Chapter 3 - Project Initiation

Chapter 3 - Project Initiation

After a project is originated in accordance with one of the mechanisms described in Chapter 2, it is assigned to a section within DelDOT for further development. This stage in the project development process is generally referred to as project initiation. This chapter serves to document the numerous tasks that a section must perform as part of the project initiation process once assigned a project. Project initiation is a relatively short phase in the project development process but serves an essential role of establishing an initial project baseline to follow through the remainder of the project development process. The activities described within this chapter can be performed in various orders depending on the complexity of a project. For instance, it may be preferrable to perform a detailed scoping and alternatives analysis prior to setting a project schedule while on other projects it may be preferable to account for the scoping and alternatives analysis within the initial project schedule submitted with the Project Number Request.

3.1 Establishment of the Design Team

The section assigned to develop a project should establish a design team comprised of a Project Manager and technical design staff as soon as practical. Collectively, the design team is charged with guiding a project through DelDOT’s project development process outlined within this manual. The Project Manager’s role in the project development process is to coordinate technical design staff assignments and ensure that all work is being completed at the correct performance level, on time, and within budget and scope. The technical design staff’s role in the project development process is to perform the tasks assigned to them by the Project Manager in accordance with this manual as well as other DelDOT standard and guidance documents. It is essential that the design team effectively communicate among itself and with other project team members and stakeholders to ensure effective project delivery. The Project Manager should evaluate the composition of the team at regular intervals throughout the project development process to ensure on-time and on-budget delivery. Design team changes should be communicated to pertinent stakeholders as necessary through the project development process.

In general, projects can either be developed through in-house staff or can be developed in-whole or in-part by contracted consultant staff through professional service agreements. The Project Manager should consider multiple factors when establishing the design team, including but not limited to, the following:

• Availability of in-house staff,
• Expertise and experience required to perform project related tasks,
• Desired implementation schedule, and
• Available funding.

The procurement and subsequent management of professional services is further discussed in Section 3.4 of this manual.

3.1.1 Support Sections

The design team’s efforts are supplemented by Support sections throughout DelDOT. Support sections typically oversee a particular area of the of the project development process and perform ancillary tasks to deliver a project. Support sections are relied upon by DelDOT as subject matter experts within their field due to their focus and expertise on a particular subject matter within the project development process. The process established in this manual is intended to leverage the expertise and experience of DelDOT’s of subject matter experts in order to develop complete, accurate, and thorough project deliverables which meet the applicable state and federal requirements. Coordination with subject matter experts is typically triggered by milestone submittals which are discussed in more detail in Section 6.3; however, communication and coordination with DelDOT subject matter experts should occur fluidly throughout the project development process as needs arise. Early and consistent communication throughout the project development process will promote informed decision-making, reduce duplicated efforts amongst staff, and allow early identification and subsequent remediation of challenges that could jeopardize project delivery.

3.2 Project Baselining

Project baselining is the term assigned to the task of evaluating a project’s specific conditions, parameters, and other associated constraints to determine an estimated project schedule and budget. A project is baselined during the project initiation phase and will typically be re-baselined several times throughout the full project development process. The design team should collaborate with support sections as needed while performing this task to ensure the development of accurate project baselines. Accurate project baselining is essential to the development of a fiscally constrained program to make efficient use of transportation funds.

3.2.1 Initial Project Baselining

Once assigned a project, the assigned section must review the project’s proposed scope and any associated planning and study level documents to create a project schedule, budget, public involvement plan, and an initial environmental evaluation. In cases where the project scope and goals are unclear, additional project scoping and alternatives analysis may be performed before establishing the project’s initial baseline. Some projects may come with a previously developed schedule and budget depending upon the program generating the project; in these cases, the design team should evaluate the validity of any previously developed schedules and budgets before formally committing to any previously developed project baselines.

The design team should evaluate the project at this initial baselining stage to determine if an alternative project delivery or alternative contracting method should be pursued for the project. Additional information on the available contracting and project delivery methods are provided in Section 6.1.

