference between congested and free-flow travel times. Diamond. A uniform traffic control symbol used on signing and pavement markings to designate restricted use of preferential (HOV) facilities. Dwell time. The time a bus spends at a stop, measured as the interval between its stopping and starting. Emergency vehicle. Any vehicle generally used in responding to an incident that has caused or may lead to life-or injury-threatening conditions or destruction of property. Examples are police, fire and ambulance vehicles as well as tow trucks and maintenance vehicles. Enforcement. The function of maintaining the rules and regulations to preserve the integrity of a preferential (HOV) facility. Enforcement area. A dedicated space on which enforcement can be performed. Enforcement areas can be delineated within an available shoulder or provided at specific locations. Exclusive facility, freeway right-of-way. An HOV roadway or lane(s) located within a freeway right-of-way that is physically separated from the general purpose freeway lanes and designated for HOVs for all or portions of the day. Physical separation is usually via a concrete barrier, but separation can also be via a wide painted buffer. Exclusive facility, separate right-of-way. An HOV roadway or lane(s) located in a separate rightof-way that is usually, but not always designated for the exclusive use by buses. The facility is typically a two lane, two-way operation. Express bus service. Bus service with a limited number of stops, either from a collector area directly to a specific destination or in a particular corridor with stops en route at major transfer points or activity centers. Express bus service is usually routed along freeways or HOV facilities where they are available. Far-side stop. A bus stop located immediately after an intersection. General-use, general purpose, mixed-flow, mixed-use. A traffic lane that is available for use by all types of vehicles. Ground loop. A series of three horizontal right turns around a city block, made by a vehicle after passing through an intersection where no left turn is allowed, to achieve travel in the direction of the disallowed left turn.

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MOBILITY MEASURES

24.10 GLOSSARY OF TERMS (continued) Headway. The time interval between successive passing of vehicles, measured from front end to front end, moving along the same lane in the same direction on a roadway, expressed in seconds or minutes. High-occupancy vehicle (HOV). Motor vehicles carrying at least two or more persons, including the driver. An HOV could be a transit bus, vanpool, carpool or any other vehicle that meets the minimum occupancy requirements, usually expressed as either two or more (2+), three or more (3+), or four or more (4+) persons per vehicle. High speed. A speed of 80 km/h or more. HOV facility. The collective application of physical improvements that support an HOV operation, including lanes, ingress/egress, park-and-ride lots, park-and-pool lots, and transit facilities that are developed so as to effectively integrate all elements as a unified whole. HOV lane. A preferential lane that is reserved for the use of high-occupancy vehicles. HOV system. The collective application of HOV facilities, programs and policies that are effectively integrated to provide a comprehensive application of HOV incentives in a corridor or region. Ingress/egress. The provision of access to /from an HOV facility. Kiss-and-ride. An access mode to transit whereby passengers (usually commuters) are driven to a transit stop and left to board the vehicle, then met after their return trip. Line haul. That portion of a commute trip that is express (non-stop) between two points. Low speed. A speed of 60 km/h or less. Main lane. One of the mixed-flow freeway through lanes. Midblock stop. A bus stop within the block. Mode. A particular form of travel (i.e., walking, bicycling, traveling by bus, traveling by carpool, traveling by train, etc.). Near-side stop. A bus stop located immediately before an intersection. Nonseparated (HOV) lane. An HOV lane that is not separated from adjacent mixed-flow freeway lanes (i.e., delineation is via a standard dashed pavement stripe). Nub. A stop where the sidewalk is extended into the parking lane, which allows the bus to pick up passengers without leaving the travel lane, also known as bus bulbs or curb extensions.

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Off-line station. A mode transfer facility located off of the HOV lane, either adjacent to the freeway or some distance away. Mode transfers could involve bus, rail, auto, or pedestrian modes. Off-peak direction. The direction of lower demand during a peak commuting period. In a radial corridor, the off-peak direction has traditionally been away from the CBD in the morning and toward the CBD in the evening. On-line station. A mode transfer facility located along the HOV lane. Mode transfers involve bus, auto and/or pedestrian modes. Operation plan. A comprehensive document that specifies how an HOV facility is to be administered, operated, enforced and maintained. Paratransit vehicle. Forms of intra-urban demand-responsive transportation services with lowor medium-capacity highway vehicles such as vans or taxis, that are available for hire to the public. They are distinct from conventional transit as they generally do not operate on a fixed schedule and are smaller than conventional transit vehicles. Park-and-pool lot. A parking facility where individuals rendezvous to use carpools and vanpools. The facility is not served by public transportation. Park-and-ride lot. A parking facility where individuals access public transportation as a transfer of mode, usually with their private automobiles. Public transportation usually involves express bus from the lot to a CBD or major activity center. A park-and-ride lot can also be allowed to serve the dual function of a park-and-pool lot facilitating the formation of carpools and vanpools. Peak direction. The direction of higher demand during a peak commuting period. In a radial corridor, the peak direction has traditionally been toward the central business district in the morning and away from the central business district in the evening. Peak hour. That hour during which the maximum amount of travel occurs, usually specified as the morning peak hour or evening peak hour. Peak period. The period during which traffic levels rise from their normal background levels to maximum levels, generally specified as the morning or evening period. Preferential lanes. A form of preferential treatment in which lanes on streets or highways are reserved for the exclusive use of buses, carpools, or vanpools, or all of the above during at least a portion of the day. Preferential parking. Parking lots or spaces that are reserved for HOVs as a means to encourage ridesharing. They are usually located closer to a terminal or building entrance than other vehicle spaces and may also enjoy a reduced parking fee.

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MOBILITY MEASURES

24.10 GLOSSARY OF TERMS (continued) Preferential treatment. In transportation, giving special privileges to a specific mode or modes of transportation (e.g., bus lanes). Priority Investigation Location (PIL). A section of a State highway where the accident rate (accidents/million vehicle miles [MVM]) exceeds the average for that highway type to such an extent as to suggest that some factor (other than pure chance) may be contributing to the accident experience. Queue bypass (HOV). An HOV facility that provides a bypass around a queue of vehicles delayed at a ramp or mainline traffic meter, toll plaza, bridge, tunnel, ferry landing, or other bottleneck location. Queue-jumper bus bay. A bus bay designed to provide priority treatment for buses, allowing them to use right-turn lanes to bypass queued traffic at congested intersections and access a far-side open bus bay. Ramp meter bypass. A form of preferential treatment at a ramp meter in which a queue bypass of one or more lanes is provided for the designated use of high-occupancy vehicles. Ramp metering. A procedure used to reduce congestion on a freeway facility by managing vehicle flow from local access entrance ramps. An entrance ramp is equipped with a metering device and traffic signal that allows vehicles to enter a facility at a controlled rate. Reversible-flow lane. A lane on which the direction of traffic flow can be changed to match the peak direction of travel during peak traffic periods. Right-turn ground loop. Three consecutive right turns around a city block. Shoulder lane. A lane that is created on an existing median or outside shoulder of a freeway. Stopping sight distance (SSD). See Chapter 2, Section 2.6.8 in this Manual. Support facility. A facility that enhances HOV operation, including park-and-ride lots, park-and-pool lots, transfer terminals, or other physical improvement that is considered a supporting element of the operation. Take-a-lane. A general implementation approach whereby an HOV facility is created by consuming or borrowing use of a mixed-flow lane on a freeway facility, usually by pavement markings and signing. This approach has rarely been applied. Transit center (or transit station). A mode transfer facility serving transit buses and other modes such as automobiles and pedestrians. In the context of this document, transit centers can be located either alongside an HOV lane or busway (i.e., on-line station), or be physically separated from the HOV lane (i.e., off-line station). 5/4/98

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Transportation demand management (TDM). The operation and coordination of various transportation system programs to provide the most efficient and effective use of existing transportation services and facilities. TDM is one category of traffic system management actions. Refer to the Scoping Procedure Manual, Appendix D. Transportation system management (TSM). Actions that improve the operation and coordination of transportation services and facilities to effect the most efficient use of the existing transportation system. Actions include operational improvements to the existing transportation system, new facilities, and demand management strategies. Refer to the Scoping Procedure Manual, Appendix C. Vanpool. A prearranged ridesharing function in which a number of people travel together on a regular basis in a van, usually designed to carry six or more persons. Violation. An infraction of the rules and regulations for roadway use. In an HOV context, a violation can include vehicle occupancy eligibility.

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HIGHWAY DESIGN MANUAL

Chapter 25 - Traffic Calming

Revision 36

February 5, 1999

CHAPTER 25 TRAFFIC CALMING Contents Page

25.1 25.2

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-1 TRAFFIC CALMING POLICY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-2 25.2.1 25.2.2 25.2.3 25.2.4 Policy Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-2 25-2 25-2 25-2

25.3 25.4 25.5 25.6

GENERAL GUIDANCE AND REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . 25-3 TRAFFIC CALMING PROJECT OBJECTIVES . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-6 WHEN TRAFFIC CALMING SHOULD BE CONSIDERED AS AN ALTERNATIVE 25-7 APPLICABILITY OF TRAFFIC CALMING TECHNIQUES . . . . . . . . . . . . . . . . . 25-10 25.6.1 25.6.2 25.6.3 25.6.4 Category I Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Category II Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Category III Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Category IV Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-10 25-11 25-11 25-13

25.7

COMMUNITY INVOLVEMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-19 25.7.1 The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-19 25.7.2 Project Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-21

25.8 25.9

MONITORING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-22 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-24

25.10 OTHER SOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-25 APPENDICES - GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . GEN-1 Appendix A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-1 Appendix B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-1 Appendix C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C-1

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TRAFFIC CALMING
25.1 INTRODUCTION

25-1

Traffic calming measures have been used successfully in Europe for many years. The number of successful traffic calming programs in the United States is increasing, and reports of these successes are generating strong interest in New York State. Traffic calming techniques were first used to stem the rise of speeds and accidents, and to improve the environment in residential settings. Since then, they have been used in other situations with some success. Practitioners have found that increased public awareness of traffic calming is resulting in a call to use it to resolve many traffic problems. However, traffic calming cannot solve all traffic problems. The Region, in cooperation with the local community, should examine the project circumstances, establish the project objectives, and consider if traffic calming should be an alternative or an element of the design. A Department task force developed a policy statement and guidance on traffic calming to assist Regions through the process. Section 25.2 contains the policy statement, policy scope, and the definition and background of traffic calming. Section 25.3 contains general guidance and requirements, including general considerations. Section 25.4 provides some examples of objectives that could be achieved by traffic calming. Section 25.5 lists example test questions to help determine if traffic calming is viable. Section 25.6 explains the applicability of traffic calming techniques, and describes the speed categories established specifically for traffic calming measures. Section 25.7 outlines the importance of community involvement and the process that should be followed. Section 25.8 covers project monitoring and its importance in evaluating the effectiveness of the project. Appendices A, B, and C are excerpts from guidelines developed for the Washington State Department of Transportation, the Florida Department of Transportation, and the City of San Buenaventura, CA, respectively. They are provided for guidance until such time as formal guidelines or standards are adopted by the Department.

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25.1

25-2 25.2

TRAFFIC CALMING TRAFFIC CALMING POLICY

25.2.1 Policy Statement The Department's policy is to consider the application of traffic calming, as appropriate, on State highways and Department administered or financed projects, in accordance with the guidelines and requirements contained in this chapter. 25.2.2 Scope The policy provides requirements and guidance for the Department's planners, scopers, designers, and traffic engineers; formally states positions on application of traffic calming measures; and indicates the process to be used to consider them. 25.2.3 Definition Traffic calming is the combination of mainly physical measures that reduce the negative effects of motor vehicle use, alter driver behavior, and improve conditions for nonmotorized street users. NOTE: The Department is adopting the above proposed Institute of Transportation Engineers (ITE) definition of traffic calming due to the desirability of having a consistent definition and because it is sufficiently broad to allow for the concept that the needs of the motorist and nonmotorist must be balanced, appropriate to the intended function of a given facility or area. NOTE: The ITE describes the meaning of the phrases in the definition as follows: 1) reduce negative effects of motor vehicle use means changing the design and the role of the street to reduce the negative social and environmental effects of motor vehicles on individuals (e.g., speed, intrusion, etc.), and on society in general (e.g., pollution, urban sprawl, etc.); 2) altering driver behavior addresses the self enforcement aspect of traffic calming; the lowering of speeds, the reduction of aggressive driving, and the increase in respect for nonmotorized street users; 3) improve conditions for nonmotorized street users means to promote walking and cycling, increase safety, create a feeling of safety, and improve aesthetics, etc. 25.2.4 Background Individual traffic calming techniques are not, for the most part, new. Some, such as pedestrian refuge islands and traffic circles, have been used since the days of horse drawn carriages. Most techniques are used in one form or another with varying frequency on highways, streets, or private property. What is new is the interest in applying these techniques in combination, and improving the compatibility among all highway users. Combining techniques is especially effective in neighborhood traffic calming, which applies to residential neighborhoods, and on shopping or entertainment oriented streets, and in some cases main streets of cities, villages, and hamlets, and school zones.

25.2

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TRAFFIC CALMING
25.3 GENERAL GUIDANCE AND REQUIREMENTS

25-3

The policy and guidance in this chapter create a hierarchy for the application of traffic calming techniques which strives to consider and balance the many conflicting needs between the highway users (motorists, pedestrians, bicyclists) and adjacent land owners, with safety being of paramount concern. Wherever possible, existing standards, basic design principles, ongoing research, and past experiences have been used to develop the policy and guidance. Often both the State and local highway systems will be affected and coordination is needed during scoping and early design phases. It is essential to determine, during scoping, if traffic calming measures are warranted and implementable, or if traditional approaches or strategies are more appropriate. Refer to Section 25.5 for guidance in when traffic calming should be considered. Whenever possible, traffic calming measures shall be designed in accordance with all applicable standards, criteria, and guidelines. When a design speed is selected that is less than the value obtained using the methodology in Chapters 2 and 4 of this manual, it shall be considered a traffic calming effort and the requirements or guidance in this chapter will apply. However, each situation is unique and professional judgement must be exercised. Refer to Chapter 1, Chapter 2, Section 2.8, and Chapter 5, Section 5.1 of this Manual, and Sections 25.5 and 25.6.3 in this chapter for further guidance on how to deal with variations from this Manual and design exceptions. A caution: in some localities across the country, traffic calming is being embraced as a cure-all. Some of the techniques suggested in the literature were tried and discarded (some in the 1940's or 1950's). Other techniques have been developed in other countries with different cultural attitudes and often lower vehicle volumes on even the most heavily traveled roads. These reasons, in combination with different laws and penalties, may have significant effect on the success of a particular technique. While a fresh look at some techniques is appropriate, effort should not be wasted reinventing the wheel. It is costly monetarily, and sometimes from a safety point of view, to experiment. Consequently, it is well worth the extra effort to search old literature and old department records, and to talk to experienced department staff, to determine why a particular technique is no longer used and what was wrong with particular aspects of it, either in design or application. Also, it may be possible to observe a similar installation or to find a before and after study of a recent installation. Caution should be exercised in reintroducing any technique that has a proven negative safety record. For example, the once popular traffic circles (rotaries) were dropped from AASHTOs A Policy on Geometric Design of Highways and Streets, 1984 for reasons of safety, capacity, and driver confusion. Many have been removed or are now controlled by signals. Now, there is renewed interest in the new version called the modern roundabout, which has some design changes from the old traffic circle. However, these changes may not address some of the inherent problems with traffic circles, such as those related to use by large trucks or recreational vehicles, or driver confusion on multilane circles. There are also mixed opinions on safety and capacity issues which need to be investigated further before any policy on the use of modern roundabouts is issued.

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25.3

25-4

TRAFFIC CALMING

Experience in other localities indicate successes, especially for low speed, local street situations where a single lane modern roundabout is adequate for the traffic volumes. With respect to multilane roundabouts, the prudent course of action would be to modify existing traffic circles with known operational problems to the modern roundabout design in order to determine if the new designs are in fact as effective as claimed. Considering the negative operational history with multilane traffic circles, new versions should not be built if the techniques will not remedy the problems on existing ones. In the interim, until a policy is developed, any proposal for a roundabout should be developed on a case-by-case basis with input from the Main Office. This will help in the formulation of a policy and enable the dissemination of the latest information on techniques and experiences of other Regions. Traffic calming techniques, when appropriately installed, can supplement law enforcement activities. However, they cannot replace the need for, or the obligation to provide normal law enforcement. In general, the Department, in collaboration with the affected locality and within the framework of this policy, will consider traffic calming measures as a tool to address congestion, safety, and quality of life issues in response to one or more of the following: 1. 2. A community, corridor or area where a traffic calming plan has been completed, or agreed upon, by a neighborhood group, the municipality, the county. A project is scheduled for a village/main street, school zone or other subarea and scoping indicates that inclusion of traffic calming would satisfy identified subarea needs such as a significant existing accident problem whose severity could reasonably be expected to be reduced by the application of traffic calming. Community requests for speed limit modifications, traffic control devices, safety improvements or other concerns are not satisfied by more traditional measures and/or enforcement. The community must, however, be aware that traffic calming does not replace their obligation to provide normal law enforcement.

3.

For additional guidance in when traffic calming can be considered, refer to Section 25.5. Drivers should be warned before they enter, and when they drive through, a traffic-calmed area. Isolated and unanticipated street narrowing, tight curves or reduced sight distances could be potential hazards if encountered without warning. In addition to concerns for motorists safety, public safety concerns must be addressed. The most obvious of these are access for fire vehicles and response times for fire, ambulance and police traffic. The main concern is how traffic calming may affect them.

25.3

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25-5

When the implementation of traffic calming causes drivers to divert to use alternate routes, it will likely lead to increased volumes (and perhaps speeds) on those routes. Projects that will result in significant diversions of traffic to alternate routes should be developed in accordance with the following: 1. 2. Traffic calming plans shall not be developed without the opportunity for input from people who live or work along the alternate routes to which traffic will be diverted. Refer to Section 25.7.1.2. Traffic calming techniques that are likely to reduce capacity should only be used on local streets or neighborhood streets to avoid serious congestion. Capacity reducing techniques should not be used for other highway types unless a reasonable, logical alternative route is readily available or is provided before the project or as part of it. If there is clearly excess capacity so that capacity reduction will not be a problem, such techniques may be considered. In some situations, the alternate route should be clearly signed. Area-wide traffic management/calming plans to ameliorate the potential impact of any traffic diversion as a consequence of the traffic calming activities should be considered, particularly in urban settings. Traffic calming should only be employed over limited lengths of a given collector or arterial that meet all other requirements for treatment. For local roads, it should only be used where it is important to give priority to residential area character or to nonmotorized users of the roadway.

3. 4.

Consider installing temporary, more forgiving traffic calming measures such as pavement markings, temporary delineators or channelizing devices on a trial basis, when appropriate, before installing the permanent measures, particularly in those situations where traffic calming may require significant driving adjustments. Temporary deployment will provide a transition to the permanent measures proposed, an insight into the effectiveness of the proposed calming measures, and the opportunity to make modifications before installing a permenent device. It is desirable to use forgiving, frangible, or crashworthy traffic control devices, plantings, etc., for permanent traffic calming measures. Design speed, traffic, pedestrian and bicycle volumes, project geometrics, and aesthethics are factors to be considered in determining the treatment to be used. The trial period should be developed and implemented with the concurrence of, and in coordination with, the locality. The trial measures should encompass all the affected highway and mainline and side street approaches as deemed appropriate by agreement between the Department and the locality. The trial period should be long enough to evaluate the effectiveness of the measures and acclimate highway users through the full range of traffic (commuter, tourism, commercial) and environmental (snow and ice control) conditions expected. Refer to Appendix A, p. 40 for additional guidance on temporary installations. Finally, traffic calming plans, especially those that involve neighborhood traffic calming, require the complete cooperation and support by the affected local citizens if the plans are to be successful.

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25.3

25-6 25.4

TRAFFIC CALMING TRAFFIC CALMING PROJECT OBJECTIVES

A projects needs determine what objectives should be achieved by alternatives. Examples of objectives that may be achieved by traffic calming measures include: ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! Improve driver behavior to be more considerate of other users of the street or road, Increase the level of respect for nonmotorized street users, Create a feeling of safety for all street users, Improve safety and convenience for road users, including residents, motorists, bicyclists, pedestrians, transit riders, and people with disabilities. Reduce number and/or severity of accidents. Reduce noise and air pollution (see NOTE below). Provide space for non-traffic activities (e.g., shopping, rest, and play). Enhance street appearance and reduce, where possible, the number of traffic signs. (Traffic control measures require signing and may increase the number of signs.) Achieve an overall improvement in the environment. Reduce speeds of motor vehicles where incompatible with adjacent land use. Reduce need for police enforcement. Reduce short-cut motor vehicle traffic. Mitigate the impact of vehicular traffic on residential neighborhoods. Promote and support the use of transportation alternatives to the single occupant vehicle. Achieve an overall improvement of the communitys quality of life.

NOTE: Some traffic calming measures may not reduce air pollution. If the objective of a project is reduced air pollution, the appropriate analysis should be conducted to prevent unintended consequences.

25.4

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TRAFFIC CALMING
25.5 WHEN TRAFFIC CALMING SHOULD BE CONSIDERED AS AN ALTERNATIVE

25-7

Traffic calming is not applicable to every project. Projects should be assessed to determine if traffic calming is a feasible alternative. The following are examples of test questions to assist the designer or scoper in this determination. All questions are not necessarily applicable to all projects. Only those that do apply should be selected. If a majority of the responses are affirmative, traffic calming should probably be considered as an alternative. The questions are categorized according to whether they involve local community support, traffic conditions or diversions, mobility or safety issues, design measures, or other conditions. Local Community Support # Requested by Local Community ! Has traffic calming been requested by users, residents, or other affected local citizens? ! Has the locality requested or initiated a traffic calming study or prepared a plan to improve circulation, safety, etc., in a congested area, or on the whole network? ! Is there a local desire to create a more livable community by improving the urban environment through motor vehicle speed and/or volume control? ! Is there a local desire to develop, improve, or enable diversified travel mode choices for travelers? ! Are there continuous requests from local residents for speed limit reductions? Support of Local Community, Agencies, Services ! Will emergency services approve the use of traffic calming on other than principal evacuation, fire, and ambulance routes? ! Does traffic calming have the approval of local business and transit operators? ! Is there a joint NYSDOT/local agreement on what the problems are and that there is need to address them with traffic calming measures? ! Is there is broad-based community and local government support for traffic calming? ! Have the local citizens been given every opportunity for involvement in solving the problem? Comply With Master Plan and Zoning Ordinance ! Is the solution part of, and in accordance with the local master plan? ! Are the appropriate land use and zoning ordinances in effect in the local community? ! Does the local government have a comprehensive plan to address the direct and indirect effects of implementing traffic calming on a particular facility, i.e., the effects of traffic diversion, the effects on emergency vehicle routes, congestion, etc.?

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25.5

25-8 Traffic Conditions/Mobility/Safety #

TRAFFIC CALMING

Traffic Operations/Conditions ! Are there significant pedestrian/bicycle traffic generators (schools, community or recreational facilities) located on the street? ! Is there widespread non-compliance with existing speed limits? ! Is there excessive through traffic on local and collector roads? ! Would known circulation problems in and around the right of way, or in the corridor of a project on a Main Street require an area wide solution? Mobility ! What is the roadways relationship or importance to an area and can NYSDOT accept the potential loss of service quality associated with traffic calming? ! Would the use of traffic calming complement the intended function of the route? Safety ! Are there concerns for speeding, pedestrian safety, or other issues at locations where warrants for traffic signals or stop signs are not met? ! Would the use of traffic calming be detrimental to safety? ! Are there accidents between autos, bicycles, and pedestrians? ! Are there parking and deparking accidents? ! Would known safety problems in and around the right of way, or in the corridor of a project on a Main Street require an area wide solution? Diversion ! Can diversions be accommodated? ! Are diversions appropriate? ! Are adequate alternate routes available? ! Are alternate routes consistent with the comprehensive plan for managing traffic through the community? ! Will the introduction of traffic calming measures on a roadway adversely affect adjoining roadways?

Design Measures # Standards ! Would the use of traffic calming violate standards, policies, rules, or regulations? ! Can its use be justified by the exception process? (See Chapter 2, Section 2.8 and Chapter 5, Section 5.1 of this Manual.) ! Will the traffic calming measures conform to the Americans with Disabilities Act Accessibility Guidelines (ADAAG)? Traditional Alternatives ! Will traditional design approaches achieve the identified project objectives?

25.5

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TRAFFIC CALMING

25-9

Other Conditions ! ! ! ! ! ! ! ! ! Will school districts be negatively affected? Will traffic calming be detrimental to economic growth? Will the proposed traffic calming measures undergo a trial period? Is there a decline in quality of life due to perceived imbalance in travel modes? Are alternate modes of travel available? Is there a local access management policy and/or a local land use policy that will complement traffic calming? Does a State arterial function as the Main Street of a local community? Are there multi-modal circulation problems over a subarea or a network that could be resolved by traffic calming? Are problems in the project area directly related to inappropriate driver behavior?

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25.5

25-10 25.6

TRAFFIC CALMING APPLICABILITY OF TRAFFIC CALMING TECHNIQUES

Traffic calming measures can be divided between those that 1) use physical restrictions to lower the speed at which a reasonable and prudent driver feels safe and comfortable, and those that 2) convey the message that priority is given to creating a pedestrian and resident-friendly setting, possibly with special accommodations for bicyclists. Measures in the former group include speed humps and tables, lane constrictions (including neck-downs to a single lane), chicanes, tight curves, turning radius reductions, and sight distance limitations. Measures in the latter group (message or ambiance techniques) include aesthetic treatments such as landscaping with trees and other plants; use of special paving and/or markings; decorative benches, light poles, fountains, and sculptures and/or kiosks; accommodations such as sidewalks, pedestrian bulb-outs, mid-block crosswalks, and bicycle lane markings; and distinctive entrances (gateways) as demarcation for the traffic-calmed area. For the purpose of application of this policy and guidance, the highway system is divided into four general speed categories, Category I through Category IV, as described below. Category II is subdivided into Local Streets and Roads, as defined in Chapter 2 of this Manual, and All Other Streets and Roads, for one of the higher functional classifications. Roads on the New York State highway system are generally covered by Category II, Subcategory All Other Streets and Roads, Category III, and Category IV. All speed categories are applicable to streets and roads not on the New York State highway system. The suitabilities of the techniques for each of the categories are shown in Table 25-1. Illustrations and descriptions of many of the traffic calming measures inTable 25-1 can be found in the appendices. 25.6.1 Category I Facilities Intended or desired vehicle operating speed is in the range of 25 km/h (15 mph) to less than 40 km/h (25 mph). Preservation or enhancements of neighborhood or area character and/or accommodation of bicyclists and pedestrians are the primary functions of such streets or roads. Examples include neighborhood streets, and areas intended for shopping, recreation, or entertainment activities where the intended or preferred transportation modes are walking or bicycling. These are the types of facilities where traffic calming techniques have the greatest applicability and will receive the greatest support from the community as a whole. Since it is not legal or practical to create a speed limit less than 40 km/h (25 mph), except for school speed limits, speed control and eliminating or discouraging through traffic is achieved by physical means in combination with appropriate warning signs (refer to Category III, Reduced Operating Speeds). Design speed measurements using the methodology in Chapter 2 of this Manual would not normally find speeds that fall within the range of this category. They are achievable only after the implementation of certain traffic calming techniques.

