design exceptions and design variances form - Maricopa County ...

Maricopa County
Department of Transportation
Project Management Office
DESIGN EXCEPTIONS AND DESIGN VARIANCES FORM
Project Management and Construction Division Form
Do not attach superfluous materials, such as complete project plan sets or engineering reports
unless specifically requested by the Project PS&E Reviewer.
Design Exceptions/Variance Summary:
Project Name:
Project Number:
Submitted By:
Project Manager:
Date:
Date:
Project Manager Signature:
Project Description:
Last Revised: Mar 2013 Page 1 of 4

Maricopa County
Department of Transportation
Project Management Office
Proposed Project and Nonstandard Features
Nonstandard Features:
Standard for Which Exception/Variance is Requested:
Existing Roadway:
Safety Improvements:
Total Project Cost: $
Reason for Requesting Exception/Variance:
Added Cost to Make Standard:
Traffic Data:
Last Revised: Mar 2013 Page 2 of 4

Maricopa County
Department of Transportation
Project Management Office
Accident Analysis:
Incremental Improvements:
Future Construction:
Project Reviews, Concurrence:
Attachments:
Other Comments:
Last Revised: Mar 2013 Page 3 of 4

Maricopa County
Department of Transportation
Project Management Office
Reviewers
Traffic and Safety Engineer:
Date:
Signature:
Construction Engineer:
Date:
Signature:
Engineering Division Manager:
Date:
Signature:
Transportation Planning Division Manager:
Date:
Signature:
Project Management and Construction Division Manager:
Date:
Signature:
Director:
Date:
Signature:
Last Revised: Mar 2013 Page 4 of 4

MARICOPA COUNTY
DEPARTMENT OF TRANSPORTATION
Project Management & Construction Division
PROJECT MANAGEMENT PROCEDURE
BULLETIN
Bulletin
Title:
Design Exceptions and Design
Variances Form Procedure
Purpose:
To Outline the Standard
Procedure and Steps to Follow for
Completing the Design Exception
and Design Variances Form
Effective Date:
March 26, 2013
Authorized Signature:
________________________
John B. Hauskins, P.E.
Transportation Director
Division:
All
Procedure Statement:
All design elements which do not meet MCDOT design standards require a design exception. All
design elements which meet MCDOT design standards yet do not meet recommended design values
will require a design variance.
Design exceptions and design variances must be submitted for review/ approval to the Project
Manager, Traffic & Safety Engineer, and to the following divisions depending on whether the
exception involves them: Construction Engineer, Engineering Division Manager, Transportation
Planning Division Manager, Project Management and Construction Division Manager and the
Director.
Design exceptions and design variances are required with project types as follows:
• For new construction and major reconstruction, design elements shall conform to MCDOT
design standards, with any deviations requiring a Design exception/variance; or
• For existing roadway design elements to remain, Design exceptions/variances are required for
design values not meeting the MCDOT Design Standards.
Once the need for a design exception or design variance is identified, the Design Team shall:
• Submit six copies of the design exception request (Signed & Sealed) to the MCDOT Project
Manager with supporting documentation (i.e., typical, plan sheet, profiles, photos, etc.) and
Design Exceptions and Design Variances Form after a design exception/variance meeting has
been held;
• Evaluate the effects of the design exception/variance on the safety and operation of the
facility in the documentation to justify retention of a substandard feature. Consider the
following four issues in the analysis:
o To what degree is the standard being reduced;
o Will the exception affect other standards;
o Are there any features being introduced to mitigate the design deviation; and
PMO 2013 - 1 - Last Revised: Mar 2013

o Are the design exceptions a result of implementing a cost saving measure(s) and what
are the trades off?
The Design Team shall make all design exception and design variances submittals to the following
parties:
• Project Manager;
• Traffic & Safety Engineer;
• Construction Engineer; and
• The Design Team shall keep all design exception and design variance requests and approvals
in the design project file.
After reviews from the Project Manager, Traffic and Safety Engineer and the Construction Engineer,
the Project manager will forward the design exception and design variances submittals to the
Engineering and Transportation Division Manager, Project Management and Construction Division
Manager and the Director.
1.0 When to Use This Form
This form will be used when the need for design exceptions or variances has been identified by the
Design Team.
The need for design exceptions and design variances during the Final Design Phase of a project
should be minimized with a thorough analysis during the Scoping Phase. It is, however, not
uncommon in the refinement of design elements during the Final Design Phase and after obtaining
more precise design data that the need for design exceptions or variances becomes evident. It is
important that the Design Team address these changes from the scoping document early and in an
expedient manner. By addressing the potential exceptions or variances in the early stage of design,
impacts on schedule and project cost can be minimized. All of the controlling design elements
requiring design exceptions should be refined and identified by completion of the Scoping Plans.
The Pre-Final Design Phase, prior to submittal of plans for review, is the final time that a design
exception or design variance may be submitted for consideration. Identification of the need for design
exceptions and design variances after the Pre-Final Plans is an indication that the Designer has not
thoroughly reviewed the design for compliance with the applicable standards. Only rarely and with
strong justification will requests for design exceptions or design variances after the Pre-Final Design
be considered. Design exceptions and design variances will not be granted based upon a lack of
adequate time to make changes to meet the project schedule.
2.0. Steps to Complete
2.1. Proposed Project and Nonstandard Features
Project Description:
Briefly describe the project; what is the proposal? Note the type of project and/or major elements of
work to be done, such as safety or operational improvement, roadway widening, rehabilitation,
reconstruction, etc. Provide the geographic project limits and length.
Nonstandard Features:
Describe the proposed nonstandard feature or the existing nonstandard feature which is proposed to
be maintained; if newly proposed, is the nonstandard feature an improvement over the existing
condition?
PMO 2013 - 2 - Last Revised: Mar 2013