At a minimum, the assigned section should make a concerted project scoping effort to identify the key project stakeholders as well as other specific conditions or parameters that could affect the project development process while developing the initial baseline. Additional information on project scoping is included in Section 3.6.

3.2.1.1 Schedule

Project scheduling requires the identification of necessary work activities, development of work-hour estimates for work activities, and then defining relationships between the work activities to produce the project desired deliverables. The Project Manager is tasked with either verifying a previously developed project schedule or developing a new project development schedule as part of the project initiation process. The initial project development schedule will need to identify the proposed completion month for all milestone project development deliverables. DelDOT’s typical milestone deliverables are discussed in more detail in Section 6.3. The Project Manager is encouraged to use scheduling tools commensurate with the project’s complexity to assist in the development of the initial project schedule. Project scheduling tools can range from a simple Excel spreadsheet to a complex scheduling software that assigns task durations and analyzes critical paths.

The Project Manager should consider all project specific criteria when developing the initial project schedule. Considerations include, but are not limited to, the following:

• The potential use of any contracting methods as discussed in Section 6.1,
• Availability of the assigned design team,
• Experience and associated capability of the assembled design team,
• Complexity of the project,
• The number and type of desired milestone submittals and deliverables,
• Identification of any critical project milestone dates,
• Time needed for initial site investigation,
• The type and amount of expected public involvement,
• Time needed for any necessary property acquisitions or trespass/ rail agreements,
• Time needed for utility coordination and potentially relocations,
• Time needed to satisfy pertinent environmental requirements (i.e. permitting, wetland mitigation, 106 compliance, NEPA compliance etc.), and
• Any publicly committed completion timeframes.

3.2.1.2 Budget

Accurately establishing the budget during the project initiation phase is essential to ensuring a fiscally responsible program and proper project funding. Overestimating the budget will lead to surplus funds being withheld from other infrastructure projects and underestimating the budget could lead to schedule disruptions. A project may be assigned to a section either with or without an already estimated budget depending upon the mechanism generating the project. Whether or not the project is assigned with a pre-estimated budget, the Project Manager and the design team should perform a project cost estimate for the design phase, the right-of-way acquisition, and construction phase which is commensurate with the project’s complexity and overall size. Additional information on cost estimating is included within Section 6.5. In all cases, the project’s budget during this stage in the project development process is to be recorded into the following funding phases:

• Preliminary Engineering (PE, includes all design related work required to get the project through the advertisement phase),
• Right-of-Way (RW), and
• Construction (C, includes any construction contingency, environmental monitoring during construction, railroad construction, traffic construction, reimbursable utility design, inspection, and construction, and construction engineering (CE) costs).

Items the Project Manager should consider while developing the initial project budget, include but is not limited to, the following:

• Professional services required to perform existing site investigation activities discussed in Section 3.7,
• Professional services required to perform project design,
• Professional services required to perform any ancillary tasks required to deliver a project (i.e. utility coordination, public outreach, environmental permitting etc.),
• The expected cost of any right-of-way acquisitions that may be required, and
• The expected cost of all necessary construction and inspection activities.

Another important item to establish is whether the project will receive federal funding during any project funding phase. This will typically be a joint decision between the design team and the Division of Finance. It is important to note that once federal funds are used in any funding phase that all previous work performed must meet the pertinent federal requirements.

Projects assigned with a pre-estimated budget listed in the Capital Transportation Plan (CTP) may require a funding increase when it is determined the dedicated funding is insufficient. Additional information on funding increases is provided in Section 5.8.