25.6

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TRAFFIC CALMING

25-11

Many techniques can be used where there is a demonstrated problem and normal enforcement has been unsuccessful. These include such features as vertical and lateral shifts, street narrowing, medians, one-way restrictions, and reduced corner radii. See Table 25-1 and related information for suitability of various traffic calming techniques. Where the intent is to significantly reduce through vehicle trips, suitable alternative routes must exist or they must be constructed and opened before implementation of the traffic control measures. 25.6.2 Category II Facilities Design speed ranges from 40 km/h (25 mph) to less than 60 km/h (35 mph) as determined in accordance with Chapter 2 in this Manual, or as established for Local Streets and Roads (refer to Category III, Reduced Operating Speeds). Included in this grouping are most through streets in urban or suburban areas, villages, hamlets, and main roadways in developments. This category is subdivided into Local Streets and Roads, as defined in Chapter 2 of this Manual, and All Other Streets and Roads which includes all other classifications, and generally applies to the roads on the New York State highway system. Speed control and safety is normally accomplished by routine enforcement. Where data shows this effort is not effective, enforcement can be supplemented by speed-timed progressive signal systems, chicanes (designed for local streets # 50 km/h [30 mph]), pedestrian refuge islands, walk phases on signals, gateways, sidewalk extensions at intersections, patterned and/or colored crosswalks, and other street ambiance enhancing features. See Table 25-1 for suitability of various traffic calming techniques. Refer to Chapter 5, Section 5.10.4.3 of this Manual for the design requirements for pedestrian refuge islands. 25.6.3 Category III Facilities Design speed is 60 km/h (35 mph) to less than 80 km/h (50 mph) as determined in accordance with Chapter 2 of this Manual. This is undoubtedly the most varied of groupings with respect to mix of vehicles, pedestrians, and bicyclists, with most types of roads being represented. This group includes, but is not limited to: 1. 2. 3. 4. Some parkways, Urban or suburban arterials and collectors, Most state highways, county or town roads as they pass through small suburban or rural communities, and Some higher speed urban streets whose primary function is to move large volumes of vehicular traffic at higher speeds.

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25.6.1

25-12

TRAFFIC CALMING

The number of bicyclists or pedestrians will vary widely (including seasonal variations). Some of the techniques that will achieve speed reduction or improve safety would include, where applicable, progressive traffic signal systems, pedestrian refuge islands, walk phases on signals, gateways, patterned and/or colored crosswalks, and other street ambiance enhancing features. See Table 25-1 and related information for suitability of various traffic calming techniques. Refer to Chapter 5, Section 5.10.4.3 of this Manual for the design requirements for pedestrian refuge islands. Attempts at creating speed limits which are inconsistent with driver expectations and habits are ineffective, inappropriate, and potentially unsafe because they create a wide variance in operating speeds and are generally ignored. Speed limits inconsistent with anticipated operating speeds (85th percentile) will be unsuccessful unless there is heavy, continued enforcement. Reduced Operating Speeds It may be possible to reduce operating speeds for some projects as part of a traffic calming effort. A local road or street, and in some instances a state highway, may have an existing operating speed far in excess of the speed limit or the desired operating speed. Application of the methodology in Chapter 2 of the HDM would produce a design speed comparable to the existing speeds. However, consistent with the spirit and intent of the design speed discussion in the 1994 AASHTO A Policy on Geometric Design of Highways and Streets, page 62, it may be acceptable and consistent with good engineering practice to progress, as exceptions to design standards, a design which will lower the anticipated operating speed. The design speed could then be based on the lower anticipated operating speed. To progress the design as an exception to the normal process for establishing anticipated operating speed, the designer must clearly demonstrate and document the following as appropriate: 1. That the existing operating speeds and/or volumes are clearly inconsistent with the intended use and function of the road, e.g., a residential street that is being used as a short cut between arterial and/or collector highways, while similar adjacent streets function as intended. That there is an existing accident problem, or that the number of pedestrians and/or bicyclists that currently use or would use the facility are significant and there is a potential for safety problems. That the proposed design will clearly affect the existing operating speeds and the Regional Traffic Engineer (RTE) supports the design and agrees reductions in operating speed will occur. The burden is on the designer to provide an engineering analysis to demonstrate that the elements of the proposed design will reduce the operating speeds. The devices that may be used include geometric alternatives such as the introduction of a series of horizontal curves, installation of signing, use of traffic calming devices consistent with the new anticipated operating speed, and any other recognized and accepted technique with a proven track record in reducing speeds without compromising safety. From another perspective, traffic calming features that restrict travel on Category III facilities would essentially build potential problem areas into a road. Great care must be exercised to ensure that attempts at speed reduction do not simply make the road less safe without actually reducing operating speeds to levels consistent with the safe operating speed for the design. This applies to a lesser degree to Categories I and II, and to a greater degree to Category IV.

2. 3.

25.6.3

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TRAFFIC CALMING

25-13

4.

5. 6. 7.

Where it is determined that speed reducing efforts will not be appropriate, the designer should consider traffic calming techniques that are intended to improve conditions for nonmotorized users and residents without directly impacting vehicle operation. That the gradual transition of roadside treatments to this area from a Category IV area can be accomplished safely, consistent with currently accepted practice, e.g.,: ! through the use of gradual reductions in clear area; ! by the introduction of traversable curb at the back of shoulder, to loss of shoulder, to change to barrier curb; ! by the introduction of transitional horizontal curves that step speeds down; ! with the use of speed x width (S x W) tapers for lane width reductions. That appropriate regulatory and warning signs will be installed as necessary. That the project will be monitored by the Region or the locality after construction. (See Section 25.8.) That all applicable standards, policies, rules and regulations will be followed.

25.6.4 Category IV Facilities Design speed is 80 km/h (50 mph) or greater as determined in accordance with Chapter 2 of this Manual. Included are interstates, freeways, high speed parkways, arterials, expressways and all other high speed roads where priority is given to motorized vehicles either by prohibiting nonmotorized access, by providing shoulders that bicyclists or pedestrians may use, or by providing separate facilities. The selection of traffic calming measures, where bicycles or pedestrians are allowed, is limited and consists primarily of warning or regulatory signs to alert the motorist of designated bike routes or crossing points for pedestrians or bicycles. Roadside development, such as businesses or recreational areas, may also serve to alert motorists of the possibility of the presence of bicyclists or pedestrians. Some of the suitable techniques include pedestrian refuge islands, certain streetscaping devices, some route modifications, and traffic control devices. See Table 25-1 and related information for suitability of various traffic calming techniques. Refer to Chapter 5, Section 5.10.4.3 of this Manual for the design requirements for pedestrian refuge islands. Consideration should be given to providing adequate shoulder width for bicycles and pedestrians to use, as appropriate. Attempts at creating speed limits inconsistent with driver expectations and habits are ineffective, inappropriate, and potentially unsafe because they create a wide variance in operating speeds. Speed limits inconsistent with anticipated operating speeds (85th percentile) will be unsuccessful unless there is heavy, continued enforcement.

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25.6.3

TRAFFIC CALMING
Table 25-1 Suitability of Traffic Calming Features for Speed Categories
CATEGORY II (40-59 km/h) TRAFFIC CALMING FEATURES CATEGORY I (NEIGHBORHOOD) (25-39 km/h) LOCAL 2 STREETS OR ROADS ALL OTHER STREETS OR ROADS CATEGORY III (60-79 km/h) CATEGORY IV ($80 km/h) SPEED REDUCTION1

25-14

VOLUME REDUCTION 1

VERTICAL SHIFTS Raised Crosswalks Raised Intersections

|
POSSIBLE SUITABLE #50 km/h SUITABLE NOT RECOMMENDED >50 km/h NOT RECOMMENDED NOT PERMITTED YES NO INFORMATION POSSIBLE NO

Speed Cushions Speed Humps 4 Speed Tables LATERAL SHIFTS Alternate Side Parking Chicanes/Serpentine

|
SUITABLE NOT PERMITTED SUITABLE #50 km/h NOT RECOMMENDED >50 km/h NOT RECOMMENDED YES LIKELY POSSIBLE

See General Notes and Endnotes following this table.

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See 25.6

TRAFFIC CALMING
Table 25-1 Suitability of Traffic Calming Features for Speed Categories (continued)
CATEGORY II (40-59 km/h) TRAFFIC CALMING FEATURES CATEGORY I (NEIGHBORHOOD) (25-39 km/h) LOCAL 2 STREETS OR ROADS ALL OTHER STREETS OR ROADS CATEGORY III (60-79 km/h) CATEGORY IV ($80 km/h) SPEED REDUCTION1

25-15

VOLUME REDUCTION 1

CONSTRICTIONS Neckdowns, Chokers

5

|
SUITABLE NOT RECOMMENDED NOT PERMITTED SLIGHT YES SLIGHT NO YES NO

1-Way Entry/Exit Choker, Half Closure, Semi-Diverter Curb Extensions at Intersections Pedestrian Refuge/Midblock Islands Driveway Link Single Lane Slow Point Single Lane Angled Slow Point Two-Lane Slow Point SUITABLE

SUITABLE( SUITABLE

NOT PERMITTED YES YES

NOT RECOMMENDED Two-Lane Angled Slow Point NARROW PAVEMENT WIDTHS Pavement Narrowing ENTRANCE FEATURES Gateways (Suitable only with upstream parking. SUITABLE NOT PERMITTED YES YES SUITABLE NOT RECOMMENDED NOT PERMITTED POSSIBLE POSSIBLE

See General Notes and Endnotes following this table.

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See 25.6

TRAFFIC CALMING
Table 25-1 Suitability of Traffic Calming Features for Speed Categories (continued)
CATEGORY II (40-59 km/h) TRAFFIC CALMING FEATURES CATEGORY I (NEIGHBORHOOD) (25-39 km/h) LOCAL 2 STREETS OR ROADS ALL OTHER STREETS OR ROADS CATEGORY III (60-79 km/h) CATEGORY IV ($80 km/h) SPEED REDUCTION1

25-16

VOLUME REDUCTION1

RELATED STREETSCAPING Color Contrast or Patterns/Markings Landscape Development Sidewalks, Shoulders Street Furniture and Lighting Surface Textures Shared Zones UNCATEGORIZED MEASURES Supplementary Pedestrian Crossing Channelization Devices 6 SUITABLE Back-in Diagonal Parking 7 NOT RECOMMENDED Reduced Intersection Radii YES Single-Lane Roundabouts (( (( NOT LIKELY NO INFORMATION Multiple-Lane Roundabouts (( (( (( (( ((Any proposal for a roundabout should be developed on a case-by-case basis with input from the Design Quality Assurance Bureau. See General Notes and Endnotes following this table. SUITABLE (40-49km/h) NOT PERMITTED (50-59km/h) NOT PERMITTED NO INFORMATION NOT RECOMMENDED
NOT RECOMMENDED

|
NOT LIKELY POSSIBLE SUITABLE NO NO INFORMATION

POSSIBLE

NOT LIKELY
NO INFORMATION

NOT PERMITTED

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See 25.6

TRAFFIC CALMING
Table 25-1 Suitability of Traffic Calming Features for Speed Categories (continued)
CATEGORY II (40-59 km/h) TRAFFIC CALMING FEATURES CATEGORY I (NEIGHBORHOOD) (25-39 km/h) LOCAL 2 STREETS OR ROADS ALL OTHER STREETS OR ROADS CATEGORY III (60-79 km/h) CATEGORY IV ($80 km/h) SPEED REDUCTION 1

25-17

VOLUME REDUCTION 1

ROUTE MODIFICATIONS Arterial Improvements NO INFORMATION Bike Facilities Median Treatments Modified Intersection, Channelization One-Way Operation Truck Prohibitions Cul-de-sacs, Full Closures Diverters TRAFFIC CONTROL DEVICES Higher Visibility Crosswalks Signing Progressive Traffic Signal Systems Walk Phase on Signals Regulations/Enforcement See General Notes and Endnotes following this table.
8

POSSIBLE SUITABLE LIKELY YES

NO INFORMATION NO NOT RECOMMENDED YES NOT PERMITTED LIKELY YES MINOR YES

|
POSSIBLE SUITABLE POSSIBLE POSSIBLE NO LIKELY NO

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See 25.6

25-18 General Notes to Table 25-1 C C C C

TRAFFIC CALMING

Those measures shown as NOT RECOMMENDED may be considered in casespecific projects. Generally, traffic calming measures should not be used on principal emergency response routes. Their proposed use should be coordinated with and approved by the local police/fire/emergency medical services. Slow point constrictions may include one or more traffic calming measures. Gateways are generally a combination of traffic calming measures.

Endnotes to Table 25-1

1. This information is based on the experience of others who have implemented traffic calming

and have monitored the results. Individual results may be influenced by the combination of traffic calming measures used, the frequency of their use, the speed category and the intended function of the facility or area, and other factors. Taken from A Guidebook for Residential Traffic Management and also Neighborhood Traffic Management and Calming Program.
2. As defined in Chapter 2 of this Manual. 3. Speed humps/bumps are not used on New York State highways to control speed (D.J. Russo,

Operations Bureau letter to M. Weithorn, August 6, 1995). These guidelines extend this restriction to include all vertical shift measures. Use of vertical shifts on local roads is subject to the approval of the local authority having jurisdiction.
4. Refer to Guidelines for the Design and Application of Speed Humps. 5. In locations where no parking is provided, lane drop tapers should precede neckdowns or

chokers.
6. Refer to NYSDOTs guidance on Supplementary Pedestrian Crossing Channelization Devices

(T.C. Werner memo to Regional Traffic Engineers, July 15, 1997).

7. The following dimensions were adapted from the Traffic Engineering Handbook, 1992, Figure

7-1 and Table 7-5 for 3.0 m wide parking spaces and 60O angle parking: a. 2 lanes, 2-way, angle parking both sides, minimum pavement width 19.0 m curb-to-curb. b. 2 lanes, 2-way, angle parking one side, minimum pavement width 13.5 m curb-to-curb. c. 1 lane, 1-way, angle parking one side, minimum pavement width 9.5 m curb-to-curb.
8. Crosswalk markings must be white, in accordance with the NYS Manual of Uniform Traffic

Control Devices.

See 25.6

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TRAFFIC CALMING 25.7 COMMUNITY INVOLVEMENT

25-19

In those communities that have them, traffic calming programs are conducted to respond to complaints and requests from local residents concerned about the safety, noise, pollution, and visual impacts of cars, trucks, and buses on their street. Most traffic calming programs are geared for residential areas on residential streets, or shopping or entertainment oriented streets where, in the perception of the residents or users, those impacts are affecting their quality of life. Community involvement may be the most important element in a successful traffic calming project. Close community involvement enables planners/designers to see the problem from the local perspective. It also helps the community understand the impacts of traffic calming measures and the constraints within which the project must be developed. Several meetings should be held with the affected residents, from the time a problem is recognized and identified until the completed project has been evaluated. Without community involvement, the solution to a problem may not satisfy the needs of the community or the project, and result in failure. 25.7.1 The Process A project is initiated when the scoping process begins for a project on the Regions program, or when local residents request traffic calming be considered an alternative solution to traffic problems on their street or road. Projects should be assessed early in the scoping phase to determine if traffic calming should be considered. Not all projects are candidates for traffic calming. Refer to Section 25.5 for examples of test questions to assist in determining if traffic calming should be considered as a project alternative. Examples of traffic calming objectives can be found in Section 25.4. Input should be solicited from the potentially affected parties during the planning and design of trafficcalmed facilities. The following list of potential parties is not limiting, nor is contact necessarily appropriate or required for all parties. 1. 2. 3. 4. 5. 6. 7. 8. Residents, owners, and store operators (local populace) on the street. Local populace on the street(s) to which traffic may be diverted. Police, fire, ambulance and sanitation officials. Transit authorities. Local truck delivery companies. Municipal planning organizations. The organization with final maintenance jurisdiction. Utility companies.

The activities described below are suggested guidelines for community involvement when considering traffic calming for projects. It is intended that they be coordinated with, but not replace, the normal scoping phase and Design Phases I-IV public involvement activities, as described in the Scoping Procedure Manual and the Design Procedure Manual.

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25-20 25.7.1.1 Scoping Phase

TRAFFIC CALMING

When the Region initiates a project and traffic calming has not been requested by local representatives/residents prior to the start of the scoping phase, the Region should inform them that a project is to be undertaken, and solicit their input regarding traffic problems, issues, and project needs, for consideration in the development of the project scope. When traffic calming has been requested by local representatives/residents prior to the start of, or during the scoping phase, the Region should solicit local input regarding traffic problems, issues, and project needs, for consideration in the development of the project scope. The Region should hold a meeting with the local representatives/residents of the street to introduce the traffic calming policy and assess the need and support for traffic calming on the project. The first meeting should include only those who occupy property along the street within the project area. The Region should request that the locality provide a person or persons to serve as liasons for the local residents within the project area who will be affected by the project, and to communicate information to the public regarding project meeting schedules, etc. If it is determined at the first meeting that there is a need for traffic calming, and there is local support, a subsequent meeting should be held to review the data collected during the scoping phase and to brainstorm ideas that residents might like the Region to pursue. Notification of the second meeting should go to local government representatives, to residents on the project street and crossstreets, and any affected agencies or organizations. 25.7.1.2 Design Phase I The Region should develop alternatives after considering the ideas raised at the previous meeting and present them to those invited to the previous meeting. This will enable residents to participate in the development of the alternatives. It is also an opportunity to get ideas from them that may have been overlooked. Provision should also be made to obtain the comments of those who are unable to attend the meeting. When traffic will be diverted as a result of the project, residents and property owners along the streets to be used as alternate routes should be notified of the meeting and the potential impacts to their streets. The Region should refine the alternatives based on the input/feedback provided by the local citizens and present the refined alternative(s) for consideration and prioritization by the local residents at a follow-up meeting. If necessary, a third Phase I meeting may be held to determine the final traffic management plan to be carried forward.

25.7.1.1

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TRAFFIC CALMING 25.7.1.3 Design Phases II-IV

25-21

Development of the traffic calming alternative(s) should be carried out along with the development of other alternatives. Refer to the Design Procedure Manual for a detailed description of the project process. 25.7.2 Project Approval The normal NYSDOT project approval process should be followed. Refer to the Design Procedure Manual.

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25.7.1.3

25-22 25.8 MONITORING

TRAFFIC CALMING

All traffic calming projects should be monitored. Studies should be conducted by the Region or the locality both before and after traffic calming measures are implemented. Monitoring is a means of measuring the safety and effectiveness of traffic calming measures in achieving the project objectives, as well as determining the appropriate modifications to be made, if necessary. It will also help improve designs for future projects and determine if corrective treatments are needed. Systematic before and after monitoring is also necessary to evaluate whether the money is well spent. The safety and effectiveness of traffic calming measures should be evaluated consistent with the traditional techniques used in transportation engineering. A key benefit of monitoring is to provide information which increases the Departments knowledge of good and bad practice in the design and implementation of traffic calming measures. The information can be used to plan and design future traffic calming projects as well as to remove ineffective measures from future consideration. This is especially important due to lack of experience with traffic calming measures in New York State. Collecting the before and after information and sharing it with the Regions will build confidence in the role and performance of traffic calming. Project monitoring should begin as soon as it is determined, during the project scoping phase, that traffic calming will be considered. Project monitoring should involve gathering before data that supports or negates the concerns of the Department and locality. When the project is completed and put into operation, the collection of after data should begin. The collection of data should include follow-up meetings with the local residents affected by the project to determine how well the project has responded to their concerns. Photographs of before-and-after geometrics and of the completed features should be included, and used at the meetings. This information is compared to the before data to determine how effective traffic calming is and if it satisfies the project objectives. If any unacceptable impacts are identified, they should be corrected. The type and extent of monitoring is project specific, however, the following matters should be considered: ! ! ! ! ! the number and location of monitoring sites (e.g., to detect any diversion of traffic, if one of the project objectives or possible outcomes is a significant reduction in traffic volume), the need for a control site (e.g., in relation to overall accident trends), whether spot speeds or average speeds through a scheme should be measured, the short term and long term effects (does the impact wear off over time?), and the number of measurements needed for statistical reliability.

Public reaction to the effectiveness of the installed measures is also a key factor. Monitored results may diverge from the expected effects that were highlighted during project development. Establishing what the publics expectations and perceptions were, and to what extent they have or have not been realized, will be helpful for future schemes. Refer to Section 25.7 for guidance in public involvement activities.

25.8

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25-23

The results of the monitoring should be reported to the Design Quality Assurance Bureau, after which it will be distributed to all Regions for guidance in selecting future traffic calming measures. The factors monitored should reflect the objectives of the project and be used to assess priorities for funding. They may include accidents and traffic speeds, or traffic flow and diversion to other routes, depending on the particular situation. The guidelines below should assist in determining which parameters can be reasonably measured, and whose measurements can be interpreted to have some direct relationship to the actual traffic calming project. ! Before-and-After Accident Studies to determine annual rates of accidents per million vehicle miles (Acc/MVM) and injuries/MVM) for: # all accidents, # motor vehicle/bicycle accidents, # motor vehicle/pedestrian accidents, # transit accidents. Perform accident studies to determine how accident trends in the project area have been affected. The length of time of the studies should be sufficient to determine the long-term effects. ! Before-and-After Speed Studies to determine # the 85th percentile speed, # the 15 km/h (10 mph) pace and per cent of vehicles within it, # numbers of priority investigation locations (PILs) and high accident locations (HALs) eliminated. The speed studies should be performed upstream of, at, and downstream of the traffic calming feature, to learn its effect on vehicle speeds. ! ! For urban streets, the percent of vehicles using the facility that attain the speed range for the facility speed category. (See 25.6.1-25.6.4) Before-and-After User Volumes to determine # the average daily traffic (ADT), vehicles/day, # the average annual daily traffic (AADT), vehicles/day, # the design hourly volume (DHV), vehicles/hour, # the directional design hourly volume (DDHV), vehicles/hour.

Traffic counts should be made on the street where traffic calming will be installed and on the streets to which traffic is expected to divert. The after counts should be made when traffic patterns have stabilized. ! ! Parking occupancy Level of community satisfaction.

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25-24 25.9 REFERENCES

TRAFFIC CALMING

The following is a list of the publications that were used in the preparation of this chapter. 1. A Guidebook for Residential Traffic Management, WA-RD 368.1, Final Report, December 1994, Savage, J.P. Jr., R.D. MacDonald, J.Ewell. Washington State Department of Transportation, Engineering Publications Room SD3, PO Box 47300, Olympia, WA 985047300. Florida Pedestrian Planning and Design Handbook, May 1996, University of North Carolina, Highway Safety Research Center. Florida Department of Transportation, Safety Office, 605 Suwannee Street, Mail Station 82, Tallahassee, FL 32399-0450. Highway Design Manual. Plan Sales Unit, Support Services Bureau, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232-0204. ITE Traffic Calming Definition, Lockwood, I.M. In ITE Journal, Volume 67, Number 7, July 1997. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024-2729. Neighborhood Traffic Management and Calming Program, City of San Buenaventura, Department of Community Services, Engineering Division, 501 Poli Street, Ventura, CA, 93001. Supplementary Pedestrian Crossing Channelization Devices, T.C. Werner memo to Regional Traffic Engineers, July 15, 1997. Transportation Planning, Highway Safety and Traffic Engineering Division, NYS Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232. Traffic Calming, July 1995, Hoyle, C.L., Planning Advisory Service Report Number 456. American Planning Association, Publications Office, 122 S. Michigan Avenue, Suite 1600, Chicago, IL, 60603. Traffic Calming Guidelines, 1992. Devon County Council, Engineering and Planning Department, Devon County, Great Britain. The Traffic Calming Program: Simplification and Enhancement of the Neighborhood Traffic Management and Arterial Traffic Calming Programs, September 30, 1994. City of Portland, Office of Transportation, Bureau of Traffic Management, Neighborhood Traffic Management, 1120 S.W. 5th Avenue, Room 730, Portland, OR, 97204-1914.

2.

3. 4.

5.

6.

7.

8. 9.

25.9

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TRAFFIC CALMING 25.10 OTHER SOURCES

25-25

The publications listed below are additional sources of information related to topics presented in this chapter. Search the Internet Web for up-to-date resources using traffic + calming as key words. 1. Code of Practice for the Installation of Traffic Control Devices in South Australia, July 1996. Traffic and Operational Standards Section, Department of Transport, P.O. Box 1, Walkerville, South Australia, 5081. The Florida Roundabout Guide. Florida Department of Transportation, Maps & Publications Sales, Mail Station 12, 605 Suwannee Street, Tallahassee, Florida, 32399-0450. Guidelines for the Design and Application of Speed Humps - A Recommended Practice of the Institute of Transportation Engineers, 1997. Institute of Transportation Engineers, 525 School Street, SW, Suite 410, Washington, DC, 20024-2729. Manual of Uniform Traffic Control Devices, 1983. Transportation Planning, Highway Safety, and Traffic Engineering Division, New York State Department of Transportation, 1220 Washington Avenue, Albany, NY, 12232-0204 Modern Roundabout Practice in the United States, National Cooperative Highway Research Program Synthesis of Highway Practice 264, 1998, Jacquemart, G. Transportation Research Board, National Research Council, 2101 Constitution Avenue, NW, Washington, DC, 20418. New York State Vehicle & Traffic Law, (latest edition). New York State Department of Motor Vehicles, Swan Street Building, Empire State Plaza, Albany, NY, 12228. Roundabout Design Guidelines. Maryland Department of Transportation, State Highway Administration, P.O. Box 717, Baltimore, MD, 21203-0717. Traffic Control Systems Handbook, FHWA-SA-95-032, 1996, Gordon, R.L., R.A. Reiss, H. Haenel, E.R. French, A. Mohaddes, R. Wolcott. Federal Highway Administration, Office of Technology Applications, 400 Seventh Street, SW, Washington, DC, 20590. Traffic Control Systems Handbook, Revised Edition, 1985, FHWA-IP-85-11, Wilshire, R., R. Black, R. Grachoske, J. Higanbotham. Federal Highway Administration, Office of Implementation, 400 Seventh Street, SW, Washington, DC, 20590.

2. 3.

4.

5.

6. 7. 8.

9.

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GEN-1 GENERAL

APPENDICES - TRAFFIC CALMING

The guidelines for traffic calming measures included in the appendices are taken from guidelines developed for Washington State Department of Transportation, Florida Department of Transportation, and the City of San Buenaventura, CA. Excerpts from those guidelines are Appendices A, B, and C respectively. They should be used for guidance only until such time as formal guidelines or standards are adopted by the Department. There has been considerable research and publication of traffic calming materials since the guidelines were published. Interested parties should search the Internet Web for up-to-date resources using traffic+calming as keywords. Refer to Sections 25.9 and 25.10 for bibliographic information on the guideline references and on other sources of traffic calming information.

APPENDICES-GENERAL

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APPENDIX A
TAKEN FROM

A GUIDEBOOK FOR RESIDENTIAL TRAFFIC MANAGEMENT

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A-1

APPENDIX A - TRAFFIC CALMING

APPENDIX A The guidelines contained herein are taken from A Guidebook for Residential Traffic Management, prepared for the Washington State Department of Transportation by KJS Associates. They appear with the express permission of KJS Associates. They should be used for guidance only until such time as formal guidelines or standards are adopted by the Department.

There has been considerable research and publication of traffic calming materials since the Guidebook was published. Interested parties should search the Internet Web for upto-date resources using traffic+calming as keywords.

APPENDIX A

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TAKEN FROM

FLORIDA PEDESTRIAN PLANNING AND DESIGN HANDBOOK

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B-1 APPENDIX B

APPENDIX B - TRAFFIC CALMING

The guidelines contained herein are taken from the Florida Pedestrian Planning and Design Handbook , prepared for the Florida Department of Transportation by the University of North Carolina. They appear with the express permission of the Florida Department of Transportation. They should be used for guidance only until such time as formal guidelines or standards are adopted by the Department. There has been considerable research and publication of traffic calming materials since the Handbook was published. Interested parties should search the Internet Web for up-to-date resources using traffic+calming as keywords. Note: Appendix B in the Highway Design Manual Revision 33 Chapter 25 is dated May 1996. The Appendix B included in herein is dated 1998 and is the recently revised guidelines furnished by the Florida Department of Transportation. The revisions are generally minor in nature, except for the deletion of the former Figure 15-3 and resulting renumbering of figures, and the addition of a section on Pedestrian Secure Streets.

APPENDIX B

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FLORIDA PEDESTRIAN PLANNING AND DESIGN HANDBOOK

Prepared for the Florida Department of Transportation

September 1998

Pedestrian Planning & Design Handbook

Traffic Calming Strategies

Introduction
Local residential access streets are designed to carry low traffic volumes (less than 2,000 vehicles/day) at low speeds. As traffic volumes and speeds increase on a particular residential street, there is a significant decrease in the actual and perceived quality of life for the residents who live on that street because of safety, noise, and pollution. It has been found that volumes exceeding 2,000 vehicles/day are considered a problem by local residents. Traffic control devices are designed and located to keep through traffic on arterial roads. Local efforts to improve the pedestrian environment on neighborhood streets should try to reduce the number of possible conflicts (and the potential for injury when the conflicts involve speeding traffic) between cars and other users (e.g., pedestrians and children on bikes). Neighborhood traffic control measures serve this purpose by reducing the speeds and/or volumes of motor vehicle traffic. An agency may find it necessary to rate the relative need of each location when allocating funds for popular traffic control measures. In cases where public funding is not available, neighborhoods may be willing to pay the cost of installing these measures themselves, as long as the proposed location is reasonable and otherwise fits the program criteria.