Standard for Which Exception/Variance Is Requested:
State the specific standards and refer to the applicable Chapter, Topic, or Index numbers of the
MCDOT Roadway Design Manual or applicable AASHTO Standards.
Existing Roadway:
Describe the general roadway characteristics, focusing on those features relevant to the proposed
design exception, such as the width of lanes, shoulders, median, roadbed, and structures; horizontal
and vertical alignment and clearances; design speed, sight distance, grade, cross slope, super elevation,
etc. Is the existing roadway a part of the County primary road network?
Provide a similar, but brief, description of adjacent roadway segments, highlighting existing
nonstandard features when relevant to the proposed exception.
Safety Improvements:
Describe proposed improvements that would qualify as safety enhancements, such as: median barrier,
guardrail upgrade, flattening slopes, correcting super elevation, eliminating roadside obstructions,
reducing roadway hazards, etc.
Total Project Cost:
Include a good summary estimate of project cost segregated by major elements, including: roadway,
structures, right of way, utility relocation, environmental mitigation, etc., as needed.
2.2. Reason for Requesting Exception/Variance
Be thorough, but brief; justification must be as complete and convincing as possible. Reasons
exceptions/variances have been granted in the past include a combination of excessive cost, right-ofway
impacts and/or environmental impacts. Supportive factors have included low crash frequency,
local opposition, and consistency with adjacent roadway segments.
A commitment to correct a nonstandard feature with a future project should not be made in the Fact
Sheet unless absolutely necessary. If a commitment must be made, the follow-up project is to be
programmed and MCDOT must have the authority to define the project's scope. Additionally, the
follow-up project's status must be monitored in accordance with the procedures established by
MCDOT.
2.3. Added Cost to Make Standard
Summarize an estimate of the added cost above the proposed project cost which would be required to
meet the design standard for which the exception is requested. The estimate does not have to be
highly developed, but must be realistic.
Also, when the Fact Sheet covers multiple nonstandard features, provide separate cost summaries for
the "standardization" of individual design features.
2.4. Traffic Data
Include both AADT's and design (peak period) hourly volumes. For 3R (i.e., rehabilitation) projects,
use current year traffic. For all others, use design year traffic, usually 20 years after construction is
complete. For interim projects that are to be superseded by programmed future construction, provide
traffic data for both the ultimate programmed construction year and the ultimate project's design year.
PMO 2013 - 3 - Last Revised: Mar 2013

2.5. Crash Analysis
Traffic safety is of primary importance to both design and local programs when considering approval
or rejection of design exceptions. To strengthen the justification for design exceptions, the Fact Sheet
must include an analysis of crash data to identify prevalent crash types and causes, plus an evaluation
of the effect of the requested design exceptions on crash types and frequencies.
Summarize an analysis of how the proposed project will help alleviate identified safety problems; or as
a minimum, how it will not contribute to any increase. This analysis must be based on evaluation of
crash data regarding both the number and severity of crashes as well as actual versus statewide average
crash rates. For design exceptions related to spot locations (i.e., nonstandard vertical curve) on existing
roadways, analyze only the crash data within the vicinity of the feature. The analysis should also
examine data for high crash frequency spot locations, if any are within the proposed project limits.
The data analysis should be supplemented by a review of crash diagrams covering the project area in
order to enhance the understanding of prevalent crash types and how they relate to existing and
proposed Roadway design features. Provide the summary of "actual" versus "expected" crashes;
however, merely stating the "actual" versus "expected" numbers is insufficient.
In determining crash causes, keep in mind that although terms like "excessive speed", "inattention",
"failure to yield right of way", "under the influence", etc., are perfectly valid for the law enforcement
agencies, they have meaning for the roadway engineer only as they relate to the underlying roadway
characteristics. Hence, the engineer must instead look for other reasons, such as: tight radius curves
with inadequate super elevation, high-volume turning movements without separate turn lanes, a
concentration of rear-end/side-swipe crashes in a particular lane, etc. In general, the crash
concentrations detected in this manner are too small for a printout, but collectively they are the key to
understanding the vehicle-roadway interactions that are the basic causes of crashes.
2.6. Incremental Improvements
Discuss other practical alternatives that are intermediate in scope and cost between the proposed
project (requiring this design exception) and the full, standard solution.
Provide enough information on cost versus benefit, right of way and environmental impact, etc., to
explain why none of the incremental alternatives are recommended.
These alternatives should normally be investigated prior to requesting an exception.
2.7. Future Construction
Describe any planned future projects in the vicinity of the proposed design exception, but do not
make a commitment to correct the nonstandard design features unless absolutely necessary. If a
commitment must be made, describe the follow-up project's funding source and schedule as listed in
the appropriate programming documents.
2.8. Project Reviews, Concurrence
Note relevant project reviews by the Project Manager, plans, specifications and engineer’s estimate,
PS&E Reviewers, Traffic & Safety Engineer, and Construction Engineer. Provide the date of meeting
or discussion, and state the individual's concurrence with the proposed design exception.
PMO 2013 - 4 - Last Revised: Mar 2013

2.9. Attachments
• Provide location and/or vicinity map for the project. When the Form covers multiple
exceptions at various locations, a project strip map may be provided to indicate the general
location of the various design exceptions;
• Provide cross sections and/or special details to clearly illustrate the proposed condition for
each location that does not meet the standards; and
• Letters, resolutions, traffic study summaries, etc., which further develop or clarify the reasons
discussed, may be attached.
PMO 2013 - 5 - Last Revised: Mar 2013