3.2.1.3 Initial Environmental Evaluation

Department Resources
Initial Environmental Evaluation Form

The Project Manager should request an initial environmental evaluation from the DelDOT Environmental Stewardship section as part of a project’s initial baselining. The initial environmental evaluation serves to inform the Project Manager and the design team of the environmental coordination related processes and deliverables which will need to be accounted for during their initial baselining effort. To obtain an initial environmental evaluation, the design team will need to complete the Initial Environmental Evaluation Form and submit it to the Environmental Stewardship section. The Environmental Stewardship section will review the information provided by the design team and complete the remainder of the form. The Environmental Stewardship section will submit the completed form back to the design team and will request that the design team attend the next Environmental Stewardship section group meeting, commonly referred to as the ESO meeting, to discuss the content of the initial environmental evaluation as well as the division of work between the design team and the Environmental Stewardship section. The Environmental Stewardship section may contact the Federal Highway Administration (FHWA), or other federal administering agency, in accordance with 23 CFR 771.111(a)(3) to obtain advice, insofar as possible, on the probable class of action and related environmental laws and requirements and of the need for specific studies and findings that would normally be developed during the environmental review process. At a minimum, the initial environmental evaluation will provide the following:

• The initial level of environmental documentation and class determination,
• Identification of design/project development considerations, including but not limited to, historic properties and structures, archaeological sites, tribal coordination requirements, Section 4(f) and 6(f) properties, wetlands and waterbodies, endangered species, and environmental justice (EJ),
• An initial public involvement strategy requirement, and
• Funding needs and task assignments.

3.2.1.4 Public Involvement Plan

Department Resources
Project Public Involvement Plan Worksheet
Public Involvement Initial Outreach Letter
Project Webpage
Standardized Webpage Information

DelDOT recognizes the many benefits of performing public involvement throughout the project development process and therefore, strives to proactively engage with the public. Effective public engagement practices will vary considerably based on many project-specific factors including a project’s scope, number of stakeholders, complexity, issues of public concern, and impact size and severity. Shortly after project initiation, the project team should coordinate to develop a project-specific public involvement plan that is tailored to the individual project. DelDOT provides a standard Project Public Involvement Plan Worksheet to assist the design team in identifying and then developing the key components of their public involvement plan. DelDOT’s public engagement practices are more fully described in Section 5.1.

Shortly after project initiation and before the start of any field survey activities, the design team should customize and then send DelDOT’s standard Public Involvement Initial Outreach memorandum to all property owners and Homeowner Associations within or surrounding the logical project limits as well as to local municipalities and area legislators. The letter provides a brief description of the project’s purpose and scope, a link to the project’s website, notification of the upcoming site investigation activities that may be occurring in the near future, and an explanation of DelDOT’s right to enter private property to perform the necessary site investigations. In addition to this standard information, the letter can also be used to solicit public input on perceived transportation issues in the project area through use of either hard copy or online survey formats. The project team is encouraged to file the Public Involvement Initial Outreach letter distribution list so that it can be referenced and used as a starting point for future information distributions to the public.

Providing a project website is a relatively simple way of providing valuable information to the public as a project progresses. The project team is to consider creating a project website that will be located on DelDOT’s Projects’ webpage during the project initiation phase. When a website is desired to be created, it is typically generated automatically through the project number request process described in Section 3.3. Ideally, project websites should be created ahead of the performance of any field survey work.

DelDOT’s project websites utilize a common template and provides standardized information. Graphics and other information can be added at any point when they become available. Graphics placed on the project website typically include a colored depiction of the proposed transportation improvements with an aerial background and appropriately labeled roads and landmarks to convey the project to the public. The graphics and other visual aids on the project website should be updated throughout the project development process when additional visualization aids are created. The design team should review the project website at every project submission milestone or every four months to ensure accuracy.

3.2.2 Project Re-Baselining

A project’s schedule and budget should be re-baselined throughout the project development process to ensure the efficient use of DelDOT resources and to minimize the potential for creating duplicate work products. Projects are typically re-baselined at the milestone submissions described in Section 6.3 and should also be re-baselined when major changes within the project development process occur such as a change in the project team occurs or when previously unanticipated work and coordination efforts become required. Reference should be made to Section 5.8.1 when re-baselining reveals the project has insufficient funds.

3.2.2.1 Re-Baselining at Milestone Submissions

Department Resources
Unifier Training Outline
Youtube Tutorial Video

A project’s schedule and budget are to be updated in Unifier at each milestone submission to communicate a project’s current estimated budget and schedule to the rest of DelDOT. The project’s schedule and budget can be estimated using the same considerations as the initial project baselining effort described in Section 3.2.1. DelDOT maintains written procedures for updating a project’s information in its Unifier Training Outline and maintains a tutorial video on the subject on its Youtube channel.