What Is Traffic Calming?

Traffic calming involves strategic physical changes to streets to reduce vehicle speeds and to decrease the cars dominance. Traffic control devices are designed and located to keep through traffic on arterial roads. They do so by making the travel time on the residential streets and downtowns greater than the travel time on the adjacent arterial roads. Traffic calming also seeks to control the behavior of the remaining drivers. Many traffic calming devices can be retrofitted: speed humps, chicanes (devices that cause a driver to move left/right as they travel along the street), speed tables, and modern roundabouts. More extreme examples are street closures or restricted access. During the initial street design, other traffic calming treatments can be built into the street: narrower streets, street pavers instead of asphalt, and different street designs. Many traffic calming schemes have the following common aims: C C C C Improve safety for people, especially children, by controlling conflict points, reducing vehicle speeds and vehicle volumes. Improve the physical environment by lowering vehicle generated noise, pollution, and disruption. Create a green and inviting streetscape. Increase security by bringing back a higher number of pedestrians.

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Figure 15-1. These medians and bulbouts calm traffic on this revitalized main street.

Most residents request traffic calming for a single street or block. However, traffic calming applied to one street usually affects a much larger area, either by restricting access to that area or by diverting traffic to nearby streets. It is best to treat an entire neighborhood with traffic calming strategies, and get the entire neighborhood involved in the decision-making process on the strategies to select. Other agencies, such as police, fire, sanitation and transit departments, need to be involved if access is affected, as well as the local school district if a diverter or street closure will affect school bus service.

In Europe and Australia, traffic calming techniques began in 1970. Their effectiveness has been proven and many now appear to be part of the original street design rather than an afterthought. To reach this position, there was a strong desire to change the balance, to experiment, to learn from others, and to do the right thing for all people. Traffic calming has not been extensively used in most part of the U.S. In Florida and other states, traffic calming offers promise as a means of managing motor vehicles. Traffic calming techniques need to be implemented and evaluated, and perhaps modified, to work in American settings. Often, preliminary investigations will reveal if the problem is better treated by other programs. If there is poor sight distance at an intersection, clear the sight lines. A large number of crashes at a single intersection can be due to a wide range of items which would require a safety study. Alternatively, residents unhappy with the streetscape identify trees and shrubs as part of a traffic calming scheme. Instead of landscaping, building a park so children do not have to play on the unsafe street may be more appropriate. Poor land zoning that creates traffic problems or truck traffic may be better treated by rezoning or by working with the company managers to reroute their trucks. Two basic approaches can be used to facilitate pedestrian movement, safety, and general livability in neighborhoods: 1) installing physical controls requiring vehicular diversion; and 2) managing traffic in place. The primary difference between the approaches is the extent to which conflicts between vehicles and pedestrians are separated. Figure 15-2, which was prepared by Michael Wallwork of the Genesis Group in Jacksonville, lists the advantages and disadvantages of 16 traffic calming devices.1 This chapter presents handbook for several, such as roundabouts, diagonal road closures or diverters, and modified street designs like chicanes.

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Figure 15-2. Traffic calmingadvantages and disadvantages.

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Traffic calming advantages and disadvantages.

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Traffic calming advantages and disadvantages.

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Traffic calming advantages and disadvantages.

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Controls Involving Traffic Diversion

Neighborhood traffic control measures involving traffic diversion are geometric (physical) features that force or prohibit a specific action such as a turn or a through movement. Geometric features have the advantages of being largely self-enforcing and of creating a visual impression that a street is not intended for through traffic. Their disadvantages relative to other devices are their high cost, their negative impact on emergency and service vehicles, the loss of convenient access to some parts of a neighborhood, and a resulting increase in traffic on nearby streets. They are also static and must be appropriate at all hours of the day and night. Street Closures Street closures may be appropriate where large volumes of through traffic or turning vehicles create unsafe conditions in a residential area. They are generally installed with curbs forming street-ends or diagonals across intersections that eliminate through vehicular traffic. Bollards allow free access to pedestrians and bicyclists. They eliminate motor vehicle traffic, but can be removed for entry by emergency vehicles. Landscaping is often included with these measures to serve as a visual cue to motorists, and as a visual enhancement for the neighborhood. Street closures may adversely affect access by emergency vehicles. They may turn out to be unpopular with residents where access is made more difficult. Thus, prior consultation with residents is necessary at early stages of planning and design to minimize opposition. In a partial street closure, access to or from one end of a street is prohibited by a physical barrier and a no-entry sign. The street remains two-way but access from the closed end is permitted only for bicyclists and pedestrians. Driveway links are narrowed roadway segments with textured or colored paving and ribbon curbs or landscaping to mark the edges. While not a true street closure, driveway links reduce through traffic because drivers cannot see through them and therefore perceive them as street closures. These cost more than many devices, though, and the landscaping must be maintained. Cul-de-sacs An intersection cul-de-sac is a complete closure of a street at an intersection, leaving the block open to local traffic at one end, but physically barring the other. Thus, a cul-de-sac represents the most extreme technique for deterring traffic short of barring all traffic from the street in question. A turnaround must be constructed at the closed end of the street of sufficient size to allow sanitation trucks and emergency vehicles to turn around. A cul-de-sac can be designed to allow emergency vehicles to pass through, by use of mountable curbs or removable barriers. These designs will generally allow other vehicles to pass through and constant enforcement may be required to prevent those other vehicles from passing through. Since a cul-de-sac is completely effective at its task of preventing through traffic, the choice of where and whether or not to use it depends largely on other aspects of traffic movement. For example, a cul-de-sac is less desirable in the vicinity of fire, police, or ambulance stations where emergency vehicle movements are frequent. It is also less desirable in areas where multi-alarm fires are more likely. The provision of other services that require large vehicles, such as school bus routing and sanitation pickup, needs to be considered when designing cul-de-sacs. A cul-de-sac is desirable adjacent to schools and parks, where the vacated street can be converted into additional play space. Cul-de-sacs are extremely effective at limiting traffic volumes. They normally reduce traffic to that generated by the land uses that are adjacent to the street. Although a cul-de-sac is not a speed attenuating device, it may serve the purpose since the street comes to a dead end. However, cul-de-sacs will

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generally require additional right-of-way dedication on local streets and must be large enough to accommodate a sanitation truck or fire truck that needs to turn around. Cul-de-sacs limit access for residents as well as nonresidents and if overused, can have the effect of confining people in their neighborhoods. A cul-de-sac placed within one block, rather than at one end, performs the same function as an intersection cul-de-sac. Midblock cul-de-sacs are typically used when two different traffic-generating land-use types are adjacent to each other. An example of this is when a commercial area is backed by a residential area. The cul-de-sac is placed at the transition so that the commercial area is afforded the access, yet its traffic does not intrude into the residential area.

Figure 15-3 Traffic control measures used to manage traffic in place.

Diagonal Diverters A diagonal diverter is a barrier placed diagonally across an intersection to convert the intersection into two unconnected streets, each making a sharp turn. The primary purpose of a diagonal diverter is the same as that of forced-turn channelization to break up the routes, making travel through a neighborhood more difficult, while not actually preventing it. Studies of systems of diverters have shown that traffic on streets with diverters can be reduced from 20 to 70 percent depending on the system of devices in the area. In these studies, traffic on adjacent streets with no diverters increased by as much as 20 percent. These devices have little to no effect on speeding, other than in the immediate area of the diverter, and a minimal effect on traffic safety. Diverters and cul-de-sacs should only be used in cases where a reasonable arterial or access street alternative is available and easily accessed. Otherwise, vehicular traffic will simply reroute to other residential streets and likely result in similar problems on those streets. Diverted traffic should be directed to the nearby arterial street, and signage should be used with diverters to discourage through motorists from entering the neighborhood. Public participation in determining use and location of diverters is essential to successfully address traffic concerns of a neighborhood. Residents should have a voice in the design and operation of the streets on which they live. Community, neighborhood, and political forces also need to be in favor of these controls

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before proceeding. Careful thought needs to be given to circulation patterns resulting from diverters/closures. A trial installation is strongly recommended by use of barricades, barrels or guardrails. A trial period on the order of six to eighteen months gives ample time to collect data showing new traffic patterns and to evaluate community support again. In the event of permanent installation, small park features can be included in the diverter/closure area to further enhance pedestrian and neighborhood surroundings.

Managing Traffic in Place

When the nature of the street system, community sentiment, or the local political climate do not favor street closures or diverters, there are numerous effective measures to manage traffic in place and still provide improved pedestrian surroundings. Each of the measures to manage traffic in place can be used in areas where there is a desire to slow down traffic and reduce collisions or collision potential. While reducing speeds and collisions, these measures normally have small effects on traffic volumes. Cost may be an important factor in finally deciding which measures to use; however, some can be installed inexpensively, using temporary installation schemes. Several of these measures are shown in Figure 15-4, and all of these measures have positive results for pedestrian use and activities on neighborhood streets. Speed Limit Signs and Speed Zones Speed limit signs are regulatory devices that are intended to inform the motorist of the speed limit of the roadway. Speed limit signs usually have no effect on traffic volumes and little if any effect on traffic speed, since drivers usually drive at what they perceive to be safe and reasonable under existing conditions. Studies in Europe have also shown that the use of speed limit signs without any physical barriers to traffic generally resulted in no change in driver speeds. Other traffic calming facilities generally must be installed in conjunction with reduced speed limit signing to obtain lower speeds. Mini-Circles Mini-circles are raised circular islands in the center of an intersection, which creates a one-way, circular flow of traffic within the intersection area. Mini-circles separate points of conflict and often slow speeds of vehicular traffic.2 Mini-circles differ from roundabouts in that mini-circles are smaller (usually no more than 3.1 m (10 ft) in diameter) and are used in residential neighborhoods. They can easily be placed in existing intersections as part of a traffic calming scheme. The minicircles narrow the available travel path, thereby forcing motorists to slow down. Roundabouts are larger and are used at the intersection of arterial roads. The roadway follows a circular path around the roundabout but the travel path is not narrowed. Mini-circles of an intermediate size, such as 3.1 m (10 ft) in diameter, have been used mainly as speed control Figure 15-4. A traffic mini-circle used at the devices within the intersection of two local streets, such as the intersection of residential streets. one shown in Figure 15-4. A secondary objective is to reduce traffic volumes by using them as a part of a group of minicircles or other devices that slow or bar a drivers path. The following three handbook regarding minicircles have been developed: C If the objective is to reduce traffic speeds along a section of a residential street, two or more minicircles at adjacent intersections should be used. A single mini-circle will slow traffic in the immediate vicinity of the intersection, but its impacts on traffic speed will generally be confined to within approximately 120 m (400 ft) of the mini-circle.

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A mini-circle should not be installed in an intersection with a high volume of left-turn movements. Many motorists will make left turns to the left of the mini-circle. This creates conflicts with traffic approaching from the left. Mini-circles should be designed with mountable curbing on the perimeter to accommodate unusually large service vehicles.

Chicanes These are alternately placed curb extensions, parking bays, or other barriers into the street that force motorists to slow down and drive around them. The curb extensions narrow the road to one lane, with twoway operation. Chicanes are effective at reducing speeds and collisions. Installations result in loss of onstreet parking, so if parking demand is high, this measure may not be appropriate. In such situations, parking controls should be used, as discussed below. Designers should be aware that the reduced roadway width can endanger bicyclists when motorists try to overtake bicyclists while passing through the chicane or when motorists view the chicane as an obstacle course. Chokers or Bulbouts A choker (also known as a bulbout, curb bulb, nub, neckdown or gateway) is a narrowing of a street, either at an intersection or midblock, in order to reduce the width of the traveled way (see Figure 15-3). While the term usually is applied to a design which widens a sidewalk at the point of crossing, it also includes the use of islands which force traffic toward the curb while reducing the roadway width. Streets narrowed at the crosswalk reduce the distance over which pedestrians are exposed to vehicular traffic. Bulbs provide safe areas for people to walk or play, or may provide added area for landscape or gateway features, thereby improving the appearance of the neighborhood. An example of a choker on a one-way residential street is shown in Figure 15-5. Studies to date have shown that bulbouts reduce traffic volume only when they either reduce the number of lanes of travel or add friction to a considerable length of street. Curb bulbs also appear to have a significant effect on speed and can improve the safety of an intersection by providing pedestrians and drivers with an improved view of one another.
Figure 15-5. A choker (curb bulb) used on a Neighborhood residents often feel uneasy when they perceive one-way residential street.

Speed Watch and Enforcement Programs

that motorists are traveling too fast on their streets. This uneasiness can keep residents from enjoying their own surroundings as pedestrians. Speed watch programs normally include: the use of radar to check speeds of passing motorists, the recording of license plate numbers of speeding motorists, and notification of those speeding motorists as to the residential nature of the street on which they were caught speeding. Enforcement presence or follow-up is often effective. Many of the motorists speeding on residential streets live in the neighborhood themselves, so this is really a neighborhood awareness program, where neighbors participate in a process to help return their streets to a safer, more comfortable state. Speed watch programs are less successful when speeding motorists live outside the neighborhood and are cutting through. Pedestrian Secure Streets FDOT has found that seniors and children make only half of their potential walking trips due to their fear of being victims of crime. The most significant way to increase walking levels is to get more people walking. If an environment appears harsh or unfriendly, few people walk, and the lack of pedestrians

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keeps others away. Once a place appears safer and more friendly for walking, people will return to the streets. Street designers need to work as a team to create well-lit streets, to provide open landscaping, and to eliminate hiding places. The use of low shrubs to define street and sidewalk edges, to keep sitting places open and inviting, and to undertrim trees for maximum viewing are important. Walls and fences should not be built around parks and other public lands. There has been a tendency in recent years to gate streets in some neighborhoods to keep crime out. Traffic engineers are cautioned that such action may create more problems than it solves, by moving not only crime but also traffic to an adjacent neighborhood, and thus, may not be the best global solution. The solutions offered through traffic calming and other techniques appear to be more pedestrian friendly and should be explored more fully. Chapter 15 is devoted to traffic calming. Speed Humps Also known as road humps, undulations, or sleeping policemen, speed humps have undergone extensive demonstration and evaluation in Europe, Australia, and the United States. The purpose of speed humps is to promote the smooth flow of traffic at slow speeds around 32 to 40 km/h (20 to 25 mph). They are not meant to reduce vehicle speeds to 8 to 16 km/h (5 to 10 mph), as are speed bumps. The speed hump is an elongated hump with a circular-arc cross-section rising to a maximum height of 75 mm (3 inches) above the normal pavement surface and having a chord distance of 3.7 m (12 ft) in the direction of vehicular travel (see Figure 15-6). Speed humps have proven to be more effective, quieter, and safer than conventional speed bumps, and speed bumps are not recommended for street use. Humps can be effective in reducing traffic speeds to reasonable levels on local residential streets. Substantial reductions in the speeds of the fastest cars can be expected along with an 85th percentile speed of about 40 km/h (25 mph). Typical average speeds on humpequipped streets are under 32 km/h (20 mph). Although humps can be traversed safely at high speeds, most drivers will generally drive slower. Although quieter than speed bumps, the primary disadvantage to speed humps remains noise to the adjacent homeowners. Some residents find speed humps (or the warning signs) unsightly and there are complaints of motorists driving with two wheels along the gutter (and sometimes onto the sidewalk) to avoid the hump. Figure 15-6. Speed humps are intended to reduce traffic speeds to 32 to 40 km (20 to 25 Residents along the street must be aware of the advantages and miles) per hour. disadvantages of speed humps, and those living directly in front of the proposed hump location should provide written approval of the hump installation. The ITE Technical Council Committee 5B-15 has stated that the individual municipal traffic engineer should be responsible for determining the safety of the design and the criteria used for installation of speed humps, including signs and/or markings. For guidance in the design and installation of speed humps, refer to the Handbook for the Design and Application of Speed Humps - A Recommended Practice.3 Representatives from the municipality should evaluate speed humps once they have been installed by collecting speed, volume, and accident data to determine their continuing effectiveness. Stop and Yield Signs The purpose of a two-way stop sign is to assign the right-of-way at an intersection. Two-way stop signs

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are suitable for use at minor street approaches to arterials and collector streets, and when there is poor sight distance. Stop signs do not reduce speeding on local streets, except for approximately 60 m (200 ft) prior to the intersection, and are expressly prohibited for this purpose by the MUTCD. Stop signs, however, do stop vehicles at intersections, where pedestrians typically cross the street. Two-way stop signs have little to no effect on reducing traffic volumes and the results on traffic safety are mixed. Four-way stop signs are rare outside of the U.S. and Canada. They are usually intended for intersections where traffic volumes or other conditions do not warrant traffic signals (see Table 8-1) or as a stopgap measure when a signal is urgently needed, but is not yet constructed. Four-way stops are frequently requested as a speed control device, yet studies have shown that when stop signs are overused, only five to twenty percent of the motorists come to a complete stop, forty to sixty percent come to a rolling stop (below 8 km/h (5 mph)), and twenty to forty percent pass through the stop sign at speeds higher than 8 km/h (5 mph). Studies have also shown that violation rates are higher at stop signs that are placed as speed control devices. Yield signs are used to assign right-of-way between two intersecting streets without requiring traffic on the other street to come to a complete stop. In the United States, this sign is used where sight distances at the intersection of two non-arterial streets permit traffic on the controlled street to approach safely at 25 km/h (15 mph) or higher. In many countries, the sign is the standard for assigning the right of way of vehicles on an arterial street. Yield signs offer little benefit to pedestrians, since motorists generally yield only to other motor vehicles, and pedestrians must choose gaps in traffic to cross. Other Signage Signs such as CHILDREN AT PLAY, RESIDENTIAL STREET, and LOCAL ACCESS ONLY, are not standard and not generally recommended or effective for use in neighborhoods. These signs by themselves have little, if any, effect in reducing vehicle speeds or volumes. A number of more helpful measures for managing traffic in place involve warning or regulatory signs such as DO NOT ENTER, NOT A THRU STREET, DEAD END, or turn restrictions. The MUTCD and engineering judgement will serve as a guide on what to use and when. As with diverters or street closures, residents should have input into any traffic signs that will restrict their access.

The Planning Process

To be successful, a traffic calming program needs a structured planning process, community participation, and consultation with all relevant authorities. The project is undertaken in response to the needs of residents of a street, area, or the community. Residents are the main initiator of traffic calming schemes, although elected representatives or city staff can also initiate schemes. The planning process for a traffic calming scheme is complex and includes significant resident participation. In the past, skipping or skimming over parts of this process has caused schemes to fail. It is more than simply providing a technical solution to a specific traffic problem. It is an interaction between land use, transportation, resident/community needs, and preferences. Traffic calming is not, and should not be seen as, traffic management solely for the safe and efficient movement of vehicles. It is a community project where the residents and other affected people must be active participants so they become owners of the project and increase its acceptance. Three key groups should be included in the public participation process: the residents of the neighborhood, local traffic engineering and public works officials, and local elected officials. The residents of the area should have a voice in the design, function, and operation of the streets where they live, because they ultimately are the ones subjected to undesirable traffic conditions, and they must live with any restriction resulting from a traffic management program. The public works professionals of the community, including

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city planners, traffic engineers, transit officials, sanitation officials, police, firefighters, and emergency medical services, have a responsibility to identify these problems and to assist the residents in formulating alternative solutions. School officials must also be involved if a potential solution will affect their bus routing or limit teacher/parent access to their school. The elected officials ultimately will make the decisions regarding the implementation of any proposed traffic management program. For this reason, they should be involved from the onset and should be made aware of the existing problems, alternative solutions, and the final implementation plan. 1. 2. 3. 4. Identify Problems and Issues: Collect and analyze crash data, traffic volumes, streetscape, residential, neighborhood, and community problems. Establish Objectives: Specify and get agreement on the schemes aim with the residents. This step is essential in evaluating and comparing alternative schemes and their relative success. Alternate Plans: Develop a set of alternate schemes meeting the above aims. Plan Selection: Evaluate the impact of each plan, including achievement of the aims, and undesirable or unavoidable impacts. After consultation with the residents, refine the final plan, design individual traffic control measures, and develop a staged construction plan. Implementation: Undertake any additional before studies, tell the community of the work program, and of traffic detours. Often people do not appreciate what a particular device is really like on-the-road. A useful technique is to install cheap, temporary treatments so the residents can try them before proceeding with the final construction. Review: Never assume the scheme achieves the desired effect. Drivers can be very innovative and may find unexpected alternate routes. Conduct after studies to measure their effectiveness, impacts, and resident/community reaction. Change the scheme if necessary.

5.

6.

References 1. Wallwork, Michael J. Traffic Calming, Chapter 23 in The Traffic Safety Toolbox: A Primer on Traffic Safety, Institute of Trans-portation Engineers, Washington, DC, 1993. 2. Appleyard, D. Livable Streets, University of California Press, 1981. 3. Handbook for the Design and Application of Speed Humps - A Proposed Recommended Practice. Institute for Transportation Engineers, Washington, DC, 1993. Bibliography Beukers, B., P. Bosselmann, E. Deakin, W. Homburger, and P. Smith. Residential Street Design and Traffic Control, Review Draft, Institute of Transportation Engineers, Washington, DC, July 1986. Urban Street Design Workshop, The Traffic Institute, Northwestern University, Evanston, IL, May 1988. Smith, D.T. and D. Appleyard. State of the Art Report: Residential Traffic Management, Report No. RD-80/092, Federal Highway Administration, Washington, DC, December 1980.

131

APPENDIX C
TAKEN FROM

NEIGHBORHOOD TRAFFIC MANAGEMENT AND CALMING PROGRAM

8/31/98

C-1 APPENDIX C

APPENDIX C - TRAFFIC CALMING

The guidelines contained herein are taken from the Neighborhood Traffic Management and Calming Program, prepared for the City of San Buenaventura, Department of Community Services by the Engineering Division. They appear with the express permission of the Engineering Division. They should be used for guidance only until such time as formal guidelines or standards are adopted by the Department. There has been considerable research and publication of traffic calming materials since the Program was published. Interested parties should search the Internet Web for up-to-date resources using traffic+calming as keywords. Note: The Appendix C included herein was taken from the website of the City of San Buenaventura and varies slightly from the Appendix C included in the Highway Design Manual Revision 33 Chapter 25 in that no graphics are included in Figures 3-16 and 3-21.

APPENDIX C

8/31/98

NEIGHBORHOOD TRAFFIC MANAGEMENT AND CALMING PROGRAM

PREPARED BY:

CITY OF SAN BUENAVENTURA DEPARTMENT OF COMMUNITY SERVICES

Engineering Division 501 Poli Street Ventura, CA 93001

June 1997

ATTACHMENT 2 SUMMARY OF NEIGHBORHOOD TRAFFIC MANAGEMENT AND CALMING OPTIONS

2-1

ATTACHMENT 3 DETAILED DESCRIPTIONS OF NEIGHBORHOOD TRAFFIC MANAGEMENT AND CALMING OPTIONS

Higher Visibility Crosswalks

Description: The crosswalk is designed to increase driver recognition by using one of the following techniques: raising the crosswalk to a grade higher than the roadway, designing the crosswalks with paving blocks or contrasting color concrete or painting the crosswalks with "zebra" stripes between the outer boundary stripes. Higher visibility crosswalks would only be used at uncontrolled crosswalks. Some cities have tried using large "dot" markers (similar to the ones found on the internal crosswalks at the Factory Stores) or reflectorized pavement markers. At this time staff is not recommending either technique be used on residential streets. Positive Aspects: ! ! Indicates to pedestrians an acceptable or preferred crossing location. More visible to drivers then traditional crosswalks. Negative Aspects: ! ! Pedestrians may place too high a level of reliance on the ability of a crosswalk to control driver behavior. More maintenance required than with traditional crosswalks.

Neighborhood Meeting

Description: Hold a neighborhood meeting at a time and location convenient for residents to attend and express their concerns. The meeting would be used to clearly identify the issues of concern. Positive Aspects: ! ! ! Clearly identifies issues of concern. Allows all residents to air their views. Establishes clear lines of communication between City staff and residents. Negative Aspects: ! ! Meetings have to be focused on specific issues and not allowed to become a forum to address all the City's problems. Potentially time consuming if meetings are repetitious.

Police Enforcement

Description: The Police Department deploys traffic motorcycle officers to perform radar enforcement on residential streets for at least two hours a day. A priority list would be provided to the Police Department each week based on citizen requests. Positive Aspects: ! ! ! ! Visible enforcement would reduce speed. Driver awareness about speeding on residential streets and safety is increased. Program is flexible and can be tailored to suit the citizens needs. Response can be quick and effective Negative Aspects: ! Long-term benefits of speed reduction are unsubstantiated without regular periodic enforcement.

Police Presence

Description: Position a police vehicle on the street as a visible aspect of enforcement to discourage speeding. Positive Aspects: ! ! Shows an enforcement presence. May help to show vehicle speeds. Negative Aspects: ! ! Residents may quickly realize that the presence of the vehicle does not result in speeding citations. Police Department resources will be needed to deploy vehicles.

Posting 25 mph Speed Limits/Radar Warnings

Description: This option involves posting 25 mph speed limit or radar warning signs on the street to regulate the speed of traffic. Costs are typically $200 per sign installation if a pole has to be erected. Positive Aspects: ! ! Low cost installation that are popular with residents. Reduces traffic speeds if backed up with regular enforcement. Negative Aspects: ! ! High potential for violation when not enforced. Increases cost of sign maintenance.

Radar Trailer

Description: A portable radar speed meter capable of measuring vehicle speed graphically and displaying the speed of the motorist. Positive Aspects: ! ! Speeds may be reduced during short intervals where the radar trailer is located. An effective public relations and educational tool. Negative Aspects: ! ! Not an enforcement tool. Not effective on multi-lane roadways that have significant traffic volumes. In these cases there is limited ability to differentiate between more than one approaching vehicle.

Rumble Strips

Description: Dots are glued to the pavement to create a strip that causes the vehicle to rumble as it traverses through them. This causes vehicles to slow down. Each installation costs less than $500 for two approaches. Positive Aspects: ! ! ! Vehicles are slowed down by 5 mph. Driver's attention is alerted to heighten safety. Low cost installation than can easily be removed or changed. Negative Aspects: ! ! Very high level of noise pollution for adjacent residents. High maintenance is required to reattach dots to the pavement.

Narrowing Lanes

Description: Striping is used to create narrow 10 feet wide lanes. This gives drivers the feel of a narrow street that does not lend itself to high speeds. The cost vary depending on the length of street, but are not anticipated to exceed $3,000 per mile. Positive Aspects: ! ! ! Changes can be quickly implemented. The striping can be easily modified if paint is used. Speed may decrease and safety is improved through the provision of positive guidance to drivers. Negative Aspects: ! ! ! Would increase regular maintenance. Residents do not always perceive striping is an effective tool for speed reduction. Cost of resurfacing residential streets will increase.

Commercial Vehicle Restrictions

Description: After the adoption of appropriate resolution by the City Council, post commercial vehicle restrictions on signs and enforce the restrictions. Positive Aspects: ! ! Restricts commercial vehicles using the street. Reduces traffic noise speed and volumes. Negative Aspects: ! ! Requires additional maintenance of signs Requires enforcement to be effective.

Neighborhood Monitoring Program

Description: A hand-held radar gun is made available, with instructions provided by city staff, to neighborhoods to determine the amount of speeding and to determine who is speeding in the neighborhood. For example, a resident or group of residents meets with City staff in the neighborhood and instructions are given to the use of the radar gun. The resident then spends several hours registering the speed of cars passing on the street. The residents have a first hand account of whom the speeders are and how fast they are going. Positive Aspects: ! ! ! ! ! Effect on speeders is limited to within sight distance of the radar gun. May have long-term effects as neighbors become more aware of who is speeding and interact with each other in social settings. Speeds may be reduced during short intervals when the radar gun is in use. An effect public relations and educational tool. Neighbors feel they are part of the solution. Negative Aspects: ! ! Not an enforcement tool Not effective on multi-lane roadways that have significant traffic volumes. In these cases there is limited ability to differentiate between more than one approaching vehicles.

Stop Sign Reversal

Description: Two stop signs are placed at all four legged intersections in the City. The signs are placed on the lower volume approaches. If the volumes are balanced, the stop sign locations could be switched to stop the other street. The cost for switching stop signs would be less than $500. Positive Aspects: ! ! Change can be easily made. Traffic speed may be reduced in the vicinity of the stopped approaches. Negative Aspects: ! ! ! ! The speeds may increase on the unstopped approaches. There is high potential for violation of stops unless enforced periodically. Not always favorable to residents immediately adjacent to new stop sign locations. Potential for rear end accidents is increased in the short term.

Chokers

Description: Narrowing of a street at an intersection, mid-block or a segment of a street in order to reduce width of the traveled-way by construction of a wider sidewalk or landscape strip. Positive Aspects: ! ! ! ! ! Slight slowing is normally the result. Shorter pedestrian crossing distances and better motorist-pedestrian visibility of each other. Creates added streetscape area for pedestrians and/or landscaping Can discourage truck entry. Allows signs to be placed closer to drivers cone of vision. Negative Aspects: ! ! ! ! ! Potential obstacle for motorist to run into. May impede bicycle mobility and safety. May result in loss of curbside parking. Can impede legitimate truck movements. May require reworking of surface drainage.

Gateways

Description: A special entrance feature, similar to a choker, that narrows a street at the intersection in order to reduce width of the traveled-way. This is not a gate. Chokers are usually located within the block or at intersections. Gateways are considered more dramatic and provide identity to a neighborhood. The exact configuration of the gateway treatment will depend upon the location of the gateway, i.e., conflicts with driveways. Medians can also be added to street to slow turning movements and enhance the street. Positive Aspects: ! ! ! ! Creates an identity to a neighborhood. Creates added streetscape area for landscaping or monuments. Can discourage truck entry. Allows signs to be placed closer to driver's cone of vision. Negative Aspects: ! ! Can impede legitimate truck movements. Increased maintenance costs.

Intersection Channelization

Description: T-intersections are channelized so that vehicles are not traveling in a straight path. This has the effect of slowing vehicles down. Positive Aspects: ! ! Slows vehicle speeds. No significant impedance of fire and transit service. Negative Aspects: ! ! Landscaping and signing/striping maintenance will be required. Loss of on-street parking will occur.

Median Barrier

Description: A physical barrier on a non-local street which can effectively eliminate left turns from that non-local street onto a local street, and eliminate local street straight-through and left turn traffic across the non-local street. A median barrier can take many forms, ranging from a closely-spaced row of flexible delineator posts to a series of pre-cast curb sections affixed to the pavement to a temporarily-placed but immovable 3' high concrete barrier (K-Rail) to an asphalt/concrete curbed island with or without a decorative landscaping and surface treatment. Costs vary widely among those options. This device is also known as a"worm." A full median with no breaks can also be used to prohibit all left turns. Positive Aspects: ! ! ! Makes the intersection more safe by reducing the number of conflicting movements. Reduces local street volumes. Negates the possible need for future expensive traffic signal Negative Aspects: ! ! The physical barrier may shift traffic to other locations where left-turn opportunities exist. This tool may inconvenience local residents who will be forced to drive longer more circuitous paths to reach their destination.

Neckdowns

Description: Physical curb reduction of road width at intersection of read width at intersections by widening of street corner to discourage cut through traffic and to help define neighborhoods. Positive Aspects: ! ! ! May be aesthetically pleasing, if landscaped. Good for pedestrians due to shorter crossings. Can be used in multiple application. Negative Aspects: ! ! Increased Landscaping maintenance. Landscaping may cause sight distance problems.

One-Way Street(s)

Description: One or more streets designated as "one-way." Positive Aspects: ! ! ! May reduce total volume on subject street Adds vehicle capacity to a street. Safety is inherently greater on one-way segments, but care must be taken to handle intersection treatments properly. Negative Aspects: ! ! ! Can encourage increased speeds Adverse travel distance results for local residents. May shift diverted traffic to another local street.

Raised Intersections

Description: A raised plateau of roadway where roads intersect. The plateau is generally about 4" higher than the surrounding streets. This application is best for locations with high pedestrian volumes with significant safety concerns related to traffic speeds. Positive Aspects: ! ! ! ! Effective speed reduction. Aesthetically pleasing if well designed. Good pedestrian safety treatment. Can be used on higher or lower volume streets. Negative Aspects: ! ! Expensive to construct and maintain. Affects emergency vehicle response time.

Roundabout

Description: A small circular island placed in the center of an existing local street intersection, thus creating a small "roundabout". Some may also refer to this device as a traffic circle. Positive Aspects: ! ! ! ! A noticeable reduction in speeds. Reduces accident potential. Under certain conditions capacity can be increased. Can be used instead of stop signs. Negative Aspects: ! ! ! ! Required safety signing may detract from its aesthetic quality. Pedestrians and bicyclist mus adjust to less traditional crossing patterns. Some parking may be lost on approaches to accommodate vehicles' deflected paths. May increase accidents until drivers become accustomed to change.

Serpentine
Description: A narrow serpentine road is created for several hundred feet using curbs and landscaping. Positive Aspects: ! ! Reduces vehicle speeds. May reduce through traffic volumes. Negative Aspects: ! ! ! ! Increased maintenance for landscaping and pavement Significant loss of on-street parking. Most residents would have driveway affected by the type of installation. Fire and transit services would be affected.

Single Lane Slow Points

Description: A single lane slow point is created by constructing a landscaped island on side of the street. Vehicles have to slow down to go through the narrow area and to yield to oncoming traffic. Positive Aspects: ! ! Reduces vehicular speeds. No significant impedance to fire and transit services. Negative Aspects: ! ! ! Loss of on-street parking. Landscaping will have to be maintained. Potential for head-on collisions.

Speed Humps

Description: Mounds of paving material placed across a roadway for the purpose of causing motorists to reduce their operating speed while driving on the roadway. Positive Aspects: ! ! Reduces speed. Can cause traffic to shift to arterial system and no longer cut through the neighborhood. Negative Aspects: ! ! ! ! Can cause traffic to shift to parallel residential streets. Affects emergency response times Contents of vehicles can be jarred. Increase in noise adjacent to hump.

Turn Restriction Using Delineators

Description: Delineators glued to the pavement surface are used to create a barrier to prevent vehicles from making certain movement in and out of a local street. The delineators are typically placed along the centerline of the major collector street. Cost would average $500-$1,000 depending on the number of delineators used. Positive Aspects: ! ! ! Reduces through volume of traffic. Reduces rear-end and left-turn accidents at major or collector street intersection with local streets. Low cost installation that can be easily removed or changed. Negative Aspects: ! ! ! Little reduction in traffic speeds. Could potentially make it more circuitous for residents to reach their destinations. May divert traffic onto adjacent streets.

Two Lane Angled Slow Point

Description: Three islands are used to create an angled path of travel for vehicles. The effect of angling the travel path slows vehicles down. The volume of traffic may well be unaffected. The islands adjacent to the curb are typically landscaped. Positive Aspects: ! ! Slows vehicle speeds. Fire and transit vehicles are not impeded significantly. Negative Aspects: ! ! Loss of on-street parking Landscaping and signing/striping has to be regularly maintained.

Cul-de-sac

Description: Complete closure of a street either at an intersection or at a mid-block location. Positive Aspects: ! ! ! ! ! Very effective at eliminating most of the previously speeding traffic on the block. Very effective at reducing volumes. Can be landscaped for an attractive effect to convey street discontinuity. Mid-block type can be effectively used where abutting land uses change. Improved traffic safety. Negative Aspects: ! ! ! ! Can negatively affect response times for emergency service. In large neighborhoods, can shift a problem elsewhere unless a strategic pattern of cul-de-sacs are used. Can generate confusion on the part of users unless signed carefully. May inconvenience local residents.

Diagonal Diverter

Description: Barriers between diagonally opposite corners of a 4-legged intersection, thus creating two unconnected L-shaped intersections. Positive Aspects: ! ! ! ! Reduces speed. Can achieve a 20%-70% reduction in volumes. Reduces accident potential by eliminating conflicting traffic movements. Advantage over complete street closure (cul-de-sac) in that it has a lesser impact on circulation, as it actually creates no dead-end streets. Local residents and service vehicles may view this as a benefit in that their routes can be more direct. Can be attractively landscaped. Negative Aspects: ! ! In a large neighborhood, can shift problems elsewhere unless a strategic pattern of diverters is used. May inconvenience local residents who are forced to drive longer more circuitous paths to/from their homes.

Half Closures

Description: The street is partially closed to traffic by the construction of a physical barrier at the entrance to the neighborhood to reduce cut through traffic. Positive Aspects: ! ! Reduces cut through traffic. May reduce traffic speeds. Negative Aspects: ! ! May require additional maintenance. Could be violated, especially in the late evening.

Mid-Block Road Closure

Description: Cul de sacs are created by closing the street mid-block using a landscaped island. Pedestrian access is provided across the island. The closure must be located between driveways serving adjacent residences. Positive Aspects: ! ! Reduces through traffic volumes. Reduces speeds in the vicinity of the closure

Negative Aspects: ! ! ! ! ! Traffic may be diverted onto adjacent parallel streets. Maintenance of the landscaped areas will have to be provided for. Emergency access will be impeded. Local residents may be forced to drive more circuitous routes. There is loss of on-street parking.

Photo Enforcement

Description: There are two uses for photo enforcement. One use is to have a camera mounted at intersections that records the license plates of cars that run red lights. The other is a camera and radar unit located in a portable trailer installed on a public street. The radar unit determines if a car is exceeding the speed limit and the camera takes a picture of their license plate after they have passed. In both cases, through tracing the license plate number, a ticket is mailed to the vehicle owner. Positive Aspects: ! ! Once the public is aware of the photo enforcement, it is a very effective tool at eliminating red light runners and speeding traffic on the block. Cost effective, private companies will install and maintain the equipment in exchange for keeping the revenues generated by speeding tickets. Negative aspects: ! Residents may not like the "Big Brother is watching you" feeling.

HIGHWAY DESIGN MANUAL

Chapter 27 Highway Rest Areas and Roadside Parking Areas September 1, 2010

Revision 58

Contents 27.1 27.2 INTRODUCTION REST AREAS & REST AREAS WITH TOURISM INFORMATION CENTERS 27.2.1 27.2.2 27.2.3 27.2.4 27.2.5 27.2.6 27.2.7 27.2.8 27.2.9 27.2.10 27.2.11 27.3 Rest Area Policy... Rest Area Project Development Rest Area Site Design.. Rest Area Building Design... Rest Area Utilities.. Contract Drawings and Specifications... Construction Permit and Inspection Requirements. Operations Manual.... Agreements, Permits, Memorandums of Understanding... Rest Area Closure..... Applicable Codes and Standards...

Page 27-1 27-1 27-1 27-2 27-4 27-12 27-18 27-20 27-20 27-21 27-21 27-22 27-24 27-24 27-24 27-25 27-25 27-26 27-26

ROADSIDE PARKING AREAS 27.3.1 27.3.2 27.3.3 27.3.4 27.3.5 Safety Parking Areas Scenic Overlooks... Fishing Access Parking Areas... Trailhead Parking Areas.. General Design..

LIST OF EXHIBITS 27-1 27-2 Lobby Core Public Area ... Schematic Building Floor Plan ... 27-14 27-15

HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS 27.1 INTRODUCTION

27-1

There are several types of roadside facilities that provide opportunities for travelers to safely stop, rest and manage their travel needs and safely access some of the states recreational facilities. These roadside facilities include rest areas with and without tourism information centers located in the rest area building, safety parking areas which do not have any buildings, scenic overlooks, fishing access sites and trailhead parking areas. These facilities are functional and desirable elements of the complete highway facility.

27.2 REST AREAS AND REST AREAS WITH TOURISM INFORMATION CENTERS In New York State, rest areas are located on interstate highways and other controlled access freeways and are designed to provide safe, convenient facilities and travel services. Planned with consideration of alternative stopping opportunities such as private truck stops and commercial services, the rest area system provides stopping opportunities where they are most needed: in the more rural areas of the state, between large towns, and at entrances to the state or major metropolitan areas. These facilities give highway users a chance to relax, exercise their pets, plan their trip, obtain traveler information or use other services. Along with enhanced tourism, the primary benefits include reduced driver fatigue, improved safety, and refuge from adverse driving conditions. Integral parts of the highway system, rest areas are part of a comprehensive highway corridor planning and investment process. There are three objectives for the rest area portion of this chapter: Provide guidance to be used in the project scoping, design, and construction of a new rest area and for the reconstruction of existing Department rest areas. Outline the scope of work and provide guidance for the development of detailed construction plans and specifications. Describe some of the partnerships that are typically developed for each individual site and the mechanisms for formalizing those partnerships.

27.2.1 Rest Area Policy The Departments Rest Area Policy is located in the Manual of Administrative Procedures (MAP) 1.6-2. The Policy and Planning Division maintains the policy and provides statewide oversight of its implementation. The Federal Policy on rest areas is located in the Code of Federal Regulations (CFR), 23CFR 752.2(c) as well as U.S. Code, Title 23 Highways (23 U.S.C). 23 U.S.C. 111 prohibits commercial development on the Interstate system, as well as at rest areas or tourism information centers. Privatized rest areas are allowed on toll roads such as the New York State Thruway, providing motorists with food concessions, gasoline, and other merchandise. These commercialized facilities are beyond the scope of this guidance.

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HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS

27.2.2 Rest Area Project Development Proposals to construct, rehabilitate, convert or close rest areas should be consistent with the Departments policy and rest area corridor plans. A rest area project should be considered when: An existing rest area facility reaches 30 years in age, and/or water supply and waste treatment systems are in poor condition Traffic increases, including truck traffic, have resulted in overcrowded conditions at an existing rest area impacting parking and building use Security issues warrant the reconstruction of a rest area A comprehensive corridor plan has identified inadequate rest area spacing, or The planning and construction of a new interstate highway creates an opportunity A rest area project consists of site planning, design and construction of all buildings, structures, highway ingress and egress, as well as the installation of all site appurtenances and utilities. Rest areas may also be used to fulfill other defined Department needs, including Commercial Vehicle Inspection. Consistent with FHWA policy, (23 CFR 752.7) information centers may also be included at a rest area. It should also be recognized that a rest area may provide a NYSP Office for patrol use and may be called upon to serve as a temporary Incident Command Center, should the need arise. Rest area projects require the efforts of a design team with expertise in highway engineering, maintenance, architecture, building system engineering and landscape architecture. Refer to the Project Development Manual (PDM) Appendix 7 to determine the appropriate scoping and design approval document (DAD) to use for the rest area project. Typically, consultants providing architecture and other services are retained for rest area projects. The Department has also engaged the services of the New York State Office of General Services (OGS) for the design of some rest area buildings.

27.2.2.1

Project Scope Considerations

A program of the desired activities and services to be provided at the rest area needs to be developed, particularly for those affecting cost and schedule e.g.; truck inspection, parking expansion requiring right of way acquisition, connections to public sewer and water, etc. Rest Areas are unique pedestrian environments where motorists (many of whom are unfamiliar with the local area) get out of their vehicles and experience the local environment up close and on foot. Many rest areas function as gateways to the state or to specific tourism regions of the state. In fact, the rest area facility may be the initial point of contact between the traveling motorist and the State of New York. This first impression motorists receive of New York State should be positive. In many areas of the state, rest areas contribute to local and regional economic development strategies through the provision of tourism materials.
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HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS

27-3

Rest area facilities provide an opportunity to distribute information to motorists regarding attractions, accommodations, and the states many natural, cultural, historic, recreational and scenic resources. Rest areas can be used to communicate information about demonstration or pilot projects, and to showcase new technologies. Users may interact with other travelers, including auto and commercial vehicle operators, tourism providers, rest area maintenance crews and possibly the NYSP. Additionally, the rest area facility can provide real-time road conditions, weather and other types of advisories such as snow emergencies, flooding and Amber Alerts to the traveling public. By nature, rest areas are locations involving power, telecommunications space and convenient off-roadway access. Accordingly, their design should consider the extent to which they offer a desirable location for Intelligent Transportation Systems components such as traffic detectors, Closed Circuit TV (CCTV) and Weigh-In-Motion devices. ITS device installation and operations costs can be reduced considerably when utilities and space can be shared. Maintenance can be performed more safely and conveniently when devices can be located at or near the rest area. While the majority of the Departments rest area projects are reconstructions on existing sites, opportunities may arise for selection of a new site for a rest area. Locations should be consistent with the Corridor Rest Area Plans. Refer to the AASHTO Rest Area Guide for a thorough discussion on criteria that should be considered when selecting a new rest area site. Development of new sites in the median is to be avoided if left side access is proposed. AASHTOs A Policy on Geometric Design of Highways and Streets should be consulted on this issue. When right of way will need to be acquired either for an expansion of the existing site or for a new location, Regional Real Estate should be involved at the earliest point.

27.2.2.2

Project Scoping Requirements

An inter-disciplinary project team should be established at the scoping stage. Considering that rest area projects are not routine or frequently undertaken, early involvement of Regional and Main Office functional units is critical to the success of the rest area project. The Public Involvement Plan is typically very important to the timely progression of the rest area project. The Departments Rest Area Policy requires that other state agencies, local governments, and tourism groups be invited to become partners in the planning, design, construction, operation, and maintenance of rest areas. The primary partners have traditionally included the New York State Police Highway Patrol and Commercial Vehicle Enforcement Units (NYSP), the New York State Office of Children and Family Services Commission for the Blind and Visually Handicapped (for vending services as required by federal regulation pursuant to the Randolph-Sheppard Act), the Green Thumb Program to assist with Rest Area Maintenance, and various local municipal tourism providers. Other Federal and New York State agencies and private groups are clearly important to the success of the rest area project and should also be included in the design process. Depending upon the project and its location, these external stakeholders may include:
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Federal Highway Administration (FHWA) Local fire departments Local governments Local citizens or civic groups Federal Motor Carrier Safety Administration (FMCSA) New York State Department of Environmental Conservation (DEC) New York State Department of Health (DOH) New York State Office of General Services (OGS) New York State Energy Research and Development Authority (NYSERDA) New York State Empire State Development Corporation New York State Commission on Quality of Care and Advocacy for Persons with Disabilities United States Customs and Border Protection (for rest areas within 100 miles of an international border) Local utility providers The scoping process should include a thorough analysis of the proposed site, definition and analysis of the proposed site components, and design calculations to preliminarily estimate the parking needs and approximate building size. The AASHTO Guide for Development of Rest Areas on Major Arterials and Freeways (AASHTO Rest Area Guide) provides guidance on these topics. Many of the Departments existing rest area sites have right-of-way (ROW) restraints, and this may dictate many design decisions. Rest area rehabilitation projects that involve demolition of existing facilities and utilities must consider the potential for removal of asbestos and/or other hazardous materials. 27.2.3 Rest Area Site Design It is important that rest area visitors have a clear understanding of where they are expected to go for site services. In accordance with the Rest Area Policy, there will be one building constructed on the site to house all functional areas as detailed below. Site improvements shall consist of utilities for water, wastewater, electricity and telecommunications; planting, storm drainage, area lighting, fencing, on and off ramps, drives, separate parking areas for cars, trucks and buses, sidewalks, and when appropriate, commercial vehicle inspection areas. A successful, sustainable rest area site will balance preservation of scenic, environmental and cultural features of the location and surrounding area with mobility, safety, maintainability, energy conservation and economic design requirements. Designs should ensure that both natural and built portions of the rest area are accessible and usable by all people of all ages and abilities. The design of the rest area building and grounds and selection of all materials and fixtures should be done in a manner that maximizes energy efficiency and minimizes the operational and maintenance effort. Material selections shall consider the sustainability of the design choices including, but not limited to: energy costs, life expectancy, ease of maintenance and anticipated operating procedures.
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HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS 27.2.3.1 Geometry

27-5

Many of the Departments existing rest areas were designed and constructed at a time when geometric standards for horizontal and vertical alignments, sight distances, merging and diverging traffic movements were different than they currently are. The designer should undertake a thorough exploration of the geometric conditions, including the relationship of the building to the mainline, checking for non-standard features and recognize that significant changes may be necessary. Some existing rest area sites may be difficult to reconfigure; a rest area site may not be able to accommodate all the desired features. Guidance in HDM Chapter 5 in particular will be useful and should be followed. As with all other types of projects, critical design elements must be listed in the design approval document. A variety of site layouts may need to be considered along with the pros and cons of each, creating a balanced solution.

27.2.3.2

Advance Signage

Advance signage and entrance signing shall be in accordance with the current edition of the National Manual of Uniform Traffic Control Devices (MUTCD). Considerations should be made for multi-lingual guide signs on routes leading to and from the Canadian border and to the extent that this can be done without causing confusion, safety or legal concerns.

27.2.3.3

Orientation

Ideally, the building and major use area should be placed in between the car and the truck parking areas so that all motorists are within a short distance of the building. This creates separate traffic flows and parking facilities for different vehicle types and is especially important where there is heavy truck traffic. Recognizing that topographic and right-of-way (ROW) restrictions may prevent this ideal layout, the primary objective shall be to separate the parking areas while providing access to the building from a reasonable distance from both areas. The AASHTO Rest Area Guide provides information and graphic illustrations of this orientation and other orientations. The building should be oriented to take advantage of the best site amenities (e.g. views, southern exposure, slopes, etc.) The building should be located as far from the main line as possible to reduce noise. However, the optimum design scenario would allow the building to be visible from the highway. This location creates an inviting and more secure atmosphere to the traveling public. Sustainable/green building practices should be considered for any reconstruction, rehabilitation, or new rest area building, refer to Section 27.2.4 - Rest Area Building Design.

27.2.3.4

Security

The traveling public may not stop at a rest area if they are not comfortable with the environment. Security is also important to rest area staff. There are a number of factors that must be considered during preliminary design when planning for the security of a rest area. The layout
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of site features, including the parking lots, site lighting and circulation, building, vegetation and site amenities should allow for visibility into the site, as well as prevent hidden spots that could be used for criminal activity. Security cameras may be considered for inclusion when there is a need for enhanced monitoring at a particular site, however, long-term maintenance and monitoring needs should be considered. Any plans to make use of security cameras should include coordination with Main Office and Regional IT and Traffic Operations groups as well as the NYSP for both where and how to deploy the technology, and for research and evaluation of specific technologies to be purchased and deployed. The mere presence of the NYSP has proven to be an effective way to enhance security, and their presence at a facility should be noted to the public through signage and the location of police parking spaces. The Department and the NYSP have established a partnership to the benefit of both agencies. The Department will provide space in the form of an office of convenience. This office space encourages police visibility, enhances security, and provides easy access in times of emergency. Refer to Section 27.2.9 of this Chapter for information relating to occupancy agreements. To aid motorists in recognizing where they are located in an emergency, the name of the rest area shall be prominently displayed on the exterior of the building, within the interior and by any telephones inside the building.

27.2.3.5

Lighting

Adequate lighting levels are important to enhance safety for pedestrians and motorists and deter undesirable activities. Lighting systems shall be designed to provide sufficient lighting levels, while minimizing night time light pollution, glare and the amount of fugitive light escaping from the sites. Full cutoff type fixtures shall be used. Solar and other energy conserving lighting types should be considered. All parking lots shall be lit for nighttime use and security, with increased lighting in areas that will be used for truck weighing/inspection operations. Light standards should be installed with additional electric hook-ups for use during inspections and by maintenance staff. Lighting should also be provided to illuminate secluded areas on the site such as picnic areas, pet walks and fence lines. High mast lighting is not recommended. Refer to the AASHTO Rest Area Guide and AASHTOs Roadway Lighting Design Guide for recommended lighting levels of activity areas, parking areas, entrance and exit gores and interior roadways.

27.2.3.6

Grading and Drainage

Grading should be designed to accommodate and integrate the required development with as little disturbance to the site as possible. Grading and drainage should be harmonious with natural landforms and follow the direction of existing slopes and drainage patterns. Cuts and fills should be shaped to blend with existing landforms, and the revised terrain should complement the layout of parking areas and sidewalks.

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A sustainable approach to drainage would find ways to capture stormwater runoff and use it for irrigation and ground water recharge. Consideration should be made for the visual and physical integration of stormwater features into the site in an aesthetically pleasing way in addition to eliminating direct discharge to natural resources. Drainage should be designed in accordance with Chapter 8 of the Highway Design Manual. The location and drainage of snow removal storage areas must also be considered.

27.2.3.7

Landscape Architectural Elements

The creation of inviting spaces will draw travelers to utilize the rest area facility, and allow them to become more relaxed and refreshed when they return to the highway. The rest area site and facilities should contribute to the visual environment by drawing inspiration from the cultural and historic background of the region while still cost-effectively maintaining the utilitarian functions of the rest area. Opportunities to provide educational or informational kiosks and display cultural, historical, or natural resources should be explored. Rest areas are an excellent location for Department pilot or demonstration projects exploring new technologies to be studied and promoted to the public. The use of artwork and interpretive exhibits is beneficial in developing an interesting, inviting place that will encourage motorists to relax and relieve driving fatigue.

A. Planting Used collectively with site gradients and alignments, vegetation can create a positive first impression on the users of the rest area. Plant materials can be used to reinforce circulation patterns, define spaces and highlight areas of interest, screen unwanted views and emphasize desired views, landforms and other site features. Vegetation also can be used to provide shade in parking, picnic and pet areas, shelter from winter and blowing snow, and wildlife habitat. The goal of planting design and plant selection in rest areas is to provide all these functions while also providing a safe environment. The planting plan should be designed for ease of maintenance and repair and should incorporate indigenous plant species. Existing vegetation, rock outcroppings and other natural features should be conserved and highlighted. Plant location and species selection should allow for clear sight lines. Do not create hiding spaces near walkways and parking lots. Vegetation should be selected to minimize water usage and minimize mowing. A sustainable approach to landscape design can minimize or eliminate the use of potable water for landscape irrigation once plants are established. Low impact development practices such as rain gardens and bio-retention areas should be explored.

B. Hardscape The materials, shapes and textures of the elements in the rest area should reflect the native materials, shapes and textures of the region as well as life cycle costs.