3.2.2.2 Spend Updates

A spend plan that outlines when the project team estimates money will be spent by state fiscal year throughout the project development process is created as part of the procedure outlined in Section 3.2.1. Periodically throughout the course of the project development process, the Project Manager will review the actual rate of project expenditures compared to the expected expenditure rate in order to evaluate the accuracy of the spend plan. After their review, the Project Manager can recommend that money be moved up in the spend plan or moved back. This practice of reviewing and making recommendations on project funding to the DelDOT Finance team is known as making spend updates. DelDOT sections typically use different spend update intervals based on the amount, complexity, typical schedule, and budget of projects being managed by the section. Conducting spend updates also provides a good opportunity for the Project Manager to review the project’s overall budget to determine if the project will require additional funding or if the project has a surplus amount of funds allotted.

3.3 Project Number Request

Department Resources
Unifier Instructions on the DRC

Once the initial project baselining is complete, a New Project Request and subsequent Project Number Request can be performed. DelDOT assigns a state project number and a federal project number, when necessary, to its projects to assist with project identification and tracking. The New Project Request and Project Number Request processes are performed through DelDOT’s Unifier software. DelDOT maintains many Unifier related instructions and tutorials on its Design Resource Center (DRC) website.

3.4 Professional Services

The need for professional services should be considered by the Project Manager as early as feasible during the project initiation phase as their use will need to be factored into the project baselining activities described in Section 3.2.1. Professional services can be used to perform specific portions or all the project design; additionally, professional services can be used to perform design support activities like site investigations. This section summarizes considerations for procuring and managing professional services. The need for professional services must be evaluated on a project-by-project basis and approval of their use should be obtained at the Assistant Director level prior to project procurement.

3.4.1 Professional Services Procurement

Department Resources
Professional Services Procurement Manual

DelDOT is required to maintain written procedures related to professional service procurement in accordance with both the Delaware Code and the Code of Federal Regulations (CFR). DelDOT’s written procedures for obtaining professional services are recorded in its Professional Services Procurement Manual. The manual establishes DelDOT’s procurement procedures and ensures compliance with the applicable federal and state regulations regarding professional service procurement which includes but is not limited to: 2 CFR 200, 2 CFR 1201, 23 CFR 1-999, 49 CFR 600-699, and 29 Chapter 69 of the Delaware Code. Accordingly, all professional service procurements must follow the requirements contained within DelDOT’s Professional Services Procurement Manual.

Professional services can generally be divided into two categories with unique project level procurement considerations which are further discussed in Section 3.4.1.1 and Section 3.4.1.2. Advanced FHWA approval is required in accordance with 23 CFR 172.7(b)(5) when Federal-aid funds participate in a contract to provide consultant services in a management role (such as managing a project or overseeing other consultants) relating to highway construction. All questions regarding professional procurement should be directed to DelDOT’s Consultant Control Coordinator.

3.4.1.1 Design Related Professional Services

Department Resources
Professional Services Procurement Manual
Funding Increase Request Form
Funding Request Form

Various sections throughout DelDOT advertise and award indefinite delivery/ indefinite quantity (IDIQ) project development contracts specifically for the performance of design work. IDIQ contracts are intended for performance of a number of routine or specialized tasks under a single professional service agreement. IDIQ contracts utilizing federal funds have a maximum contract period and a pre-set maximum dollar amount. As such, only services which fall within the advertised scope, funding, and schedule limitations of the established IDIQ contract may be awarded to one of the IDIQ selected consultants. IDIQ contracts are commonly referred to as open-end agreements. The federal requirements for IDIQ contracts are established in 23 CFR 172.9(a)(3).

Open-end agreements save time in the project development process by selecting several qualified firms that can provide the typical services required under an agreement thus eliminating the need to create, advertise, and award specific professional service agreements. Priority should be given to utilizing a firm on an established project development related professional services agreement for design work. If the appropriate expertise cannot be found under an established project development related professional services agreement or if the required work is determined too large for the professional service agreement, the Project Manager may elect to pursue the procurement of the desired professional service through a new and unique agreement in accordance with the DelDOT Professional Services Procurement Manual. It should be noted that it may take months to procure professional services when advertising a new and unique agreement.