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Places to rest, including benches and picnic tables, should be located in areas that are inviting, comfortable, well lit and convenient. Again, consideration must be made of the needs and abilities of users of all ages and abilities, ensuring use of facilities by all. Adequate numbers of benches, picnic tables, trash receptacles, recycling containers and cigarette disposal receptacles should be provided and located in a manner to promote use and for ease in maintenance. Items should be permanently installed and selections made with a concern for vandalism, security and ease of access. All trash receptacles shall be animal proof; bear-proof containers may be necessary in some locations. 27.2.3.8 Vehicular Circulation and Parking

Vehicular circulation patterns should be influenced by existing topography, site conditions and engineering guidelines. Vehicular circulation should be logical with clear pavement markings and parking lot delineations. Lot design must consider operational and maintenance activities such as snow plowing and snow storage. Car and truck parking lot design must be well coordinated with pedestrian movements, taking into account pedestrian access to the facilities, site amenities and pet walking areas. Parking stalls should be oriented in a manner that reduces the potential vehicle/pedestrian conflict points. The number of parking spaces provided should comply with AASHTOs Rest Area Guide. If the rest area is located on a corridor with significant truck traffic, the methodology presented in the Appendix of the Guide for Development of Rest Areas should be used to calculate truck parking. Increased enforcement of hours of service requirements for commercial vehicle drivers and greater awareness of the dangers of drowsy driving have increased the need for truck parking spaces along the highway. Parking for persons with disabilities shall be provided as per the Americans with Disabilities Act (ADA) and Architectural Barriers Act (ABA) Accessibility Guidelines (ADA and ABA Accessibility Guidelines). Diagonal, pull-through parking is recommended for trucks, recreational vehicles and vehicles with trailers. Adequate parking spaces should be provided for trucks that are taken out of service if inspection activities occur on site. Due to the number of buses traveling the interstates, bus parking spaces should be provided at all rest areas. Space limitations of the site and the physical limitations of the restrooms and wastewater disposal system limit the practical number of parking spaces to three or less, regardless of the number of buses that may travel the corridor. Bus parking should be located to allow passengers to disembark onto the building plaza area, preferably without having to enter into vehicle travel ways. Where possible, avoid locating the bus parking area within the truck parking area, due to potential conflicts with children and the elderly. Curbs are recommended around all parking lots, on approach ramps and for islands separating car and truck lots. Barrier curbs should not be used on high-speed sections of the ramps.
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Parking layouts should minimize the use of interior curbed islands and complex curved layouts and should consider ease of snow removal operations. Pavement design guidance and policy is located in the Comprehensive Pavement Design Manual. Designers must also consider the affects that large expanses of paved parking area, especially when combined with large roof expanses, can have on stormwater design. Designers may want to consider permeable pavement for parking aisles and sidewalks to reduce stormwater runoff and aid in the infiltration of groundwater. The Regional Materials Engineer should be included in these decisions. A separate fenced-in parking area to jointly accommodate NYS Police and NYSDOT maintenance staff vehicles and equipment is recommended. Vandalism of NYSP vehicles by the public has occurred in some locations. 27.2.3.9 Commercial Vehicle Inspection

Truck inspection is an essential function of the Department. Rest areas offer unique opportunities for truck inspections because of the volume of commercial vehicles traveling on the interstates. Every rest area should be considered for truck inspection activities with the exception of the designated and staffed tourism Gateway rest areas near the state borders. These rest areas are primarily designed to serve tourists, while other rest areas will accommodate truck inspections in addition to tourists and the general motorist. All rest areas with truck inspection activities should have permanently installed mainline signs (lighted when open for inspections) that are remote controlled by inspection staff through controls in or adjacent to the parking area. Radio controlled solar powered flashing signs can at some locations provide a cost effective alternate to buried electrical services. Refer to the MUTCD for guidance. Inspections generate queued and out-of service trucks that could potentially negatively affect routine rest area operations and traffic flows. The length of truck queues should not be allowed to develop to an extent that they disrupts normal circulation or back up onto ramps and shoulders. Emerging technologies like E-screening and weigh-in-motion (WIM) can reduce the number of vehicles subject to physical inspections, increase efficiency of operations, and reduce air emissions from otherwise idling trucks. These technologies should be considered for use and installation when agreed upon by the Department and the NYSP. If WIM is located at the site, there may be a second, smaller building constructed on site solely for the purposes of the WIM system. If both WIM or E-screening and truck inspections will be occurring at the site, care should be taken to coordinate the signs to avoid conflicting messages for truck drivers. If space on the rest area site allows, inspection operations work best when there is an area devoted to inspections and out of service vehicles. Commercial vehicle inspection bays should be 24 wide (1 truck parking space widths) and a minimum of 5 bays should be provided. For ease of maintenance, particularly the ability to hose off pavement surfaces, the inspection area pavement preferably should be cement concrete, rather than asphalt concrete, which is much more porous. Exterior electrical service shall be provided for truck inspections. The service shall be lockable and secure so that only authorized employees and the NYSP have access.
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27.2.3.10 Truck Stop Electrification Truck Stop Electrification (TSE) is an emerging technology that can reduce unnecessary idling by providing electricity, heating and air conditioning at truck parking spaces - everything the driver needs to allow the truck engine to be shut off and still stay comfortable for 10 hours at a time. NYSDOT, the New York State Energy Research and Development Authority (NYSERDA) and the New York State Thruway Authority (NYSTA) have supported TSE demonstration projects. TSE will yield the greatest benefits if deployed at locations that are used for long term stays. Public rest areas do not offer the amenities that truckers prefer for long term rest. Private truck stops and travel centers tend to have more parking capacity and more amenities and are more suitable for long term rest. The Department continues to support demonstration projects to help better define the appropriate technologies and trucker acceptance of them.

27.2.3.11 Pedestrian Circulation Pedestrian circulation through the rest area should be usable and effective for all ages and abilities. Pedestrian circulation routes should be located in a manner to reduce the potential for vehicle/pedestrian conflicts. Skid resistant pavement markings should be provided in areas with potential for pedestrian use. Barrier free walkways shall be provided for access to buildings, picnic areas, pet walks, and other areas of interest. They should be designed for long-term durability and ease of maintenance. Walkways shall be designed consistent with Chapter 18 of the Highway Design Manual. Note that Americans with Disability Act Accessibility Guidelines (ADAAG) for buildings and some facilities has been updated by ADA and ABA Accessibility Guidelines issued in 2004.

27.2.3.12 Picnic Areas Picnic areas should be located for users convenience and near shaded areas if possible. Picnic tables should be uniform in appearance, complementing the overall design scheme of the site. Accessible picnic tables with a paved surface underneath should be provided within 100' of the building and accessible parking spaces. There should be a minimum of four picnic tables per site and could be greater in number for sites that have high scenic quality or serve a high quantity of motorists.

27.2.3.13 Pet Walk Areas Pet walk areas for pets on leashes should be provided at all rest areas, preferably separate from high use areas. Where possible, pets and owners should be able to access pet areas without crossing travel lanes within the rest area. Signing shall be provided to indicate areas that are both appropriate and inappropriate for pets. Depending upon usage, the installation of a footpath and disposal facilities may be desirable. Supplying shaded areas is desirable for
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both pets and owners. Recognizing the ever increasing number of service animals, barrier free design principles must be incorporated for pet areas as well.

27.2.3.14 Flagpoles Flagpoles shall be provided to accommodate the American Flag, New York State Flag, and may also be used to accommodate a flag of significant regional interest.

27.2.3.15 Newspaper Vending Machines If requested by a news organization, space shall be provided for newspaper vending machines at an exterior location deemed appropriate by the Department. They shall not be placed within sidewalks or other pedestrian use area. The sale of newspapers through news racks is protected by the first amendment. Machines or stands that dispense advertising materials such as home buying or rental magazines are not permitted at rest areas.

27.2.3.16 Fencing Fencing should be installed around the rear perimeter of the rest area along the ROW boundary. There are many factors that will govern the type of fencing selected. Within the highway clear zone, highway safety standards must be met. Other considerations include building architectural styles, site context, and other site elements.

27.2.3.17 Yard Hydrant A frost resistant yard hydrant with garden hose connections should be installed adjacent to, or in the truck parking area. This hydrant is to be used to wash down the parking areas and or walkways when the need arises, and should be in addition to any hydrants supplied for fire protection or plant watering purposes. The hydrant shall be lockable and secure, so that only authorized employees and the NYSP have access to the water.

27.2.3.18 Dumpsters Dumpsters should be animal resistant, screened from public areas, fenced within an outside enclosed corral, and accessible to garbage removal trucks.

27.2.3.19 Snow Storage Areas During design, consideration should be given to the location of snow storage areas. provision of accessible, large obstacle-free areas will maximize snow removal efficiency. The

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27.2.3.20 Intelligent Transportation Systems Consideration should be given to the desirability of installing ITS devices at or in proximity to rest areas. Rest areas provide a location that may meet ITS device power, space and/or telecommunications needs. In addition, the rest area may provide a convenient location to provide off-the-roadway access to the devices for operations and maintenance purposes. Examples of devices and/or functionality to be considered include freeway traffic detectors or traffic count stations, Variable Message Signs, CCTV cameras, Highway Advisory Radio (HAR), Weigh-In-Motion (WIM) and Road Weather Information Systems. It may also be convenient to locate fiber optic cable junction boxes/hubs at or near the rest area. In some cases the standard power and telecommunications services at the rest area may not provide sufficient capabilities for ITS devices. Consideration should be given to upgrading theses systems during the design process. Section 27.2.4.10 discusses the need for considering kiosks for the provision of traveler information. Any plans to make use of ITS devices should include coordination with Main Office and Regional IT and Traffic Operations groups.

27.2.3.21 Additional Features The use of artwork and interpretive exhibits is beneficial in developing an interesting, inviting place that will encourage motorist to relax and relieve driving fatigue. Interpretive displays, educational exhibits, demonstration projects, art work, an item of historical interest, or something unique to the area are all suitable features that may be provided at Department rest areas. Interpretive displays should be coordinated through the appropriate state agency to ensure information displayed is appropriate and factual. When a portion of the rest area site is designed to remain unmowed or in a natural condition, bird nesting boxes may be an appropriate addition. The location and installation of memorials are not allowed at Department rest areas. 27.2.4 Rest Area Building Design The rest area building is the most important element of the rest area, serving as the sites focal point, a tool for providing information to travelers, and a place to relax and find refuge from inclement weather and traffic conditions. A positive image fosters a positive impression of the site and the state. When a rest area serves as a gateway to the state and is significant from a tourism standpoint, it is appropriate to have the overall architectural style of the building reflect native or local architecture and culture and make use of materials typically found in the area. There are many factors that must be considered in the architectural design of a rest area building. While rest areas may serve many purposes, e.g., place of rest and refuge, welcome center, commercial vehicle inspection facility; it must be remembered that they are intended to provide a service to motorists using the highways, and should not serve as a local park or other community facility.

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All site buildings shall integrate the concept of access for the disabled within the overall design concept of the new facility, avoiding special places based upon disabilities. This approach will assure full compliance with ADA requirements. Alternative energy sources for heating, cooling and electrical systems should be explored early in the design process. Not only will these reduce long-term operating costs, but alternative energy technology may be presented effectively to the public in educational displays. Methods of heating and water treatment types and equipment can vary widely and can have substantial impacts upon the size of mechanical areas within the building. These also can have significant impacts upon the types of activities needed to operate and maintain the building. Proposed systems should be carefully evaluated for long term cost and maintenance implications. Building design and material selection shall be accomplished with full consideration of maintenance implications, energy conservation, state and local building codes, the interaction of all components, and projected life expectancy. On June 10, 2001, Executive Order No. 111 was signed, "Directing State Agencies, State Authorities, and Other Affected Entities to be More Energy Efficient and Environmentally Aware. This Executive Order continues New York's leadership as one of the most aggressive states in the union for addressing issues such as energy efficiency, renewable energy and green building practices. As part of this Order, the Governor mandates the implementation of 1) new energy efficiency goals, and 2) state buildings energy efficiency practices. These apply to existing and new buildings and substantial renovation of existing buildings. The Executive Order identified the New York State Energy Research and Development Authority (NYSERDA) as the organization responsible for coordinating and assisting agencies and other affected entities with their responsibilities. The design of new rest area buildings should comply with Executive Order 111 and will utilize green and energy efficient principles and techniques as delineated in Energy Star and Leadership in Energy and Environmental Design (LEED) standards. In addition, on August 26, 2009, the State Green Building Construction Act was signed into law. This act requires that the construction and substantial renovation of state buildings comply with "green" building standards established by the office of general services. The new green building requirements take effect on August 26, 2010. As of the date of this document, rules and regulations establishing construction requirements and necessary procedures has not been finalized. Project managers should request the project architect to research and follow any regulations that may be in place. Considering the programmatic requirements of a rest area building, it is estimated that the building size will typically fall within a range of 5,000 to 6,000 square feet. Variations will be based upon the need to accommodate differing numbers of toilets and sinks to accommodate traffic levels, the amount of space allocated to the NYSP and whether or not the site will have tourism staff.

27.2.4.1 Lobby The lobby shall be the core of the public areas of the building with the other functional areas (e.g., restrooms, vending, tourist information, NYSP) located around this core. The lobby shall
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be approximately 1000 sq ft. It shall be capable of accommodating overall circulation, interactive kiosks, drinking fountains, a tourism area and brochure distribution area. The lobby shall be climate-controlled with an enclosed vestibule entrance from both the car parking area and from the truck parking area. The relationship of the core lobby to the other functional areas is shown in Exhibit 27-1. The provision of multi-lingual-lingual signs for the facilities within the rest area should be considered for corridors likely to serve significant numbers of non-English speaking passengers. Refer to 27.2.3.21 Additional Features for a discussion on the inclusion of interpretive displays, artwork, etc. If security cameras will be installed in the lobby, it is recommended to provide signage within the lobby area alerting the public to this. This can assist in the deterrent effect of the cameras.

Exhibit 27-1 Lobby- Core Public Area

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` 27.2.4.2

Restrooms

Restrooms shall be climate controlled and accessible through the lobby. The number of toilet fixtures should be based upon the formulas in the AASHTO Rest Area Guide and as required by the New York State Uniform Fire Prevention and Building Code. Rest rooms should be dividable to allow cleaning without closing the facility with either a swing or split facilities. A swing restroom is located between the mens and womens restrooms and provides an opportunity to expand a particular area if traffic demands it, and assures that at any given time, there are always both mens and womens restroom facilities available to the public. Split rest room facilities allow for partial closure of both the womens and mens room facilities during periods of reduced traffic or to facilitate cleaning and maintenance. Direct access should be provided for the janitorial staff from the maintenance area to the restrooms. The relationship of
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the restrooms to the lobby and maintenance areas is illustrated in Exhibit 27-2, Schematic Building Floor Plan. There should be at least one assisted use or family restroom located conveniently to the lobby. Clearly, the design of all restrooms, not just the family rest room, must be compliant with ADAAG. Open access rest rooms (no doors) eliminate the need for electronic door openers. Restrooms shall be equipped with hot (anti-scald device) and cold running water, diaperchanging stations (in both mens and womens), lockable hose bib, floor drains (at least one in front of the stalls), hand dryers, at least one paper towel dispenser located near the diaper changing station, trash containers near to the paper towel dispensers, and a lockable electrical outlet. The assisted use or family restroom shall contain one toilet, one sink with hot and cold water, one hand dryer, one soap dispenser, one mirror, one diaper-changing station, a floor drain, lockable hose bib, and a lockable electrical outlet. A privacy curtain to screen off the toilet area should be installed.

27.2.4.3

Telephones

With increased cell phone use, the need for numerous pay phones has decreased significantly. Regardless, each rest area lobby shall be equipped with one pay phone in addition to an emergency telephone with direct access to the NYSP or 911.

27.2.4.4

Vending Machine Areas

As required under the Randolph-Sheppard Act, rest area vending is to be operated by the New York State Office of Children and Family Services Commission for the Blind and Visually Handicapped. As specified in the Memorandum of Understanding (MOU) between NYSDOT and the Commission for the Blind and Visually Handicapped, a vending area suitable for up to six food/beverage machines, a change machine, small counter top and a trash container shall be located adjacent to the central lobby area. The area shall not be located directly in the lobby. The amount of space needed is approximately 220 sq ft. A small sign should be placed on the vending machines indicating that some of the profits benefit blind residents of the state. It may be desirable to provide a small vending stock room in the proximity of the vending area. The decision to provide the stock room should be made with an understanding of how the vending machines will be maintained. If the decision is made to provide the stock room, it shall be sized to accommodate reasonable storage shelving and a trash container.

27.2.4.5

Maintenance Work Areas

A maintenance staff work area will provide working space for caretakers of the facility. A room, approximately 250 sq ft should be available for breaks, lunch and protection from the elements. It should be equipped with lockers, and have a sink, refrigerator and a microwave oven. Storage space for towels, toilet paper, cleaning products, and a slop tub is needed for maintenance of the rest area facility. This maintenance storage/work space should be
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accessible from the Restrooms. A rest area in a remote location may dictate less frequent deliveries and have greater storage needs. All equipment for lawn mowing, sidewalk snow removal, or truck inspection activities shall either be stored in the interior maintenance storage area or under cover outside in the enclosed corral. As provided in the Rest Area Policy, there shall be no separate, exterior storage facilities. Lockable storage should be considered during design. Securable storage for flammable liquids with an automatic foam extinguisher system should be provided.

27.2.4.6

Commercial Vehicle Inspection Area

At rest areas where it has been determined that inspection activities will be occurring, space will be provided for the NYSDOT Commercial Vehicle Inspection personnel. This space may be combined with the maintenance work areas or with the NYSP space on an occasional basis.

27.2.4.7

Exterior Corral Area

An exterior corral directly adjacent to the building shall be provided for dumpster(s), emergency generator, air-conditioning condensers, and miscellaneous equipment. Considerations should be made to visually screen the area from the parking area and pedestrian paths in a manner that does not inhibit maintenance access.

27.2.4.8

Map Display and Brochure Rack

Each rest area shall have a wall mounted New York State Map. If there is not a designated tourist information facility located in the rest area, brochure racks for the dissemination of I Love NY information and NYSDOT informational brochures shall be installed.

27.2.4.9

Memorials

The location and installation of memorials either within or outside the building are not allowed at Department Rest Areas. A public rest room facility is not an appropriate location for a memorial. Approval of one request for a memorial could lead to multiple requests which could not be accommodated without detriment to the facility.

27.2.4.10 Motorist Information Access to real-time traffic reports, road conditions, weather, public information and tourism information is extremely beneficial to motorists. Interactive kiosks with access to 511NY the Departments Travel and Traffic information source and/or televisions with cable news and weather should be installed in the rest area lobby or tourism information space. Wi-Fi access is provided in rest areas in some other states. There are several factors to be considered with its
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installation, including a prohibition against commercial activities at rest areas, potential undesirable use, and increased visit time, straining capacity of the rest area. Any considerations for this service must involve the Main Office Property Management Bureau. 27.2.4.11 Tourism Office If it has been determined in the rest area corridor plan that the rest area would be suitable for a staffed tourist information facility, the arrangement for the provision of tourist information materials should be made in the preliminary stages of the project. A competitive Request for Proposal process should be used to arrange for staffing. Potential vendors include local chambers, private companies or nonprofits. Typical facilities to be provided by NYSDOT include provision of approximately 150 sq ft for a tourism booth with brochure racks and counter for staff person/motorist interface and approximately 120 sq ft for storage of materials. Kiosks with access to reservation systems and brochure displays should also be located in general lobby space. Refer to Section 27.2.9 of this Chapter for information relating to occupancy agreements.

27.2.4.12 State Police Office Where provided for occasional police use, approximately 250 sq. ft. of space is needed for an Office of Convenience. Such facilities should be provided at all new and reconstructed rest areas where the NYSP will commit to regular use. There should be close coordination with the NYSP throughout the design of the building. Standard design requirements include the following: Bullet proof glass shall be specified for all designs in the NYSP facility. A separate exterior entrance with one way glazed panel should be provided for the NYSP in addition to a doorway directly off the lobby. The doorway from the lobby should have the NYSP seal or other signage identifying it. The exterior entrance should be less conspicuous to avoid being mistaken for a public entrance to the building. Refer to Section 27.2.9 of this Chapter for information relating to occupancy agreements. 27.2.5 Rest Area Utilities When possible, connections to locally provided water and sewer services must be considered unless they are not readily available. Well water systems installed at rest areas are regulated by the state and local Health Departments and are subject to a variety of routine (daily) and periodic testing, must have a disinfection system and must be run by a certified operator. Septic systems have often proved unreliable at rest areas due to uneven loading; package or mechanical systems require employment of a certified operator; other types of systems have various environmental, regulatory and visual effects that have operational and cost implications. Designers should become familiar with the local utility providers and all their required construction standards. Unobtrusive placement of meters, generators, and utility appurtenances (e.g. transformers) should be considered as early as possible, as overall aesthetics and ROW requirements may be affected. Early coordination with the Regional Utility Engineer is recommended.
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Water supply systems must comply with the State and local Departments of Health requirements for wells, treatment, and construction standards. Typically, the potable domestic water supply system must provide for peak demands. Where wells are used, the system shall include two wells (minimum) chlorination facilities or other acceptable disinfecting methods, minimum pressure (through local distribution system or by hydro-pneumatic pressure tank); backflow prevention; filtration, and depending on water quality, treatment. Hydro-pneumatic tanks that are below grade are considered "confined space" under Occupational Health and Safety (OSHA) regulations and to avoid this, should be accessible above grade and in a building.

27.2.5.2

Waste Water System

Plans and specifications must satisfy the local NYSDOH and depending upon permit volumes, must satisfy NYSDEC State Pollutant Discharge Elimination System (SPDES) permit requirements.

27.2.5.3

Electrical Systems

Electrical controls and breakers should be located in the maintenance work area. Design should include enough circuits for individual room controls and separate controls for exterior lighting. Interior lights should be accessible for maintenance workers and utilize standard fixtures and bulbs that are available under state contract. If ITS devices are to be installed in conjunction with the rest area then the electrical system will need to consider their needs. Rest areas are a refuge for motorists during all weather conditions and should have the capacity to remain open and operating. An emergency generator that is capable of providing a lighted (and heated in winter) facility shall be installed at the rest area to keep the facility open for public use during power outages. The generator shall be a permanent installation with an automatic transfer switch.

27.2.5.4

Telephone Service

Telephone service is to be provided by a local carrier in the designated location in the rest area. The local telephone service provider is responsible for installing the system as well as for determining ADAAG requirements. Typically, the responsibility of maintaining the telephone service belongs to NYSDOT. See also Section 27.2.4.3 Telephones If ITS devices are to be installed in conjunction with the rest area then the electrical system will need to consider their needs.

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27.2.5.5

The installation of interactive tourism kiosks, kiosks for 511NY, and television monitors for cable news and weather will require appropriate services to provide internet access, and satellite or cable television. 27.2.6 Contract Drawings and Specifications New York States Wicks Law requires that rest area building project contracts be let in the individual areas of trade responsibility (i.e., Plumbing; Electrical; Heating, Ventilating, and Air Conditioning; and General Construction). Chapter 21 of the Highway Design Manual provides guidance on this issue. Due to the separate contracts, coordination between contractors is critical. In addition to work plan requirements discussed in Chapter 21, due to Wicks Law, Critical Path Method (CPM) scheduling shall be employed, per Engineering Instruction (EI 04-043). To assist in coordination, job meetings scheduled by the architects site representative and the Engineer in Charge (EIC) are recommended to be held every two weeks.

27.2.7 Construction Permit and Inspection Requirements

27.2.7.1

General

The construction of a rest area building is very different from the typical highway project. Therefore, it is recommended that the project architect be retained to provide a full time site representative to work with the EIC. The site representative will identify building construction issues as they arise and work with the EIC to resolve them. As with any project, any deviations from or revisions to plans must be discussed with the designer of record.

27.2.7.2

NYS Office of General Services Requirements

Rest area buildings require a construction permit issued through the NYS Office of General Services (OGS). This can be accomplished in one of two ways:

A. Submission of four sets of plans, an application form, a design certification form BDC 401 from the Departments consultant, and the required fee to the OGS Codes and Permits Unit. OGS will review the plans, issue a construction permit, and will assign the project to an OGS regional representative for inspection during construction.

B. The Department may have the plan review performed by a Registered Architect or Professional Engineer (Department consultant). This requires the Department to submit
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two sets of plans, a design certification form BDC 403 with the Architects or Engineers seal, a completed application form, and the required fee to OGS. OGS will issue a construction permit and then arrange for construction inspection by an OGS regional representative. 27.2.8 Operations Manual The project designer should prepare and submit to the Department at least three copies of an Operations and Maintenance Manual. At least one copy should be retained at the rest area, with others stored at the county residency. The manual should include record drawings from each contract, shop drawings and catalog cuts for all facilities constructed, operating procedures and equipment maintenance books for all major mechanical, electrical, water and wastewater equipment and be organized in the format as bid. Also included should be copies of all permits, and a list of emergency contacts.

27.2.9 Agreements, Permits, Memorandums of Understanding (MOUs) Any state or local organization occupying space in one of the Departments rest areas must do so under a Memorandum of Understanding (MOU) or through a Use and Occupancy Permit or other agreement as determined by NYSDOT Real Estate Property Management and Legal Affairs. The following are brief descriptions of the various groups that may occupy space within the Departments rest areas and the type of agreements.

27.2.9.1

New York State Police

A statewide MOU was signed 7/12/95 between DOT and NYSP. This MOU spells out responsibilities of each party. Schedule A of the MOU lists each rest area and is updated by the NYSP when they occupy a rest area. A copy of this MOU may be obtained from Main Office Property Management Bureau.

27.2.9.2

Vending Machines

A statewide MOU was signed by DOT and the Commission for the Blind. This MOU permits up to six machines at new rest areas (2 cold beverage, one candy/snack/pastry, one hot drink, one ice cream, and one hot choice food. Transportation Maintenance Division has the original agreement. The Commission for the Blind is responsible for updating the agreement with Main Office DOT as each rest area is changed/added.

27.2.9.3

Tourism Organizations

Tourism information services may be obtained in several ways. When no local organization is interested in providing this service and the Department has determined that this use is appropriate for the rest area, provision of the service may be put out for competitive bid. In this
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case, the permittee has the right to charge advertisers a nominal fee for dispensing of brochures for various attractions and services, except for information provided by NYS Empire State Development. No fees shall be charged to the public for any information provided. In this instance, a Use and Occupancy Permit is issued by Regional Real Estate. When a local chamber of commerce or tourism office will be providing tourism information, the Region may issue a permit (waiving the annual fee). This permit should include clearly spelled out terms of service. This agreement/permit should be developed by the Regional Real Estate Officer. Examples of agreements/permits are available from the Main Office Property Management Bureau.

27.2.10

Rest Area Closure

27.2.10.1 Permanent Closure

As part of the development of the rest area corridor plans, existing Department rest areas may be identified as suitable for closure and elimination from the statewide system. These may include antiquated facilities with failing septic and water systems that due to fiscal limitations and redundancy along the system can be eliminated while still meeting AASHTO spacing guidelines and providing services at nearby facilities. The decision to close a rest area should be coordinated with external stakeholders, including state, county and local officials, and other interested groups such as the American Trucking Association. The Departments Rest Area Policy precludes constructing new parking areas on limited access highways. However, there are many locations where there are documented shortages of parking spaces for commercial vehicles along several highway corridors. In these instances, it may be advantageous to consider conversion of the closed rest area site to a parking facility primarily for use by commercial vehicles. This decision should be made only after discussion with input from a wide variety of program areas, including Regional Traffic, Regional Operations/Resident Engineer, Main Office Policy and Planning, among others. A maintenance plan should be developed and agreed upon. Conversion of the site to a parking area must include removal of the existing rest area building and the removal or appropriate abandonment of septic and sanitary systems, utilities, drainage features, and other appurtenances.

The Regional Director will prepare a recommendation for closure, with supporting documentation summarizing stakeholder input, recommendations from the rest area corridor plan, input from affected Department units and other affected governmental agencies. A specific plan to accomplish the closure must be included. The on site work necessary to complete a rest area closure includes: The removal of buildings and pavements and the removal or appropriate abandonment of septic and sanitary systems, utilities, drainage features, and other appurtenances.

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27-23

Grading, seeding, planting and any other work required to blend the site with its setting and to make it evident that the rest area is closed.

The Region will send the recommendation package to the Office of Policy, Planning and Performance with a copy to the Landscape Architecture Bureau where it will be reviewed by both organizations for completeness, statewide consistency and compliance with this guidance and FHWA policy as described in Federal Aid Policy Guide NS23CFR 752 Non-Regulatory Supplement. Recommendations for approval of the closure proposal will be obtained from the Deputy Commissioner for Policy and Planning, the Chief Engineer, Director of the Operations Division, and Chief Administrative Officer, and submitted to the Executive Deputy Commissioner for approval. Upon approval, the Office of Policy, Planning and Performance will prepare and submit the approved closure recommendation to FHWA for their concurrence. Work necessary to eliminate a rest area includes the removal of buildings and removal and abandonment of septic and sanitary systems, utilities, drainage features and other site appurtenances. Unless the site is to be converted to a parking area, all pavements shall be removed. Grading, seeding and any other work required to blend the site into the surrounding area and discourage use shall be included. Highway signage must be modified to alert motorists to the closure, including changed driving distances to the next facility and ultimately removed when determined appropriate.

27.2.10.2 Temporary Closure There may be periodic need for temporary rest area closures. Failure of sanitary or water systems, or lack of staffing due to budgetary constraints or other issues may require a nonpermanent closure of a rest area. As with a permanent closure, external stakeholders, including state, county and local officials, and other interested groups such as the American Trucking Association should be notified. Any contracts for cleaning, staffing or security services will need to be reviewed and adjusted accordingly and involved groups notified. This may require a reassignment or an elimination of forces. The building will need to be secured and vending machines removed by the owner. With temporary closures, the Region will continue to provide lighting and heating/air conditioning to prevent frozen pipes/mold. Closed rest areas will have gates and be plowed to allow continued use for staff monitoring and truck inspections. Highway signage must be modified to alert motorists to the closure,

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HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS Applicable Codes and Standards

27.2.11

NYSDOT Rest Area Policy - MAP Code 1.6-2 AASHTO Guide for the Development of Rest Areas on Major Arterials and Freeways AASHTO A Policy on Geometric Design for Highways and Streets New York State Uniform Fire Prevention and Building Code Americans with Disabilities Act (ADA) and Architectural Barriers Act (ABA) Accessibility Guidelines (2004) ADA Accessibility Guidelines (ADAAG) (1991, as amended through 2002) NYSDOT Environmental Procedures Manual 23 CFR 752 Federal Aid Policy Guide NS23CFR 752 Non-Regulatory Supplement MUTCD

27.3 ROADSIDE PARKING AREAS Similar to rest areas, roadside parking areas are functional and important elements of the complete highway facility. Roadside parking areas exist on other than limited access highways and provide an opportunity for vehicles to park off the highway and to exit and enter the highway with relative safety. The areas should always be designed for motorists to safely leave their vehicles to rest, walk around and/or to take advantage of scenic vistas. They may also be constructed to provide fishing access and safe parking and access to recreational trails. All parking areas should provide accessible parking spaces in the proportions indicated in the Americans with Disabilities Act (ADA) and Architectural Barriers Act (ABA) Accessibility Guidelines. In some cases, a roadside parking area may fulfill several of the above functions. For example, a safety parking area may also provide an outstanding view of the surrounding landscape from the parking area. A fishing access site may be an appropriate place for a motorist to safely pull off the highway and rest for a few minutes.