When using open-end agreements for the design work, the Project Manager must consider the contracted firms’ strengths, availability, qualifications, and overall ability to complete the project when determining the entity to ultimately assign the work to. The Project Manager should also evaluate the magnitude of the professional services that will be required over the life of the project and then consider whether the total required professional services should be divided into several smaller tasks that will allow for more accurate work projections which limit risk. Once the Project Manager determines the optimum firm to perform the work and the initial professional services required, they can request a draft scope of work and blank person-hour estimate from the selected contracted firm. The Project Manager should provide the selected firm with all the requisite information necessary for the firm to prepare an informed task proposal. The Project Manager should review the proposal upon receipt to ensure the scope of the work and tasks within the blank person-hour estimate are accurate and in-line with the Project Manager’s expectations. The Project Manager will communicate all comments on the draft scope of work and blank person-hour estimate to the consultant until all comments are sufficiently addressed. At this point, the Project Manager will prepare an independent person-hour estimate for the project that must be signed and dated. The consultant can then submit their person-hour estimate to the Project Manager who will then compare the estimates. The acceptability of the consultant’s proposal will be based on the following two guidelines:

1. For projects with a DelDOT estimate of less than 500 person-hours, if the consultant is within 15% of the DelDOT estimate (either above or below), the proposal will be acceptable.
2. For projects with a DelDOT estimate of 500 person-hours or more, if the consultant is within 10% of the DelDOT estimate (either above or below), the proposal will be acceptable.

If the differences between the consultant’s proposal and DelDOT’s independent person-hour estimate exceed these percentages (either above or below), a negotiation meeting should be held to resolve the differences. The negotiation meeting should result in a fair number of person-hours and the consultant should resubmit the proposal based on the negotiated hours. The documentation of the negotiation meeting should be saved within the project files.

Once the task proposal is considered acceptable, the Project Manager will need to assess the project’s authorized funding to determine whether processing the consultant proposal will require additional authorized funding. When additional funds are required, the Project Manager will need to complete and submit the Funding Increase Request Form as further described Section 5.8.1 (To be added). Once the project’s authorized funding has been assessed and the necessary steps performed, the Project Manager can submit the proposal and a completed Funding Request Form to the appropriate Department mailboxes as shown in Table 3.4.1.1 for processing. The Project Manager should also attach the funding increase request email to the funding request email in cases where additional authorized funds were required to expedite the process. The subject line of the email sent to Department mailboxes shown in Table 3.4.1.1 should be the Agreement number, task number, and then supplemental number if applicable. The body of the email submitted should include the following text: “The attached proposal has been reviewed and found acceptable. Please proceed with the NTP process”. For DelDOT’s Traffic section, these funding assessment and processing activities are delegated by the Project Manager to Traffic’s Support Services section.

Table 3.4.1.1 – Department Mailboxes for Proposal Processing

Department Mailbox	When to Include on Funding Request Email
DOT.AuditManagement@Delaware.gov	Include on all Funding Requests
DOT.ProfServices@Delaware.gov	Include on all Funding Requests
DOT_TransSolutions_Funding_requests@Delaware.gov	Include on all Transportation Solutions Funding Requests

3.4.1.2 Design Support Related Professional Services

Various sections within DelDOT maintain design support related professional service agreements (i.e., soil borings, utility designation, test holes etc.) that can be considered for use on a project regardless of whether the project is designed primarily by in-house DelDOT staff or by contracted consultant staff. These design support related professional services and their associated request processes are documented in various locations throughout this manual. Another contractual alternative for performing this design support related work is to use the design related professional service agreement when the design work is to be conducted by a contracted consultant and provided that the proposed work is within the scope of the original agreement. The prime advantage to using the design related professional services agreement for this purpose is that all work can be managed by one entity. The Project Manager and the contracted design firm should discuss the desired division of work to determine the distribution most appropriate for the individual project.