27.3.1 Safety Parking Areas These parking areas are intended to provide motorists a place to safely pull off the highway and take a short break from driving, use a cell phone, or stop during inclement weather. Intended for short duration stays, facilities are not provided, although some Regions may opt to provide picnic tables or trash receptacles. State regulations (17NYCRR Chapter IV, Part 156) prohibit parking for more than three hours at night, although there are exceptions for commercial vehicle drivers. The regulations also prohibit use of the parking area or scenic overlook as a park and ride, camping, active recreation or local picnic grounds.

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HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS 27.3.2 Scenic Overlooks

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These parking areas provide motorists an opportunity to safely pull off the highway to stop and take in an outstanding view. Scenic overlooks are intended for very short duration stays; places to take a photo and continue on down the highway. Scenic overlooks are only located where outstanding views and scenery exist and can be taken advantage of. Any scenic overlooks located on a New York State Scenic Byway should be coordinated with the byway management organization for that byway. In addition, Regional Scenic Byway Coordinators should be contacted for a copy of the Byways Corridor management Plan. In general, scenic overlooks should be in full view of the highway and sight distance, grading and the relationship to any residential properties must be considered. Sites on or adjacent to developed property or property where development is anticipated should be avoided. Scenic overlooks should be designed for the short term use of tourist vehicles. Generally, the accommodation of 5-7 cars is sufficient, although some locations with higher traffic volumes may accommodate more vehicles. Depending upon the location, there should be some consideration for space for longer vehicles (cars with trailers, recreational vehicles and buses). Adequate space should be available to for earth mounding and planting to minimize the visual impact of larger facilities. Placement of an interpretive sign or other information highlighting the significance of the site is appropriate. Picnic tables or other furnishings encouraging long visits should not be provided.

27.3.3 Fishing Access Parking Areas Fishing access parking areas or fishing access sites allow for motorists to pull safely off of the highway to park their vehicles and gain access to rivers and streams where the Department of Environmental Conservation (NYSDEC) has acquired public fishing access rights on private lands and to state-owned lands where formally designated launches or fishing access sites have been approved as part of an adopted unit management plan. In some instances, these areas may be improved with universally accessible trails and fishing access sites. Fishing and car-top boating access sites may occur within the state highway right-of-way or may occur on municipal or private lands by easement. Recreational boating may also occur from these locations. Fishing access parking may be provided where the highway is adjacent to a public fishing stream and where access to the stream can be obtained without crossing private property. A small dock with sufficient depth to it will improve the ability to launch boats and canoes. Consideration of these facilities is best coordinated with NYSDEC in the preliminary design stage. Discussions should include the need for an agreement for litter removal and other maintenance responsibilities. Fishing access parking areas should be designed for long term (day long or overnight) parking. Parking space should be provided, where appropriate and possible, for recreational vehicles and vehicles with camping or small boat trailers. However, where space is limited, providing a safe place to park for even a few cars may be appropriate. The ADA requires, among other things, that newly constructed and altered State and local government facilities and places of public accommodation be readily accessible to and usable
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HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS

by individuals with disabilities. Recreation facilities are among the types of facilities covered by titles II and III of the ADA. Refer to ADA Accessibility Guidelines (ADAAG) for Recreation Facilities for guidance. 27.3.4 Trailhead Parking Areas Trailhead parking areas allow motorists to pull safely off of the highway to park their vehicles and to gain access to nearby hiking, biking, skiing, snowmobiling or horse trails. Where such trailhead parking areas involve hiking, biking, horse, or snowmobile trails on the State Forest Preserve, NYSDEC (and APA within the Adirondack Park) must be involved to determine whether the size and location of these parking areas are in conformance with guidelines and criteria of the State Land Master Plan and the lands capacity to withstand use. New or expanded trailhead parking areas may be provided when requested and approved by the Department of Environmental Conservation, the Adirondack Park Agency, or The New York State Canal Corp., (and possibly local sponsors) but only where all safety consideration can be met. Similar to fishing access parking areas, trailhead parking areas should be designed for long term parking. Parking space should be provided, where appropriate and possible, for recreational vehicles and vehicles with camping trailers.

27.3.5 General Design When the need for rehabilitation or new construction has been identified, the following shall apply: Typically, roadside parking areas are on two lane highways and they should be designed to accommodate vehicles entering from both directions. Regardless of the type of facility or intended use, entrance and exit drives shall meet the driveway standards for that highway. Where feasible, the designs should not preclude emergency use by commercial vehicles. Parking may be either parallel or angle, depending on the design requirements at any given site. Parallel parking accommodates passenger cars, cars with trailers and trucks and is generally recommended for most situations. Where parallel parking is provided and walking facilities are provided, some of the spaces will need to conform to the requirements in R308.2 of the draft Public Rights of Way Accessibility Guidelines. At certain sites, 90 degree angle parking is necessary to accommodate two-way traffic where space is limited. The design should provide for both passenger car and truck parking in safety parking areas. A minimum of 5 parking spaces should be provided in a new facility. Parking stalls, although they do not need to be striped, should be provided for cars at 10 ft x 20 ft and for trucks at 12 ft x 60 ft. Pavement shall be of a type determined as adequate for the anticipated traffic. In some locations the use of more permeable pavements may be preferable. Pavement design guidance and policy is located in the Comprehensive Pavement Design Manual. At a minimum, entrance/exit drives of safety parking areas that are built and maintained by the Department shall be paved.

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Many of the Departments existing parking areas are 40-50 years in age, with naturalized vegetation. Efforts to rehabilitate a parking area should include an evaluation of the existing native vegetation and where appropriate, incorporate it into the plans for site restoration. The site plantings should be designed for ease of mowing, maintenance and repair. Existing vegetation, rock outcroppings and other natural features should be conserved and highlighted as focal points within the site. Plant location and species selection should allow for clear sight lines. Interpretive displays may be appropriate, particularly when the parking facility is located alongside a designated scenic byway or when there are local environmental, ecological or historic features that would benefit from being interpreted. Parking areas may also b e appropriate locations for historic site markers. Although historic markers are no longer funded by State Museum appropriations, information on past markers continues to serve as a database for research, marker replacement, and tourism development. The Office of Cultural Education at the New York State Museum should be contacted to erect new markers. Existing markers may already be located at parking areas and may be replaced when a rehabilitation project is undertaken by the Department. For additional background and information visit http://www.nysm.nysed.gov/services/marker/srvmarker.html Any interpretive signs located on a scenic byway should be coordinated with the byway management organization. Contact information may be obtained from the Regional Scenic Byway Contact or from the Departments Scenic Byways website. Signs to be located on roadways that are not designated scenic byways should be coordinated with local community or advocacy organizations. Displays should interpret the features being viewed to inform and educate the public. The location and installation of memorials are not allowed at Department roadside parking areas. Fencing, curbing, lighting, guiderail, drainage, clearing or selective thinning, erosion control or planting, as well as other necessary work, should be included as appropriate. Signing should be as shown in the Manual of Uniform Traffic Control Devices (MUTCD).

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To:

New York State Department of Transportation

ENGINEERING INSTRUCTION
Title:

EI
04-015

HIGHWAY DESIGN MANUAL CHAPTER 13, APPENDIX 13C PAVEMENT RESTORATION DETAILS
Approved:

Distribution: 9 Manufacturers (18) : Local Govt. (31) : Agencies (32)

9 Surveyors (33) : Consultants (34) : Contractors (39) 9 ____________(

/s/ P. J. Clark
)
Philip J. Clark, P.E. Deputy Chief Engineer, Design

03/15/04
Date

ADMINISTRATIVE INFORMATION:

Effective Date. This Engineering Instruction (EI) is effective immediately. Superceded Issuances. None. Disposition of Issued Material. The guidance transmitted with this EI will be incorporated into a future revision of Chapter 13 of the Highway Design Manual (HDM).

PURPOSE: The purpose of this EI is to update Appendix 13C to include pavement restoration details. TECHNICAL INFORMATION: There is a wide variety of situations that may be encountered for any given

utility excavation in highway pavement. Pavement structure, size and type of excavation, proximity of cuts with respect to joints, and backfill options are among the many variables. To the extent practicable, drawings 7, 8, 9, and 10 address the latest pavement designs and excavation/repair techniques such that repair options for all pertinent situations are covered. For ease of reference, the Backfill and Pavement Structure Replacement Details are organized as follows. Drawing 7 Full-Depth Repair of Utility Cuts in Existing PCC Pavement Drawing 8 Full-Depth Repair of Utility Cuts in Existing HMA Pavement Drawing 9 For Utility Keyhole and Bellhole Cutouts Drawing 10 Controlled Low Strength Material (CLSM) Backfill at Existing Utilities

The technical notes within each of these drawings have been further categorized by field operation (i.e., Pavement Cut, Backfill, Compaction, and Pavement Structure Replacement). Implementation of this EI will result in no additional cost to the Department.
IMPLEMENTATION: Utility owners and their contractors are directed to perform pavement restorations in

accordance with this EI, effective immediately.

TRANSMITTED MATERIALS: Materials used in the implementation of this EI are as follow:

Text revisions to HDM Chapter 13, Appendix 13C. HDM Chapter 13, Appendix 13C, Drawings 7, 8, 9, and 10 (replacements for existing Drawings 7 and 8).

EI 04-015 Page 2 of 2
The Departments main objective with regard to post-construction roadway cuts and excavations is to preserve the pavement in its optimal condition throughout its design life. This is best served by allowing no cuts in the pavement. This is not a viable option, however, since the overall interest of the public requires that utility companies be allowed to occasionally install new lines or to access existing lines below the pavement. Consequently, minimizing the number and size of pavement cuts is of primary importance. The use of excavation and replacement techniques that minimize soil disturbance or provide proper compaction with minimal effort is also highly encouraged. Quality repair details are the key feature for restoring pavement structure so it can function as intended for its design life.
BACKGROUND:

In recent years, there have been significant changes in the structure and composition of highway pavements. Superpave, asphalt- and cement-treated permeable bases, and Controlled Low Strength Material (CLSM) are just a few examples of new technologies associated with highway pavements. Improvements have also been made by the utility industry in terms of excavation techniques. Excavations, in the past, would have required the use of a backhoe can now be accomplished by use of vacuum excavation or other means. These methods allow for a much smaller and less extensive repair, thereby lending support to the Departments goal of preserving the integrity of the pavement and furthering the goal of minimizing disruptions to motorists during the repair. The changes in pavement composition and excavation technology, as described above, have made existing Drawings 7 and 8 in the Bluebook obsolete. The details and notes assembled on replacement Drawings 7, 8 9, and 10 of this EI are intended to promote the least invasive operations by encouraging minimum-size cuts, use of self-compacting backfill, and allowing new excavation technologies. The details cover the latest pavement designs as well as older designs, showing treatments appropriate for the in-place pavement materials, and the type and size of the pavement cut. These changes are offered for the ultimate benefit of the public with mutual benefit to DOT and utility companies --- striving to minimize the need to restrict traffic for repeat repairs of the pavement structure while reestablishing pavement integrity for its remaining structural life and permitting timely utility repairs.
REFERENCES: NYSDOT Comprehensive Pavement Design Manual. CONTACT: Direct questions regarding this EI to Michael Mariotti of the Design Quality Assurance Bureau

at (518) 485-8960 (e-mail mmariotti@dot.state.ny.us).

Note: Users of the HDM should file this page in HDM Appendix 13C after page 6, and the attached drawings 7, 8, 9, and 10 after page 22. Make the following changes to the Highway Design Manual: Chapter 13, Appendix 13C, Section 3.03.02 (page 6) delete Section 3.03.02 and replace with: 3.03.02 Pavement and shoulder removal shall be done in a manner that provides for proper restoration of the replacement sections. Generally, straight, vertical cuts of the pavement and shoulder will be required. Sheeting may be required (see 4.10 Sheeting). Permittee shall follow NYSDOT Standard Specifications for materials and method of repair (see Dwgs No. 7 - 10). Pavement that becomes undermined shall be cut back and removed. Alternative repair methods may be used if prior approval is granted by the Region. There are generally two conditions of PCC pavements that may be encountered: new PCC designs and older PCC designs. The notes for PCC pavement replacement in Drawings 7 and 9 have been subdivided to make a distinction between the two. The distinction lies in the fact that the restoration requirements for new pavements, identified by their short panels (6.1 m and less in length), necessitate restoring panel function to realize their full remaining design life. Under this condition the PCC pavement should be replaced in-kind. Expansion joints with dowel bars should be installed to reestablish proper load transfer and function. Existing longitudinal joints should be left untied to allow the replacement panel and the panels of adjacent lanes to act independently. Most, but not all, older PCC pavements (identifiable by panel lengths of 60 ft - 100 ft which is 2 to 3 times the new 6.1 m panels) have already reached their design life and may, therefore, be repaired with HMA. Chapter 13, Appendix 13C, Section 3.03.03 (page 6) delete Section 3.03.03 and replace with: 3.03.03 Backfill shall be with granular material meeting the specification requirements for select granular fill in the NYSDOT Standard Specs, Section 206. Mortar, concrete, controlled backfill, or lowstrength material or other self-densifying materials may be substituted, as approved by the Region. In all cases old PCC, new PCC or HMA pavement keyholes and bellholes with a dimension of less than 500 mm (20 in.) require Controlled Low Strength Material (CLSM) for backfill and subbase (see Drawings 9 and 10). Some restrictions apply, however, based on pipe material. As part of the Departments permit process, the Regional Permit Engineer (RPE) should inform the permit applicant as to which pavement repair approach is appropriate. The RPE should consult, as necessary, the Resident Engineer for guidance relevant to the age of the pavement, and the Regional Materials Engineer for a pavement and/or pipe evaluation.

Chapter 13, Appendix 13C, pages 23 and 24 (Drawings 7 and 8) delete and replace with Drawings 7, 8, 9, and 10 dated 10/15/2003.

EI 04-015

Page 1 of 1

HIGHWAY DESIGN MANUAL CONTENTS Number Title Latest Revision

1 2 3 4

PURPOSE......................................................................................5/10/96 DESIGN CRITERIA ........................................................................4/10/12 TYPICAL SECTIONS .......................................................................7/9/04 DESIGN CRITERIA & GUIDANCE FOR BRIDGE PROJECTS ON LOW VOLUME HIGHWAYS ..................................2/5/99 BASIC DESIGN .............................................................................4/13/11 INTERCHANGES ...................................................................... June 1979 RESURFACING, RESTORATION AND REHABILITATION (3R) .................................................................7/30/10 HIGHWAY DRAINAGE ..................................................................3/25/11 SOILS, WALLS, AND FOUNDATIONS ....................................... 10/29/10 ROADSIDE DESIGN, GUIDE RAIL AND APPURTENANCES ..............................................................4/10/12 SIGNS, SIGNALS, AND DELINEATION (Partial) ............................2/1/08 HIGHWAY LIGHTING ......................................................................8/4/95 UTILITIES ........................................................................................6/6/03 RESOLUTIONS AND AGREEMENTS .............................................6/6/03 MAINTENANCE JURISDICTION ............................................... May 1983 MAINTENANCE AND PROTECTION OF TRAFFIC IN HIGHWAY WORK ZONES ........................................................1/20/06 BICYCLE FACILITY DESIGN ........................................................3/30/06

5 6.00 7

8 9 10

11 12 13 14.00 15.00 16

17

05/19/2011

HIGHWAY DESIGN MANUAL CONTENTS Number Title Latest Revision

18 19

PEDESTRIAN FACILITY DESIGN .................................................3/30/06 REINFORCED CONCRETE BOX CULVERTS AND SIMILAR STRUCTURES ...............................................................5/19/11 CADD STANDARDS AND PROCEDURES ................................. 11/10/08 CONTRACT PLANS, SPECIFICATIONS AND ESTIMATE .....................................................................................4/10/12 ENGINEERING SOFTWARE SETTINGS AND RESOURCES .... 11/10/08 RAILROADS ..................................................................................3/15/02 MOBILITY MEASURES ...................................................................5/4/98 TRAFFIC CALMING ........................................................................2/5/99 VACANT HIGHWAY REST AREAS AND ROADSIDE PARKING AREAS .....9/1/10

20 21

22 23 24 25 26 27

05/19/2011

INDEX SUBJECT SECTION

ABSTRACT REQUEST MAPS ............................................................................... 5.5.1 ACCELERATION LANES ..................................................... 6-33 to 6-35, 6-39 .... 2.4.5.3, 2.7.5.3 5.9.8.3, 7.2.9.1 ACCESS CONTROL............................................................................................... 3.2.9.3 C, 5.7.15, 5.9.6 ACCESS, FREEWAY HOV LANES Barrier-separated reversible .............................................................................. 24.2.4.3 Barrier-separated two-way................................................................................. 24.2.5.3 Buffer-separated two-way concurrent................................................................ 24.2.7.3 Contraflow.......................................................................................................... 24.2.9.3 Nonseparated two-way contiguous.................................................................... 24.2.8.3 Two-way busway ............................................................................................... 24.2.6.3 ACCESSIBLE ROUTES FOR PEDESTRIANS....................................................... 18.4, 18.6.1, 18.6.4, 18.6.8, 18.7.3, 18.7.9 ACCESS TREATMENTS ........................................................................................ 24.2.1.4 At-grade slip ramps............................................................................................ 24.2.1.4 A Flyover ramps .................................................................................................... 24.2.1.4 B Local access drop ramps................................................................................... 24.2.1.4 C ACCIDENT ANALYSIS ........................................................................................... 4.3, 5.3, 7.2.5 AESTHETICS.......................................................................................................... 5.8.3 AGREEMENTS-SEE RESOLUTIONS AND AGREEMENTS ALIGNMENT, HORIZONTAL Combination of Horizontal and Vertical Alignment ............................................ 5.8.2.1 Combinations of Curves .................................................................................... 5.7.3.5 Curves ............................................................................................................... 5.7.3 Railroad-highway at-grade crossing .................................................................. 23.11.3 Soils considerations........................................................................................... 9.3.1 ALIGNMENT, VERTICAL Combination of Horizontal and Vertical Alignment ............................................ 5.8.4.1 Curves ............................................................................................................... 5.7.4.2, Appendix 5B Grades ............................................................................................................... 5.7.4.1 Railroad-highway at-grade crossing .................................................................. 23.11.3 Soils considerations........................................................................................... 9.3.1 ALTERATION OF PEDESTRIAN FACILITIES ....................................................... 18.1 to 18.15 AMENDMENTS....................................................................................................... 21.10 Deadlines........................................................................................................... 21.10.1 Format ............................................................................................................... 21.10.2 Plans ................................................................................................................ 21.10.3 Special Specifications, Pay Items, and Quantity Changes ................................ 21.10.4 Transmittal Memo .............................................................................................. 21.10.5 APPURTENANCES ................................................................................................ 10.5 Sidewalk ............................................................................................................ 18.6.8

3/2/07

INDEX SUBJECT PAGE SECTION

APRON ................................................................................................................... 19.10, 19.12 ARDS (see RUMBLE STRIPS) ARROW PANELS ................................................................................................... 16.2.6 ASPHALT PAVEMENTS......................................................................................... 3.2.4.5 ATTENUATORS, IMPACT...................................................................................... 10.2.6 AUXILIARY LANES................................................................................................. 2.7.5 BARRICADES......................................................................................................... 10.5.5 BARRIERS, DEAD END ......................................................................................... 10.5.5 BARRIER-SEPARATED REVERSIBLE-FLOW LANES ......................................... 24.2.4 BARRIER-SEPARATED TWO-WAY FLOW LANES .............................................. 24.2.5 BARRIER VEHICLES ............................................................................................. 16.3.3 BARRIER WARNING LIGHTS................................................................................ 16.2.12 BASIC RECOVERY WIDTH ................................................................................... 10A.1 BETTERMENTS ..................................................................................................... 13.3, 13.5, 13.5.2.2 A, 21.5.3.5 BICYCLES & BICYCLE FACILITIES ...................................................................... 5.8.1.2, 17, 18.5.1 Bicycle lanes...................................................................................................... 17.4.2, 17.4.7 Bicycle paths...................................................................................................... 17.4.2, 17.4.9, 18.9 Bicycle routes .................................................................................................... 17.4.2, 17.4.8 Definitions .......................................................................................................... 17.4.2 Design policy ..................................................................................................... 17.4.1, 18.9.2 Parking facilities................................................................................................. 17.4.10.1, 24.3.1.9 B Provisions for ..................................................................................................... 24.4.6 Railroad crossings ............................................................................................. 23.11.3 Roadway improvements .................................................................................... 17.4.4 Shoulders........................................................................................................... 17.4.5 Supplemental facilities ....................................................................................... 17.4.10 Wide curb lanes ................................................................................................. 17.4.6 BORROW AREAS .................................................................................................. 9.3.15 BOULDER HEAVES ............................................................................................... 9.3.11 BOX BEAM GUIDE RAIL ........................................................................................ 10.2.3.4 BOX BEAM MEDIAN BARRIER ............................................................................. 10.2.4.5 BOX CULVERTS .................................................................................................... 19.1 to 19.13 BOX CULVERT COMPUTER DESIGN PROGRAM ............................................... 19.6 BREAKAWAY BASES ............................................................................................ 10.2.1.2 BREAKAWAY SIGNS ............................................................................................. 10.2.1.2 BRIDGE ABUTMENTS (PIER PROTECTION) ....................................................... 10.2.3.6 BRIDGE PIERS....................................................................................................... 10.2.3.6 At railroads......................................................................................................... 23.10.1, 23.10.2 BRIDGE PROJECTS (ON LOW VOLUME HIGHWAYS)........................................ Ch.4 Definitions Adjacent Highway Segments ....................................................................... 4.1.3 Bridge Approach........................................................................................... 4.1.3 Bridge Project............................................................................................... 4.1.3 Bridge Site.................................................................................................... 4.1.3 3/2/07 ii

INDEX SUBJECT SECTION

BRIDGE ROADWAY WIDTH .................................................................................. 2.6.4, 2.7.1 to 2.7.5, 4.5 D, 7.2.7.1 D BUFFER-SEPARATED TWO-WAY CONCURRENT FLOW LANES.................................................................................................... 24.2.7 BUS Priority Treatment for ......................................................................................... 5.8.6.5 Stops ................................................................................................................ 5.7.19.1, 5.9.9 18.10, 24.3.5 Turnarounds ...................................................................................................... 5.7.19.3, 24.3.7 Turnouts............................................................................................................. 5.7.19.2, 5.9.9, 24.3.6 CABLE GUIDE RAIL ............................................................................................... 10.2.3.1 CABLE MEDIAN BARRIER .................................................................................... 10.2.4.9 D CANTILEVER AND GRAVITY WALLS ................................................................... 9.4 CAPACITY, HIGHWAY ........................................................................................... 5.2, 7.2.4 Increasing Capacity Without Adding Lanes ....................................................... 5.8.6 Intersection ........................................................................................................ 5.9.2 CATTLE FENCING ................................................................................................. 10.5.2.2 CATTLE PASSES ................................................................................................... 10.5.3 CENTER LINE MILES........................................................... 15-2 CHAIN LINK FENCING........................................................................................... 10.5.2.2 CHANNELIZATION................................................................................................. 5.9.4 CHANNELIZING DEVICES..................................................................................... 16.2.7 CHANNELS AND DITCHES, DESIGN OF ........................... (see OPEN CHANNELS) CLEARANCE ........................................................................ (see HORIZONTAL CLEARANCE, VERTICAL CLEARANCE, LATERAL CLEARANCE) CHECK DISCHARGE ............................................................................................. 8.3.2.4 CLEAR ROADSIDE POLICY .................................................................................. 13.2, Appendix 13A, 10.1, 10.2 CLEAR RUNOUT WIDTH ....................................................................................... 10.2.1 CLEAR ZONE ......................................................................................................... 3.2.6, 4.5 C, 5.7.11, 10.2.1 CLIMBING LANES .................................................................................................. 2.7.5.7, 5.7.5 CLOSED DRAINAGE SYSTEMS ........................................ (see STORM DRAINAGE SYSTEMS) COFFERDAMS ....................................................................................................... 9.3.12 COLLECTOR-DISTRIBUTOR ................................................................................ 2.7.5.5 CONCRETE BOX CULVERTS ............................................................................... 19.1 to 19.14 Design Guidelines.............................................................................................. 19.5 Details................................................................................................................ 19.7 Foundations ....................................................................................................... 19.4 Precast Culverts ................................................................................................ 19.8 CONCRETE BARRIERS, MEDIAN......................................................................... 10.2.4.6 CONCRETE BARRIERS, PERMANENT ................................................................ 10.2.3.6 CONCRETE BARRIERS, TEMPORARY ................................................................ 10.4.1 CONCRETE PAVEMENT ....................................................................................... 3.2.4 CONCRETE POSTS............................................................................................... 10.3.1.2 B iii 3/2/07

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CONNECTICUT IMPACT ATTENUATION SYSTEM (CIAS) ................................................................................................................ 10.2.6.6 B CONSTRUCTION COST ESTIMATES................................................................... 21.5 CONSTRUCTION SIGNS ....................................................................................... 16.2.4 CONTAMINATED SOIL CONSIDERATIONS ......................................................... 5.5.6.9 CONTINUOUS PASSAGE...................................................................................... (See Pedestrian Access Route) CONTRACT PLANS, SPECIFICATIONS, AND ESTIMATE ................................................................................................ 21.1 to 21.14 CONTRAFLOW LANES.......................................................................................... 24.2.9 CONTROL LINES ................................................................................................... 3.2.1 CONTROL OF ACCESS......................................................................................... 2.6.15, 2.7.1.1, 5.7.15, 7.2.9.2 At interchanges................................................................ 6-35 to 6-47 CONVENTIONAL PAVEMENT DESIGN ................................................................ 3.2.4.3 CORRUGATED BEAM GUIDE RAIL ...................................................................... 10.2.3.2 CORRUGATED BEAM MEDIAN BARRIER............................................................ 10.2.4.2 CRACK AND SEAT................................................................................................. 3.3.1.2 B, 3.3.2 CRITICAL DESIGN ELEMENTS Definitions Bridge Roadway Width................................................................................. 2.6.4 Control of Access ......................................................................................... 2.6.15 Design Speed............................................................................................... 2.6.1 Grade ........................................................................................................... 2.6.5 Horizontal Clearance.................................................................................... 2.6.9 Horizontal Curvature .................................................................................... 2.6.6 Lane Width ................................................................................................... 2.6.2 Level of Service............................................................................................ 2.6.14 Median Width ............................................................................................... 2.6.17 Pavement Cross Slope................................................................................. 2.6.11 Pedestrian Accommodation ......................................................................... 2.6.16 Rollover ........................................................................................................ 2.6.12 Shoulder Width............................................................................................. 2.6.3 Stopping Sight Distance (Horizontal & Vertical) ........................................... 2.6.8 Structural Capacity ....................................................................................... 2.6.13 Superelevation ............................................................................................. 2.6.7 Vertical Clearance ........................................................................................ 2.6.10 Standard Values for Bridge Projects on Low Volume Highways................................................... 4.5 Interstates..................................................................................................... 2.7.1.1, 7.2.7 Local Rural Roads........................................................................................ 2.7.4.1, 7.3 Local Urban Streets...................................................................................... 2.7.4.2, 7.3 Other Freeways............................................................................................ 2.7.1.2, 7.2.7

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CRITICAL DESIGN ELEMENTS (continued) Other Roadways Climbing Lanes ....................................................................................... 2.7.5.7 Collector-Distributor Roads ..................................................................... 2.7.5.5 Frontage Roads ...................................................................................... 2.7.5.6 Parkways................................................................................................. 2.7.5.1, 7.2.7.1 Ramps..................................................................................................... 2.7.5.2, 7.2.7.2 Speed Change Lanes ............................................................................. 2.7.5.3, 7.2.9.1 Turning Roadways .................................................................................. 2.7.5.4 Rural Arterials............................................................................................... 2.7.2.1, 7.3 Rural Collectors............................................................................................ 2.7.3.1, 7.3 Urban Arterials ............................................................................................. 2.7.2.2, 7.3 Urban Collectors........................................................................................... 2.7.3.2, 7.3 CROSS SECTIONS ................................................................................................ 21.8 CROSS SLOPE Left turn lane...................................................................................................... 3.2.8.2 C Intersection ........................................................................................................ 5.9.3.6 Medians ............................................................................................................. 10.2.4.2, 10.2.4.8 Pavement........................................................................................................... 2.6.11, 2.7.1 to 2.7.5, 3.2.3, 4.5 K, 7.2.7.1 K Shoulders........................................................................................................... 3.2.5, 18.6.2 Sidewalks........................................................................................................... 18.6.1.2, 18.6.2, 18.6.5.2, 18.7.3.1 CULVERTS ............................................................................................................. 8.6, 7.2.15.2 Culvert design - overview .................................................................................. 8.6.3 Hydraulic Design Criteria ................................................................................... 8.6.1 Allowable headwater .................................................................................... 8.6.1.1 Minimum pipe size........................................................................................ 8.6.1.2 Multiple barrels ............................................................................................. 8.6.1.3 Maintenance ...................................................................................................... 8.6.5 Pipe Design Criteria........................................................................................... 8.6.2 Anticipated Service Life................................................................................ 8.6.2.2 Design Life ................................................................................................... 8.6.2.1 Economics.................................................................................................... 8.6.2.4 Structural Criteria ......................................................................................... 8.6.2.3 Safety - roadside design .................................................................................... 8.6.6 Site considerations ............................................................................................ 8.6.4 Debris control ............................................................................................... 8.6.4.4 Energy dissipators........................................................................................ 8.6.4.3 Fish passage ................................................................................................ 8.6.4.2 General environmental considerations......................................................... 8.6.4.1 CULVERTS, as FIXED OBJECTS .......................................................................... 10.2.1.2 C, 10.3.2.2B

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CURBS ................................................................................................................ 3.2.9, 7.2.11 At islands .......................................................................................................... 5.9.4.4, 5.9.4.8, 5.9.4.9 Curb ramps ........................................................................................................ 18.7.3, 18.7.4 Placement of...................................................................................................... 3.2.9.4, 4.5 C Prohibition of use with attenuators..................................................................... 7.2.11.4, 10.2.2.4 Types and uses ................................................................................................. 3.2.9, 7.2.11 With guide rail and median barrier..................................................................... 10.2.2.4 CURVATURE (CURVES) Horizontal........................................................................................................... 2.6.6, 2.7.1 to 2.7.5, 4.5 F, 5.8.3, 7.2.7.1 F Broken Back ................................................................................................. 5.7.3.5 B Compound.................................................................................................... 5.7.3.5 A Reverse ........................................................................................................ 5.7.3.5 C Transitions.................................................................................................... 5.7.3.3, 7.2.9.2 Vertical............................................................................................................... 5.7.4.2, Appendix 5B Crest............................................................................................................. 5.8.4.2 A Sag ............................................................................................................... 5.8.4.2 B CUT SLOPES ......................................................................................................... 9.3.9 CUT-OFF WALL...................................................................................................... 19.7.3, 19.10, 19.12 DECELERATION LANES ..................................................... 6-33 to 6-35, 2.7.5.3, 7.2.9.1 6-37 DEFLECTION DISTANCE ...................................................................................... 10.2.2.3 DELINEATION ........................................................................................................ 3.2.5.4, 4.7, 7.2.12, 10.2.1.2 E DEMAND HOV lanes ......................................................................................................... 24.2.1.4 P&R lots............................................................................................................. 24.3.1.1 DESIGN APPROVAL DOCUMENTS Pedestrian ......................................................................................................... 18.6.1.2 Bicyclist considerations ..................................................................................... 17.3 Railroad considerations ..................................................................................... 23.8 DESIGN CLEAR ZONE WIDTH.............................................................................. 10A.1 DESIGN CONSIDERATIONS HOV lanes Arterials ........................................................................................................ 24.4.1 Freeways...................................................................................................... 24.2 HOV ramps ........................................................................................................ 24.2.1.4 Off-line transfer stations..................................................................................... 24.3.4 On-line transfer stations..................................................................................... 24.3.3 P&R lot location ................................................................................................. 24.3.1.2 DESIGN CRITERIA HOV lanes on freeways ..................................................................................... 24.2.3 Other than HOV lanes on freeways ................................. (see CRITICAL DESIGN ELEMENTS)

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DESIGN CRITERIA SOURCES A Policy on Design Standards, Interstate System ............................................. 2.3.2 A Policy on Geometric Design of Highways and Streets ................................... 2.3.1 NYSDOT Bridge Manual.................................................................................... 2.3.3 NYSDOT Guidelines for the Adirondack Park ................................................... 2.3.4 DESIGN DATA TO BE SUPPLIED TO CONSTRUCTION ..................................... 21.13 DESIGN EXCEPTIONS ........................................................ (see NONCONFORMING FEATURES and NONSTANDARD FEATURES) DESIGN FLOOD FREQUENCY ............................................................................. 8.3.2.4 DESIGN SPEED ..................................................................................................... 2.6.1, 2.7.1 to 2.7.5, 4.4, 4.5 A, 7.2.7.1 A, 7.2.7.2, 24.2.3.2 DESIGN VEHICLE .................................................................................................. 5.7.1, 7.2.7.3 A DESIGN YEAR........................................................................................................ 2.5.1.3, 7.2.4.2 DESIGN DETAIL COMPUTATION SHEETS .......................................................... 21.5.3.3 DESIGNATED QUALIFYING AND ACCESS HIGHWAYS ..................................... 2.5.3.2, 5.7.1.1, 7.2.7.3 A DESIRED MINIMUM CLEAR ZONE WIDTH .......................................................... 10A.1 DETECTORS Inductive Loop ................................................................................................... 11.3.2.2 C Magnetic ............................................................................................................ 11.3.2.2 A Magnetometer.................................................................................................... 11.3.2.2 B Microwave.......................................................................................................... 11.3.2.2 D Modes of Operation ........................................................................................... 11.3.2.1 Quadrupole Layout ............................................................................................ 11.3.2.2 C.1 DETENTION FACILITIES ....................................................................................... 8.7.7 DIGITAL TERRAIN MODELS (DTM'S) ................................................................... 5.4 DIRECT CONNECTIONS ..................................................... 6-10, 6-17, 6-18 ....... 2.7.5.2 DISPOSAL SITES................................................................................................... 9.3.13 DITCH ................................................................................................................ 3.2.14, 10.2.1.1, 10.3.2.2 C DRAINAGE Highway Culverts ........................................................................................................ 8.6 Drainage report ............................................................................................ 8.9 Erosion and sediment control and stormwater management ....................... 8.8 HOV lanes on freeways................................................................................ 24.2.12 Hydraulic principles ...................................................................................... 8.4 Hydrology ..................................................................................................... 8.3 Legal aspects of highway drainage .............................................................. 8.2 Open channels ............................................................................................. 8.5 Plans and specifications............................................................................... 8.10 Railroad considerations................................................................................ 23.10.2, 23.11.4 Storm drainage systems............................................................................... 8.7

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DRAINAGE (continued) P&R lots............................................................................................................. 24.3.1.6 DRAWINGS (TYPICAL SECTIONS)....................................................................... 3.4 DRIVER EXPECTANCY ......................................................................................... 4.4.1, 5.9.3 DRIVEWAYS........................................................................................................... Appendix 5A Design................................................................................................................ 5.7.16, Appendix 5A Profile ................................................................................................................ 3.2.11.4, Appendix 5A Releases............................................................................................................ 5.5.6.6, 5.7.16, Appendix 5A EARTHWORK SUMMARY SHEETS ...................................................................... 9.7.1, 21.2.2.4 N EDGE DRAINS ....................................................................................................... 9.3.8, 3.2.4.4, 3.2.4.6, 3.3.5, 3.2.9.3 B ELEMENTS OF HIGHWAY WORK ZONES ........................................................... 16.4.3 ELEVATORS........................................................................................................... 18.8.6 ELIGIBILITY CRITERIA (FOR HOV LANE USE).................................................... 24.2.2.1 EMBANKMENT FOUNDATION .............................................................................. 3.1.1 EMBANKMENT ZONES ......................................................................................... 3.2.13.2, 9.3.13 ENCROACHMENTS ............................................................................................... 5.5.5 END SECTIONS, BARRIER ................................................................................... 10.2.5 END SECTIONS, DRAIN PIPE............................................................................... 10.3.2.2 B ENERGY DISSIPATORS........................................................................................ 19.12 ENFORCEMENT HOV lanes on arterials....................................................................................... 24.4.4 Concurrent.................................................................................................... 24.4.4.2 Contraflow .................................................................................................... 24.4.4.3 Exclusive ...................................................................................................... 24.4.4.1 HOV lanes on freeways ..................................................................................... 24.2.2.3 ENFORCEMENT AREAS, FREEWAY HOV LANES .............................................. 24.2.1.5 Barrier-separated reversible .............................................................................. 24.2.4.4 Barrier-separated two-way................................................................................. 24.2.5.4 Buffer-separated two-way concurrent................................................................ 24.2.7.4 Contraflow.......................................................................................................... 24.2.9.4 Nonseparated two-way contiguous.................................................................... 24.2.8.4 Two-way busway ............................................................................................... 24.2.6.4 ENGINEER=S ESTIMATE ....................................................................................... 21.5 Betterments ....................................................................................................... 21.5.3.4 Bid Evaluation Process...................................................................................... 21.5.4 Confidentiality of the Engineer=s Estimate & Unit Bid Prices ............................. 21.5.3.6 Design Detail Computation Sheet (Form DIST 22)............................................ 21.5.3.3 Engineer's Estimate........................................................................................... 21.5.3 Engineer=s Estimate-Title Sheet (Form C114-1a).............................................. 21.5.3.5 Estimating Programs ......................................................................................... 21.5.2 Milestones.......................................................................................................... 21.5.1 3/2/07 viii

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EROSION AND SEDIMENT CONTROL AND STORMWATER MANAGEMENT ...................................................................... 8.8, 9.3.7 Determining the need for an erosion and sediment control plan and SPDES/NPDES permits .................................................... 8.8.1 Erosion and sediment control ............................................................................ 8.8.2, 23.13.6 NPDES stormwater general permit.................................................................... 8.8.4 SPDES stormwater general permit.................................................................... 8.8.3 ESAL-BASED PAVEMENT DESIGN ...................................................................... 3.2.4.4 ESCAPE RAMPS.................................................................................................... 5.7.6, 10.2.6.5 ESTIMATE ............................................................................ (see ENGINEER=S ESTIMATE) FENCING .............................................................................. ................................. 10.5.2 for Cantilever and Gravity Walls ...................................... 20-3 Pedestrian.......................................................................................................... 18.7.11, 18.12.4, 23.10.3 FINAL PS&E SUBMISSION.................................................................................... 21.9.3 Deadlines........................................................................................................... 21.9.3.1 Submitted Materials ........................................................................................... 21.9.3.2 PS&E Transmittal Memo ................................................................................... 21.9.3.2 E FIXED OBJECTS .................................................................................................... 10.2.1.1 FLOOD CONDITIONS, EXISTING AND PREVIOUS ............................................. 8.3.2.2 D FLOODPLAINS ....................................................................................................... 8.2.2.4 FOUNDATIONS .................................................................... (see SOILS) FREEWAY ENTRANCE RAMP CONTROL............................................................ 24.5.1 FRONTAGE ROADS .............................................................................................. 2.4.5.6, 2.7.5.6, 5.7.17 FROST HEAVES .................................................................................................... 9.3.10 FROST LAYER ....................................................................................................... 3.2.4.6 FUNCTIONAL CLASSIFICATION Arterials.............................................................................................................. 2.4.2 Collector Roads and Streets.............................................................................. 2.4.3, 4.2 Interstates and Other Freeways ........................................................................ 2.4.1, 7.2.1.1 Local Roads and Streets ................................................................................... 2.4.4, 4.2 Other Roadway.................................................................................................. 2.4.5 Climbing Lanes............................................................................................. 2.4.5.7 Collector-Distributor Roads .......................................................................... 2.4.5.5 Frontage Roads............................................................................................ 2.4.5.6 Parkways...................................................................................................... 2.4.5.1 Ramps .......................................................................................................... 2.4.5.2 Speed Change Lanes................................................................................... 2.4.5.3 Turning Roadways ....................................................................................... 2.4.5.4 FURNISHINGS Bus Stops .......................................................................................................... 24.3.5.9 Bus Turnouts ..................................................................................................... 24.3.6.10 P&R Lots............................................................................................................ 24.3.1.9 GEOTECHNICAL REPORT.................................................................................... 9.2.1 GEOTEXTILES ....................................................................................................... 9.3.15 GLARE SCREEN FENCING................................................................................... 10.2.4.7, 10.5.2.5 ix 3/2/07

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GORES .............................................................................. 6-55 GRADE ................................................................................................................... 2.6.5, 2.7.1 to 2.7.5, 4.5 E, 7.2.7.1 E, 7.2.7.2 GRAVITY WALLS ................................................................................................... 9.4.2.3 GUIDE POSTS........................................................................................................ 10.5.4 GUIDE RAIL............................................................................................................ 7.2.13, 10.2, 10.3 GUARD RAIL ENERGY ABSORBING TERMINALS (GREATs) .......................................................................................................... 10.2.6.4 GUTTERS ............................................................................................................... 18.7.3.1, 8.7.3, 3.2.10 HANDRAILS, PEDESTRIAN................................................................................... 18.8.1, 18.8.2, 18.8.4 HAND SIGNALING DEVICES AND WARNING FLAGS ......................................... 16.2.9 HEADLIGHT GLARE .............................................................................................. 10.2.4.7 HEADWALLS .......................................................................................................... 10.3.2.3 B, 10.2.1.1, 19.7.4, 19.9 HEADWATER, ALLOWABLE FOR CULVERTS..................................................... 8.6.1.1 HIGH OCCUPANCY VEHICLE (HOV) LANES ....................................................... 5.7.18, 24.2, 24.4 Design treatments, arterial................................................................................. 24.4.2 Concurrent flow lane .................................................................................... 24.4.2.3 Contraflow lane ............................................................................................ 24.4.2.4 Exclusive busways ....................................................................................... 24.4.2.1 Median or center bus lane............................................................................ 24.4.2.2 Transitions.................................................................................................... 24.4.2.5 Facility cross section, freeway Barrier-separated reversible......................................................................... 24.2.4.2 Barrier-separated two-way ........................................................................... 24.2.5.2 Buffer-separated two-way concurrent .......................................................... 24.2.7.2 Contraflow .................................................................................................... 24.2.9.2 Nonseparated two-way contiguous .............................................................. 24.2.8.2 Two-way busway.......................................................................................... 24.2.6.2 Geometric design elements ............................................................................... 24.2.3.4 Types, freeway .................................................................................................. 24.2.1 Operational................................................................................................... 24.2.1.2 Physical ........................................................................................................ 24.2.1.1 HIGHWAY ADVISORY RADIO ............................................................................... 24.5.9.2 HORIZONTAL CLEARANCE .................................................................................. 5.7.12 Airway ................................................................................................................ 5.7.12.4 Railroad ............................................................................................................. 5.7.12.2, 23.10.1 Roadway............................................................................................................ 2.6.9, 5.7.12.1 Waterway........................................................................................................... 5.7.12.3 HYDROCELL CLUSTERS ...................................................................................... 10.2.7.3 HYDROLOGY ......................................................................................................... 8.3 Hydrologic analysis............................................................................................ 8.3.2 Type of project vs extent of hydrologic analysis ................................................ 8.3.1 IMPACT ATTENUATION DEVICES ....................................................................... 10.2.6 3/2/07 x

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INCIDENT Handling............................................................................................................. 24.2.11.1 Management...................................................................................................... 24.5.6 INFORMATION AVAILABLE TO BIDDERS.......................... (see SUPPLEMENTAL INFORMATION AVAILABLE TO BIDDERS) INTELLIGENT TRANSPORTATION SYSTEMS (ITS)............................................ 5.8.6.1 INTERCEPTING DITCHES..................................................................................... 8.5.1.1 E INTERCHANGES.................................................................................................... 7.2.9 At grade intersection ramp terminals ............................... 6-27 to 6-32 Capacity........................................................................... 6-24 Cloverleaf......................................................................... 6-8, 6-51, 6-52 Collector-distributor roads................................................ 6-8, 6-35, 6-48, 6-52, 6-53 Control of access ............................................................. 6-35 to 6-36, 6-42 to 6-47 Crossroads ...................................................................... 6-53 Cross section ................................................................... 6-26 to 6-27 Definition.......................................................................... 6-2 Design speed................................................................... 6-23, 6-25 Diamond .......................................................................... 6-5, 6-8, 6-50, 6-52 Directional........................................................................ 6-10, 6-33 to 6-35, 6-51 Distance between successive ramp terminals................. 6-35, 6-41 Entrance terminals........................................................... 6-17 to 6-21, 6-39, 6-55 Examples of cloverleafs .................................................................. 6-9 diamond...................................................................... 6-9 one quadrant .............................................................. 6-7 rotary .......................................................................... 6-16 semidirect and direct .................................................. 6-12 to 6-15 T, Y and trumpet .............................................................. 6-6 Exit terminals ................................................................... 6-21 to 6-23, 6-37 to 6-55 Four leg............................................................................ 6-5, 6-51 to 6-52 Gores .............................................................................. 6-55 Grades ............................................................................. 6-2 ........................... 2.7.5.2, 7.2.7.2 Grading ............................................................................ 6-54 Hazards ........................................................................... 6-3 Partial cloverleaf .............................................................. 6-8 Preferred design principles .............................................. 6-48 to 6-51 Profile................................................................................6-26 Ramps ............................................................................. 6-17 to 6-47 ............. 2.4.5.2, 2.7.5.2, 7.2.7.2 Ramps in one quadrant ................................................... 6-5

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INTERCHANGES (continued) Road user benefits........................................................... 6-3 Rotary .............................................................................. 6-11, 6-51 Safety .............................................................................. 6-55 Spot congestion ............................................................... 6-3 Stopping sight distance ................................................... 6-23, 6-25, 6-55 ....... 2.7.5.2, 7.2.7.2 Three leg.......................................................................... 6-5, 6-51 T, Y and trumpet .............................................................. 6-5, 6-50 Types .............................................................................. 6-5 to 6-16, 6-51 to 6-53 Uniformity of operation..................................................... 6-53 Warrants .......................................................................... 6-3 to 6-4 Weaving Sections ............................................................ 6-48 INTERFACE WITH LOCAL SYSTEM, P&R LOTS ................................................. 24.3.1.3 INTERIOR LOT LAYOUT, P&R LOTS.................................................................... 24.3.1.4 INTERSECTIONS AT GRADE................................................................................ 5.9 Capacity and Level of Service ........................................................................... 5.9.2 Channelization ................................................................................................... 5.9.4 Areas of Conflict ........................................................................................... 5.9.4.1 Islands Curb ........................................................................................................ 5.9.4.8 Offsets..................................................................................................... 5.9.4.9 Refuge..................................................................................................... 5.9.4.4, 18.7 to 18.7.8 Size ......................................................................................................... 5.9.4.7 Surface Treatment .................................................................................. 5.9.4.10 Neck-downs.................................................................................................. 18.7.5 Pedestrian Crossings ................................................................................... 18.7.9, 18.7.11 Pedestrian Signals ....................................................................................... 18.6.1.1, 18.7.9, 18.7.2.4, 18.7.10 Preference to Movements or Vehicles ......................................................... 5.9.4.3 Prohibited Movements.................................................................................. 5.9.4.2 Traffic Control............................................................................................... 5.9.4.5 Design Considerations Access Control ............................................................................................. 5.9.6 Bus Stops/Turnouts...................................................................................... 5.9.9 Intersection Sight Distance........................................................................... 5.9.5, Appendix 5C

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INTERSECTIONS AT GRADE (continued) Signalization ................................................................................................. 5.9.7 Superelevation of Turning Roadways .......................................................... 5.9.3.5 Widening ...................................................................................................... 5.9.8 Speed Change Lanes ............................................................................. 5.9.8.3 Additional Through Lanes ....................................................................... 5.9.8.1 Double Left Turn Lanes........................................................................... 5.9.8.2 B Safety Widening ...................................................................................... 5.9.8.4 Turning Lanes ......................................................................................... 5.9.8.2 Geometrics ........................................................................................................ 5.9.3 Intersection Angle......................................................................................... 5.9.3.3 Pavement Width ........................................................................................... 5.9.3.4 Radii ............................................................................................................. 5.9.3.7 Turning Roadway Terminals ........................................................................ 5.9.4.6 Types ................................................................................................................ 5.9.1 Median Openings............................................................................................... 5.9.10 JERSEY BARRIERS............................................................................................... 10.2.3.6 JUNKYARD SCREENING ...................................................................................... 10.5.2.5 LANDINGS, STAIR AND PEDESTRIAN RAMP ..................................................... 18.6 to 18.8 LANDSCAPE DEVELOPMENT, P&R LOTS .......................................................... 24.3.1.10 LANE. Climbing............................................................................................................. 5.7.5 Conversion......................................................................................................... 24.2.14 Drops ................................................................................................................ 5.7.8 High Occupancy Vehicle (HOV) ........................................................................ 5.7.18, 24.2, 24.4 Parking............................................................................................................... 2.7.2.2 B, 2.7.3.2 B, 2.7.4.2 B, 3.2.3, 3.2.10, 5.7.14 Reversible Flow ................................................................................................. 5.8.6.3, 24.2.4.2 Widths................................................................................................................ 2.6.2, 2.7.1 to 2.7.5, 4.5 B, 7.2.7.1 B, 17.4.6 Widening Along Sharp Horizontal Curves ......................................................... 5.7.3.4 LANE USE CONTROL SIGNALS ........................................................................... 24.5.8.3 LATERAL CLEARANCE ......................................................................................... 3.2.6, 7.2.7.1 I LEGAL ASPECTS OF HIGHWAY DRAINAGE ....................................................... 8.2 Connections to state drainage facilities ............................................................. 8.2.3 State and federal environmental laws and regulations ...................................... 8.2.2 State drainage law ............................................................................................. 8.2.1 LEGEND, STANDARD SYMBOLS ......................................................................... 21.2.2.4 E

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LEVEL OF SERVICE .............................................................................................. 2.5.1.3, 2.6.14, 2.7.1.1 N, 2.7.1.2, 5.2, 5.9.2, 7.2.4.1, 7.2.7.1 N, 7.2.7.3 B 24.2.3.3 Walkway ............................................................................................................ 18.5.4 LIGHTING, HIGHWAY Bicycle facilities ................................................................................................. 17.10.4.3 Configuration ..................................................................................................... 12.5 Luminaire support placement - High mast lighting ....................................... 12.5.2 Pole (light standard) Placement - Conventional lighting............................... 12.5.1 Design................................................................................................................ 12.3 Criteria.......................................................................................................... 12.3.1 Illuminance procedure .................................................................................. 12.3.2 Conventional lighting .................................................................................... 12.3.2.1 High mast lighting......................................................................................... 12.3.2.2 Uniformity ratio ............................................................................................. 12.3.2.3 Equipment.......................................................................................................... 12.4 Luminaires.................................................................................................... 12.4.1 Luminaire supports....................................................................................... 12.4.2 Conventional lighting .................................................................................... 12.4.2.1 Ornamental lighting ...................................................................................... 12.4.2.2 High mast lighting......................................................................................... 12.4.2.3 Guide sign lighting ............................................................................................. 12.9 Hardware ........................................................................................................... 12.6 Electrical distribution .................................................................................... 12.6.1 Wire .............................................................................................................. 12.6.2 Conduit ......................................................................................................... 12.6.3 Pullboxes...................................................................................................... 12.6.4 Junction boxes ............................................................................................. 12.6.5 Photoelectric control..................................................................................... 12.6.6 HOV lanes on freeways ..................................................................................... 24.2.13 P&R lots............................................................................................................. 24.3.1.8 Impact attenuators ............................................................................................. 10.2.6.1 Lighting report.................................................................................................... 12.1 Nighttime construction lighting........................................................................... 12.1 Ornamental (Decorative) lighting ....................................................................... 12.4.2.2 Park-and-ride facilities and rest areas ............................................................... 12.8 Plans and specifications .................................................................................... 12.11 Poles ................................................................................................................ 7.2.7.18, 10.2.1.2 C Policy ................................................................................................................ 12.2 References ........................................................................................................ 12.12

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LIGHTING, HIGHWAY (continued) Rest areas ......................................................................................................... 12.8.2 Tunnels and underpasses ................................................................................. 12.7 Warrants ............................................................................................................ 12.2 LONG GUIDE RAIL POSTS ................................................................................... 10.2.3.5 LOW FLOW DISH ................................................................................................... 19.11 LOW VOLUME HIGHWAYS Bridge Projects .................................................................................................. Ch.4 Definition............................................................................................................ 4.2 Design Criteria ................................................................................................... 2.7.3, 2.7.4, 7.3 MAILBOXES ........................................................................................................... 10.5.1 MAINTENANCE Bicycle and shared-use paths, rec. walkways ................................................... 17.6, 18.14 HOV lanes on freeways ..................................................................................... 24.2.11.2 P&R lots............................................................................................................. 24.3.1.12 Sidewalks........................................................................................................... 18.6.4.3 MAINTENANCE CROSSOVERS............................................................................ 5.7.10 MAINTENANCE JURISDICTION Center line miles and lane miles...................................... 15-2 Example, tables ............................................................... 15-24 to 15-49 General ............................................................................ 15-2 Tables of features and authority for maintenance.......................................................... 15-4 to 15-23 MAINTENANCE OF TRAFFIC DURING CONSTRUCTION................................... Ch.16 Barriers .............................................................................................................. 10.4, 16.3 General .............................................................................................................. 7.2.19 Pedestrian and bicycle traffic............................................................................. 16.4.4.2, 17.5, 18.13 Railroad considerations ..................................................................................... 23.13.2 to 23.13.4 Safety considerations ........................................................................................ 16.4.4 Safety devices ................................................................................................... 16.3 Traffic control devices........................................................................................ 16.2 MANNING'S ROUGHNESS COEFFICIENTS Open channels................................................................................................... 8.5.3.2 D Pipes (culverts and storm drains) ...................................................................... 8.6.3.1 B MAPPING................................................................................................................ 5.4 MATERIAL TO BE SUPPLIED TO THE SUCCESSFUL BIDDER AFTER AWARD .................................................................................. 21.14 MEDIAN ................................................................................................................ 3.2.8 Crossovers......................................................................................................... 5.7.10, 7.2.10.2 Openings at intersections .................................................................................. 5.9.10 Width ................................................................................................................ 2.6.17, 2.7.1.1, 2.7.2.1, 7.2.10.1, 7.2.7.1 Q Width requiring guide rail ................................................................................... 10.2.4

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MEDIAN BARRIER End treatment .................................................................................................... 7.2.13, 10.2.5 General .............................................................................................................. 7.2.13 Installation ......................................................................................................... 10.2.4 Ramps ............................................................................................................... 10.2.4 Slope to.............................................................................................................. 10.2.4 Transition ........................................................................................................... 10.2.4.5 Warrants ............................................................................................................ 10.2.4 With Curbs ......................................................................................................... 10.2.2.4 Within interchanges ........................................................................................... 10.2.4 Within intersections ........................................................................................... 10.2.5.6 MEDIANS, UNEVEN (PLACEMENT OF BARRIERS IN)........................................ 10.2.4.8 MEMBRANE ........................................................................................................... 19.13 MODEL 170/ 179 TRAFFIC SIGNAL CONTROLLERS .......................................... 11.3.3.7 MOWING STRIPS................................................................................................... 3.2.7, 3.2.9.4 B MULTI-USE PATHS................................................................................................ (see Shared-use Paths) NATIONAL HIGHWAY SYSTEM ........................................................................... 2.5.3.4 NOISE BARRIERS.................................................................................................. 10.5.2.6 NONCONFORMING FEATURE ............................................................................. 5.1.2, 7.2.8.2, 10.1 NONRECOVERABLE SLOPE ................................................................................ 10.2.1 NONSEPARATED TWO-WAY CONTIGUOUS FLOW ........................................... 24.2.8 NONSTANDARD FEATURES, JUSTIFICATION OF ............................................. 2.8, 4.5, 7.2.8.1, 18.6.1.2 OBSTACLE ............................................................................................................. 10.2.1.1 OFF-LINE TRANSFER STATIONS ........................................................................ 24.3.4 ON-LINE TRANSFER STATIONS .......................................................................... 24.3.3 OPEN CHANNELS ................................................................................................. 8.5 Channel design criteria ...................................................................................... 8.5.2 Hydraulics - Design and Analysis ...................................................................... 8.5.3 Maintenance ...................................................................................................... 8.5.4 Types of open channels..................................................................................... 8.5.1 OPERATING PERIODS, HOV FACILITIES............................................................ 24.2.2.2 OPERATING SPEEDS ........................................................................................... 4.4.2 OPERATIONS, FREEWAY HOV LANES ............................................................... 24.2.2 Barrier-separated reversible .............................................................................. 24.2.4.1 Barrier-separated two-way................................................................................. 24.2.5.1 Buffer-separated two-way concurrent................................................................ 24.2.7.1 Contraflow.......................................................................................................... 24.2.9.1 Non-separated two-way contiguous .................................................................. 24.2.8.1 Two-way busway ............................................................................................... 24.2.6.1 OVERLAYS............................................................................................................. 3.3.1 PARK-AND-POOL LOTS ........................................................................................ 24.3.2 PARK-AND-RIDE LOTS ......................................................................................... 18.5.2, 4.3.1 3/2/07 xvi

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PARKING LANES ................................................................................................... 2.7.2.2 B, 2.7.3.2 B, 2.7.4.2 B, 3.2.3, 3.2.10, 5.7.16, 18.6.5.1 18.11 PARTICIPATION IN COST OF DRAINAGE FEATURES ..... (see SHARED COSTS) PAVEMENT Asphalt............................................................................................................... 3.2.4.5 Cost analysis ..................................................................................................... 3.2.4.1 Design for freeway 3R projects.......................................................................... 7.2.3 Edge of pavement details .................................................................................. 3.2.4.6 Selection data .................................................................................................... 3.2.4 Superelevation................................................................................................... 2.7 Thickness design, P&R lots ............................................................................... 24.3.1.5 Widths.............................................................................. (see LANE WIDTHS) PAVEMENT MARKINGS HOV lanes Arterial .......................................................................................................... 24.4.3.2 Freeway........................................................................................................ 24.2.10.2 Bus stops ........................................................................................................... 24.3.5.8 Bus turnouts....................................................................................................... 24.3.6.9 P&R lots............................................................................................................. 24.3.1.7 Work zones........................................................................................................ 16.2.8 PEDESTRIAN ACCESS ROUTE (PAR) ................................................................. 18.4, 18.6.5.1, 18.6.5.2, 18.6.7, 18.6.8 PEDESTRIAN ACCOMMODATION ....................................................................... 2.6.16, 2.7.1 to 2.7.5, 4.5 N, 5.9.1.1, 7.2.7.1P, 18.6.1 PEDESTRIAN FACILITIES ..................................................................................... 18.1 Definitions .......................................................................................................... 18.4 Design guidelines .............................................................................................. 18.6 Design policy ..................................................................................................... 18.3 Fencing .............................................................................................................. 23.10.3 Guidelines for installing sidewalks ..................................................................... 18.6.4 Shoulders........................................................................................................... 18.6.2 Sidewalk placement........................................................................................... 18.6.6 Site infeasibilities ............................................................................................... 18.6.1.2 PERMEABLE BASE................................................................................................ 3.2.4.4, 3.2.4.5, 3.2.9.3 B PIER PROTECTION ............................................................................................... 10.2.3.6 PHOTOGRAMMETRY ............................................................................................ 5.4.3.2

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PLANS ................................................................................................................ 8.10.1, 21.2 Accuracy of ....................................................................................................... 21.2.2.1 L Bridge plans....................................................................................................... 21.2.2.4 Y Clear Zone ......................................................................................................... 10.2.1 Contour grading ................................................................................................. 21.2.2.4 O Earthwork summary sheets ............................................................................... 21.2.2.4 N Estimate of quantities ........................................................................................ 21.2.2.4 D Geotechnical considerations ............................................................................. 9.7.4 General Plans 1:250 or smaller scale................................................................ 21.2.2.4 P Guide rail transition locations ............................................................................ 10.2.5.6 Index ................................................................................................................ 21.2.2.4 B Large culvert details........................................................................................... 21.2.2.4 W, 19.7 Legend............................................................................................................... 21.2.2.4 E Lighting plans ................................................................................................... 21.2.2.4 T List of Abbreviations .......................................................................................... 21.2.2.4 F Miscellaneous details ....................................................................................... 21.2.2.4 M Miscellaneous tables ........................................................................................ 21.2.2.4 L, 3.2.6 Order of Sheets ................................................................................................ 21.2.2.4 Pavement marking plans .................................................................................. 21.2.2.4 U Plan - small scale 1:500 smaller scale .............................................................. 21.2.2.4 H Profile 1:500 H, 1:100 V .................................................................................... 21.2.2.4 I Profile 1:250 H, 1:50 V....................................................................................... 21.2.2.4 Q Plan and table of highway maintenance jurisdiction ......................................... 21.2.2.4 K Plans, specification and estimate submission ................ (see FINAL PS&E SUBMISSION) Railroads............................................................................................................ 23.5, 23.12 Retaining walls................................................................................................... 21.2.2.4 X Signs and sign structures .................................................................................. 21.2.2.4 R Soils considerations......................................................... (see Geotechnical Considerations 9.4.5) Special plans .................................................................................................... 21.2.2.4 O Title sheet .......................................................................................................... 21.2.2.4 A Traffic control plan ............................................................................................ 21.2.2.4 J Traffic signal plans ............................................................................................ 21.2.2.4 S Typical sections ................................................................................................. 21.2.2.4 C Utilities ............................................................................................................... 13.4, 21.2.2.4 V PLANS, SPECIFICATION AND ESTIMATE SUBMISSION .................................................................. (see FINAL PS&E SUBMISSION) POINT OF NEED .................................................................................................... 10.2.2.1 PORTABLE TRAFFIC SIGNALS ............................................................................ 16.2.11 PORTABLE, VARIABLE-MESSAGE SIGNS .......................................................... 16.2.5 POSTS, FOR GUIDE RAIL ..................................................................................... 10.2.3.5 PRE-BID QUESTIONS ........................................................................................... 21.11 PRECAST BOX CULVERTS .................................................................................. 19.2, 19.7, 19.8 PROFILES .............................................................................................................. 21.2.2.1 L, 21.2.2.2, 21.2.2.4 I, Q PROJECT RELETTING .......................................................................................... 21.12 3/2/07 xviii

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PROJECT TYPES Bridge Projects ................................................................................................. 2.2, 4.1.3 Intersection Reconstruction ............................................................................... 2.2 New Construction/Reconstruction ..................................................................... 2.2 Resurfacing, Restoration & Rehabilitation(3R) on Interstates and Freeways ............................................................................. 7.2, 7.2.1 PROPOSAL, GEOTECHNICAL CONSIDERATIONS............................................. 9.7.3 PROPRIETARY SPECIFICATIONS ....................................................................... 21.3.5 PUDDLE DEPTH .................................................................................................... 8.7.4.4 C PURPOSE OF MANUAL......................................................................................... Chpt. 1 QUANTITIES, ESTIMATE OF................................................................................. 21.2.2.4 D QUEUE BYPASSES ............................................................................................... 24.5.3 RADII OF EDGE OF TRAVELED WAY - TURNING ROADWAY ........................................................................................................ 2.7.5.2, 7.2.7.2 RAILING, PROTECTIVE......................................................................................... 18.8.5 RAILROADS Bridge, new construction, reconstruction and misc. projects .............................................................................................................. 23.10 Construction issues to be considered during design ......................................... 18.7.4, 23.13 Design standards, laws and policies ................................................................. 23.3 Detailed design .................................................................................................. 23.9 Glossary of terms............................................................................................... 23.2 Highway bridge to grade crossing ..................................................................... 23.7 Key services delivered by Rail Design and Support Section ............................. 23.4 Metrication of railroad plans and specifications ................................................. 23.5 Plan Requirements for work affecting railroads ................................................. 23.12 Preliminary design ............................................................................................. 23.8 Project scoping .................................................................................................. 23.6 Resurfacing, Restoration and Rehabilitation (3R) Projects ............................... 23.11 RAISED MEDIANS ................................................................................................. 3.2.8.2 C, 3.2.8.2 D 18.7.6 RAMPS Capacity........................................................................... 6-17 to 6-22 Compound curves.............................................................................................. 5.7.3.5 A Control of access ............................................................. 6-35 to 6-36 Cross section ................................................................... 6-26 to 6-27 Curb ................................................................................................................ 18.7.3 Curvature ........................................................................................................... 2.7.5.2, 7.2.7.2 Design Speed .................................................................. 6-23.......................... 2.7.5.2, 7.2.7.2 Distance between successive ramp terminals................. 6-35 Escape............................................................................................................... 5.7.6 Grades ............................................................................. 6-26.......................... 2.7.5.2, 7.2.7.2 Metering............................................................................................................. 5.8.6.2, 24.5.1.1

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RAMPS (continued) Connector..................................................................................................... 24.5.2 Local............................................................................................................. 24.5.1.4 Pretimed ....................................................................................................... 24.5.1.2 Traffic-responsive......................................................................................... 24.5.1.3 Pedestrian.......................................................................................................... 18.7.3, 18.8.2 Sight distance .................................................................. 6-23.......................... 2.7.5.2, 7.2.7.2 Terminal design ............................................................... 6-27 to 6-35 Types .............................................................................. 6-17 Typical section data ........................................................................................... 2.7.5.2 RATIONAL METHOD.............................................................................................. 8.3.2.4 A REBATE (PAVEMENT SPLICE)............................................................................. 3.3.1.1 RECHARGE BASINS.............................................................................................. 8.7.7 RECOVERY AREA ................................................................................................. 10.1 REPORTS, SOIL..................................................................................................... 9.2.1 RESETTING GUIDE RAIL ...................................................................................... 10.5.7 RESOLUTIONS AND AGREEMENTS.................................. 14-1.......................... 13.4.2.2 B Authority and distribution ................................................. 14-5 Examples ......................................................................... 14-14 General ............................................................................ 14-2 Index to examples............................................................ 14-3 State-railroad force account agreement ............................................................ 23.2 REST AREAS ......................................................................................................... 18.7.9.5 RESURFACING, RESTORATION AND REHABILITATION PROJECTS............... 3.3, 7.1 to 7.3, 18.7.4 9.3.2, 10.3.2.2, 23.11 RETAINING WALLS ............................................................................................... 9.4, 10.3.1.2 B RETENTION FACILITIES ....................................................................................... 8.7.7 RIGHT OF WAY...................................................................................................... 3.2.11.4, 3.2.16, 5.5, 5.9.4.2, 18.6.6 Abstract request map......................................................................................... 5.5.1 Access control ................................................................. 6-35 to 6-47 ............. 3.2.9.3 C, 5.5.6, 5.7.15 Acquisition Plan ................................................................................................. 5.5.5 Base map........................................................................................................... 5.4.1 Determination of ................................................................................................ 5.5.3, 18.6.5.1 Design Approval Document (DAD) and Preliminary Plans ................................ 5.5.2 Encroachments.................................................................................................. 5.5.7 Excess ............................................................................................................... 5.5.8 Fencing .............................................................................................................. 10.5.2.2 Final Design Stage ............................................................................................ 5.5.5 Rights of Entry ................................................................................................... 5.5.6.8 Taking Line Review Meeting.............................................................................. 5.5.4 Types ................................................................................................................ 5.5.6 Width ................................................................................................................ 3.2.16, 5.5.3

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ROADSIDE Clear area .......................................................................................................... 3.2.6 Obstacle............................................................................................................. 10.2.1.1 Safety Concern .................................................................................................. 10.1 ROADWAY Definition............................................................................................................ 3.1.1 Delineation......................................................................................................... 3.2.5.4 ROCK Cuts .. ................................................................................................................ 10.3.1.2 B Cuts, typical section concerns ........................................................................... 3.2.15.2 Excavation ......................................................................................................... 9.3.12 Outcrop .............................................................................................................. 10.3.1.2 B ROLL-OVER ........................................................................................................... 2.6.12, 2.7.1 to 2.7.5, 3.2.5.1, 4.5 L, 7.2.7.1 L ROUNDABOUTS .................................................................................................... 5.9.1.3 C ROUNDING............................................................................................................. 3.2.12, 3.2.13.3, 3.2.14.1, 3.2.14.2, 10.2.1, 10.3.2.2 C RUMBLE STRIPS ................................................................................................... 3.2.5.4 SAFE-STRIPS....................................................................... (see RUMBLE STRIPS) SAFETY DEVICES ................................................................................................. 16.3 SAND BARRELS .................................................................................................... 10.2.6.2 SAND DRAINS........................................................................................................ 9.3.4 SAFETY WIDENING............................................................................................... 5.9.8.4 SAW AND SEAL ..................................................................................................... 3.3.1.2 A SECURITY, P&R LOTS .......................................................................................... 24.3.1.11 SERVICE ROADS................................................................. (see FRONTAGE ROADS) SETTLEMENT ........................................................................................................ 9.3.4 SHADOW VEHICLES ............................................................................................. 16.3.3 SHARED COSTS.................................................................................................... 8.7.8 SHARED-USE LOTS .............................................................................................. 24.3.1.13 SHARED-USE PATHS............................................................................................ 18.9 Access for persons with disabilities ................................................................... 18.9.1 Design................................................................................................................ 17.5 Use of sidewalks................................................................................................ 18.9.2 SHIM ....................................................................................................................... 3.2.4.5 SHOULDERS.......................................................................................................... 3.2.5, 3.2.9.3 D As Travel Lanes................................................................................................. 5.8.6.4, 24.5.4 Bicycling on........................................................................................................ 17.4.5 Break ................................................................................................................. 3.2.12, 3.2.5.3 Cross slope........................................................................................................ 3.2.5.1, 18.6.2 Definition............................................................................................................ 3.1.1, 7.2.7.1 C Nominal stabilized width .................................................................................... 3.1.1 Pedestrians on .................................................................................................. 18.6.2 Rumble Strips .................................................................................................... 3.2.5.4 xxi 3/2/07

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Surface type....................................................................................................... 3.2.5, 7.2.7.1 C Thickness .......................................................................................................... 3.2.5.2 Widths................................................................................................................ 2.6.3, 2.7.1 to 2.7.5, 4.5 C, 7.2.7.1 C, 7.2.7.2 SIDE SLOPES ........................................................................................................ 10.2.1, 10.2.3.5 SIDEWALKS ........................................................................................................... 3.2.11, 18.6 At bus stops ....................................................................................................... 18.10 Depth ................................................................................................................ 3.2.11.2, 3.2.11.3 Effective walkway width ..................................................................................... 18.6.5.1 Guidelines for installing ..................................................................................... 18.6.4 Maintenance of .................................................................................................. 18.6.4.3, 18.14 Minimum width................................................................................................... 18.6.5.1 SIGHT DISTANCE .................................................................................................. 5.7.2 Decision ............................................................................................................. 5.7.2.3 Horizontal........................................................................................................... 5.7.2.4, 10.2.2.5 Intersection ........................................................................................................ 5.9.5, 10.2.2.5, Appendix 5C Passing .............................................................................................................. 5.7.2.2 Stopping........................................................................... 6-23,6-25,6-55 ......... 2.6.8, 2.7.1 to 2.7.5, 4.5 H, 5.7.2.1, 7.2.7.1 H, Appendix 5B SIGNAL OPERATIONS .......................................................................................... 11.3.3.4 SIGNAL PHASING.................................................................................................. 11.3.3.1 SIGNAL PREEMPTION .......................................................................................... 11.3.3.5 C.2, 24.5.8.2 SIGNAL PRIORITY ................................................................................................. 11.3.3.5 B, 24.5.8.1 SIGNAL TYPES Beacon............................................................................................................... 11.3.1.10 Control ............................................................................................................... 11.3.1.3 Drawbridge ........................................................................................................ 11.3.1.6 Emergency Vehicle............................................................................................ 11.3.1.11 Flashing ............................................................................................................. 11.3.1.2 Lane Use ........................................................................................................... 11.3.1.1 One Lane Road ................................................................................................. 11.3.1.5 Pedestrian.......................................................................................................... 11.3.1.4 Railroad Crossing .............................................................................................. 11.3.1.9 Ramp Metering .................................................................................................. 11.3.1.8 SIGNAL WARRANTS ............................................................................................. 11.3.1.3 SIGNING ................................................................................................................ 4.7 HOV lanes Arterial .......................................................................................................... 24.4.3.1 Freeway........................................................................................................ 24.2.10.1 Shoulder use lanes ............................................................................................ 24.5.4.3 P&R lots............................................................................................................. 24.3.1.7 3/2/07 xxii

INDEX SUBJECT SECTION

SIGNS Breakaway ......................................................................................................... 10.2.1.2 Sign Data Sheets............................................................................................... 21.2.2.4 R SINGLE SLOPE CONCRETE MEDIAN BARRIERS............................................... 10.2.4.6 SITE INFEASIBILITY .............................................................................................. 18.6.1.2, 18.5.5.3 SITE INSPECTION RECORD................................................................................. 10.3.1.2, 10.3.3.2 SITE SELECTION, P&R LOTS ............................................................................... 24.3.1.2 SLOPES.................................................................................................................. 3.2.1.3 Cut ..................................................................................................................... 9.3.9 Retained Earth................................................................................................... 9.4 SNOW CONTROL .................................................................................................. 5.7.13 Drift Free Roads ................................................................................................ 5.7.13.3 Shelterbelts........................................................................................................ 5.7.13.2 Snow Fences ..................................................................................................... 5.7.13.1 Snow Storage Area............................................................................................ 3.2.11.1 SOILS (GEOTECHNICAL)...................................................................................... 9.1 to 9.7, 7.2.16 SPECIAL NOTES.................................................................................................... 8.10.3, 13.6.3, 21.4, 23.4, 23.12 SPECIFICATIONS .................................................................................................. 8.10.2, 21.3 Changed conditions clause ............................................................................... 21.3.7 Composite Specifications .................................................................................. 21.3.6 Control Report or Addenda Catalog (Specification Status) .......................................................................................................... 21.3.1 Pay Item Selection............................................................................................. 21.3.8 Proprietary Specifications ................................................................................. 21.3.4 Railroads............................................................................................................ 23.5 Salvage Items .................................................................................................... 21.3.5 Soil..................................................................................................................... 9.7.2 Special Specification Approval Process ........................................................... 21.3.2 Special Specification Format ............................................................................. 21.3.3 SPEED CHANGE LANES (see ACCELERATION LANES or DECELERATION LANES) SPIRAL TRANSITION CURVES............................................................................. 5.7.3.3 A, Exhibit 5-15 SPLICES, PAVEMENT TERMINATION ................................................................. 3.3.1.1 B STABILITY, SLOPE ................................................................................................ 9.3.5 STAIRWAY ............................................................................................................. 18.8.1 STANDARDS Geometric Design .............................................................................................. 2.3, 7.2.6 Pedestrian facilities............................................................................................ 18.6 Bicyclist facilities ................................................................................................ 17.4.3 Railroad ............................................................................................................. 23.3 STANDARD SHEETS ............................................................................................. 8.10.4, 21.2.2.4 A, 21.6 Soil..................................................................................................................... 9.7.4 STONE FENCES .................................................................................................... 10.5.2.1 STONE FILLING ..................................................................................................... 19.12, 3.2.14.2 STOPPING SIGHT DISTANCE (see SIGHT DISTANCE) xxiii 3/2/07

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STRATEGIC HIGHWAY CORRIDOR NETWORK.................................................. 2.5.3.1 STORM DRAINAGE SYSTEMS ............................................................................. 8.7 Drainage structures ........................................................................................... 8.7.6 Gutters ............................................................................................................... 8.7.3 Hydrologic analysis............................................................................................ 8.7.2 Inlets .................................................................................................................. 8.7.4 Maintenance ...................................................................................................... 8.7.9 Planning and coordination ................................................................................. 8.7.1 Shared costs...................................................................................................... 8.7.8 Storage facilities ................................................................................................ 8.7.7 Storm drains ...................................................................................................... 8.7.5 STRUCTURAL CAPACITY ..................................................................................... 2.6.13, 2.7.1 to 2.7.5, 4.5 M, 7.2.7.1 M SUBBASE COURSES ............................................................................................ 3.2.4.3, 3.2.4.6 3.3.1.2, 3.3.4, 3.3.5 SUBGRADE ............................................................................................................ 3.2.4.6 SUBSURFACE ABBREVIATIONS AND SYMBOLS............................................... 9.7.4 SUBSURFACE EXPLORATION ............................................................................. 9.2.2 SUBURBAN ROADS .............................................................................................. 10.2.7.4 SUPERELEVATION................................................................................................ 2.6.7, 2.7.1 to 2.7.5, 3.2.3, 3.2.5.1, 4.5 G 5.7.3, 5.9.3.5, 7.2.7.1 G, 7.2.7.2 SUPPLEMENTAL INFORMATION AVAILABLE TO BIDDERS .............................. 21.7 SURVEY Design................................................................................................................ 5.4 Utility Facility Location ....................................................................................... 13.4 SYMBOLS, STANDARD ......................................................................................... 21.2.2, 21.2.2.7 TAILWATER ........................................................................................................... 8.6.3.1 B, 8.7.5.3 C TAPER RATES ....................................................................................................... 10.2.5, 10.4.1 TEMPLATE, DRIVEWAY ........................................................................................ 3.2.11.4 TEMPORARY IMPACT ATTENUATORS ............................................................... 16.3.4 TEMPORARY RUMBLE STRIPS ........................................................................... 16.3.6 TEMPORARY SAND BARREL ARRAYS ............................................................... 16.3.5 TEMPORARY TRAFFIC BARRIERS...................................................................... 16.3.1 TEMPORARY TRAFFIC SIGNALS......................................................................... 16.2.10 TERMINALS............................................................................................................ 10.2.5 TERMINATION SPLICE.......................................................................................... 3.3.1.1 B TERMINOLOGY, HIGHWAY .................................................................................. 3.1.1 TERRAIN ................................................................................................................ 2.5.2 TERRAIN DATA...................................................................................................... 5.4 THRIE BEAM .......................................................................................................... 10.2.3.3 TIMBER CURBS ..................................................................................................... 10.4.2 TITLE SHEET FOR PLANS .................................................................................... 21.2.1, 21.2.2.4 A TOP COURSES ...................................................................................................... 3.2.4.5 3/2/07 xxiv

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TRAFFIC Data for design.................................................................................................. 2.5.1.1 to 2.5.1.3, 5.2.1, 7.2.4 TRAFFIC CALMING................................................................................................ 5.8.7, 25.1 to 25.8 Community involvement .................................................................................... 25.7 Conditions for consideration of .......................................................................... 18.7, 25.5 Guidance and requirements .............................................................................. 25.3 Monitoring projects ............................................................................................ 25.8 Policy ................................................................................................................ 25.2 Project objectives............................................................................................... 25.4 Speed categories............................................................................................... 25.6.1 to 25.6.4 Techniques ........................................................................................................ 25.6 TRAFFIC CONTROL DEVICES.............................................................................. 16.2 TRANSITION OF Guide Rail .......................................................................................................... 10.2.5.6 Median Barrier ................................................................................................... 10.2.4.5 Superelevation................................................................................................... 3.2.3, 5.7.3, 5.9.3.5 TRAVELED WAY DEFINITION............................................................................... 3.1.1 TRAVELED WAY WIDENING ALONG SHARP HORIZONTAL CURVES.................................................................................... 5.7.3.4 TRAVELER INFORMATION SYSTEMS................................................................. 24.5.9 TRAVERSABLE Area ................................................................................................................... 10.2.1 Slope.................................................................................................................. 10.2.1 TREE REMOVAL .................................................................................................... 10.2.1.2 A TRENCH, CULVERT AND STRUCTURE EXCAVATION....................................... 9.3.12 TRUCK BARRIER................................................................................................... 10.2.4.9 C TRUCK ESCAPE RAMPS ...................................................................................... 10.2.6.5 TRUCKS Acceleration Lanes for ..................................................... 6-34 Climbing lanes ................................................................................................... 2.7.5.7, 5.7.5 Percent of ........................................................................ 6-34 TRUING AND LEVELING COURSES .................................................................... 3.2.4.5 TURNING LANES ................................................................................................... 3.2.8.2, 5.9.4.6, 5.9.8.2 TURNING ROADWAYS, DESIGN WIDTH ............................................................. 2.7.5.4 TWO-WAY BUSWAY LANES ................................................................................. 24.2.6 TYPICAL SECTIONS Elements of........................................................................................................ 3.1.1, 3.2 Samples of completed ....................................................................................... 3.4 UNDERDRAINS...................................................................................................... 9.3.8

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UNSUITABLE MATERIAL....................................................................................... 9.3.6.3, 9.7.4 Excavation ......................................................................................................... 9.3.6.2 Stripping............................................................................................................. 9.3.6.1 UTILITIES ............................................................................................................... 5.8.1.3, 7.2.17, 13.1-13.8 Accommodation ................................................................................................. 13.2.1, 13.2.2, 13.2.3 Agreements ....................................................................................................... 13.5.2.2 Betterments ....................................................................................................... 13.5, 21.5.3 Controlled Access highways.............................................................................. Appendix 13A Coordination ...................................................................................................... 13.3 Definition............................................................................................................ 13.1 Design Phases I-VI ............................................................................................ 13.4 Location ............................................................................................................. 13.4.1.1 Plans.................................................................................................................. 13.4 Poles.................................................................................................................. 10.2.7.4 C Railroads............................................................................................................ 13.1, 23.10.6, 23.12 Reimbursement ................................................................................................. 13.5.2 Relocation.......................................................................................................... 13.5 Rules and Regulations....................................................................................... 13.2.1 Secondary county highways with Federal Aid ................................................... 13.2.1 Subsurface Utility Engineering........................................................................... 13.4.1.1 E Utility Facility Inventory Report .......................................................................... 13.4, Appendix 13D Steps for design................................................................................................. 13.4 VARIABLE MESSAGE SIGNS................................................................................ 24.5.9.1 VAULTING .............................................................................................................. 10.2.2.4 VEHICLE-ARRESTING BARRIER (NET TYPE)..................................................... 16.3.2 VEHICLES Criteria (for HOV lane use) ................................................................................ 24.2.3.1 Design................................................................................................................ 5.7.1, 7.2.7.3 A Trucks ................................................................................................................ 2.5.1.2 VERTICAL CLEARANCE........................................................................................ 2.6.10, 5.7.12 Airway ................................................................................................................ 5.7.12.4 Railroad ............................................................................................................. 5.7.12.2, 23.10.1 Roadway............................................................................................................ 2.6.10, 2.7.1 to 2.7.5, 3.3.1, 4.5 J, 5.7.12.1, 7.2.7.1 Waterway........................................................................................................... 5.7.12.3 WALLS.................................................................................................................... 9.4 WATER HAZARD .................................................................................................. 10.2.1.1 WATER QUALITY................................................................................................... 8.2.2.5 WATERPROOF MEMBRANE................................................................................. 19.13 W-BEAM GUIDE RAIL ............................................................................................ 10.2.3.2 WEATHERING GUIDE RAIL .................................................................................. 10.2.3.7 WEAVING ............................................................................................................... 6-48 WICK DRAINS ........................................................................................................ 9.3.4 3/2/07 xxvi

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WIDENING.............................................................................................................. 3.3.4 Geotechnical Considerations............................................................................. 9.3.3 Intersection ........................................................................................................ 5.9.8 To introduce median .......................................................................................... 3.2.8 WIDTH Parking lanes ..................................................................................................... 2.7.2.2 B, 2.7.3.2 B, 2.7.4.2 B Travel lanes ....................................................................................................... 2.7.1 to 2.7.5, 7.2.7.1 A Turning lanes ..................................................................................................... 2.7.2 to 2.7.4, 3.2.8.2 B Turning roadways .............................................................................................. 2.7.5.2, 2.7.5.4 WINGWALL ............................................................................................................ 19.4.4 WORK ZONES........................................................................................................ Ch.16 WORK ZONE SPEED LIMITS ................................................................................ 16.4.6 WORK ZONE TRAFFIC CONTROL LAYOUTS ..................................................... 16.4.7

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