Regardless of the agreement that the work is conducted under, coordination should be performed with the DelDOT support section managing the design support related professional services to assist in determining the scope and limits of work. Additionally, the DelDOT group managing the design support related professional service agreement can be used as a resource to review a design firm’s task proposal if the work is elected to be performed under a design related professional service agreement.

3.4.2 Professional Services Management

Once professional services are procured, the Project Manager must work to navigate the project through DelDOT’s project development process. This section summarizes the Project Manager’s responsibilities for managing professional service tasks and provides proven practices to ensure quality performance and compliance with the pertinent federal requirements.

3.4.2.1 Project Tracking

The Project Manager is responsible for tracking task progress to ensure on-time and on-budget deliverables that are complete, accurate, and consistent with the terms, conditions, and specifications of the contract under which they were developed. Performing accurate project tracking requires that the Project Manager monitor a project’s completed work in comparison to the scoped work to forecast future project milestone submittal dates and associated costs. The Project Manager must be intimately familiar with a task’s scope of services as well as the products that are to be produced to be able to perform accurate forecasts. The Project Manager should periodically examine the task progress against the amount expended to determine if additional funds will be required to prevent delays in the design phase caused by insufficient funds.

Project Managers use many tools to track a project’s progress toward its ultimate task deliverable. Two of the more common tracking tools utilized by the Project Manager are progress meetings and invoice tracking.

• Progress meetings - The Project Manager can setup regularly scheduled task progress meetings at a frequency commensurate with the magnitude, complexity, and type of work, to ensure the work is progressing in accordance with the established scope of work and schedule milestones. The Project Manager should use these meetings as an opportunity to discuss task progress as well as any on-going or anticipated challenges to an on-time and on-budget project delivery.
• Invoice tracking - The Project Manager will receive invoices from the consultant that can be used to track the task’s progress. The invoice submitted will summarize the work performed over the invoicing period as well as state the percent complete and percent expended. The Project Manager can further use this information to obtain an expenditure rate and progress rate when tracked over time. Additional information on invoicing is included in Section 3.4.2.2.

The Project Manager should monitor the expected task completion date so that a proposal for the next phase of work can be requested and processed prior to when money will need to be expended so as not to delay work on the future task. The consultant proposal review and funding request process outlined in Section 3.4.2.2 is to be followed for all next phase task proposals. Depending on DelDOT section preference, the next phase of work can either be done as a supplemental task to the original or as a new task.

On occasion, extra work that was outside of the original scope of services will be identified which will increase the work effort from that initially anticipated. In these cases, the Project Manager should review the circumstances and determine if extra work is in fact, required. When extra work is required, the Project Manager is to instruct the consultant to provide a supplemental task proposal specifically for the extra work. The supplemental proposal should be reviewed and processed as described in Section 3.4.1.1. No work on the element causing the extra work is to proceed until the supplemental is approved or an advanced start approval is given by the Project Manager.

3.4.2.2 Invoicing

Department Resources
Invoice Circulation Tracking Checklist and Consultant Agreement Payment Approval Check List Form
Professional Services Procurement Manual

One of the Project Manager’s prime responsibilities is ensuring prompt payment for the professional services performed. In accordance with 29 Del. C. § 6516, DelDOT has a 30-day window to get invoices processed and paid to the consultant starting from the date the Project Manager receives a valid invoice. Once the invoice is received, an Invoice Circulation Tracking Checklist and Consultant Agreement Payment Approval Check List Form should be added to the front of the invoice if not included by the consultant. The Project Manager should review the consultant invoice for the following:

• Ensure the invoice format meets DelDOT’s standard invoice format per DelDOT’s Professional Services Procurement Manual.
• Ensure hours seem reasonable for the work completed according to the progress report.
• Ensure the hours and any direct expenses charged are within the invoice period.
• Ensure percent complete is reasonable compared to the work completed in the progress report.
• Ensure consultant and subconsultant total billing is below the task upset limit. Invoices submitted without funding in place will require an After the Fact Waiver.
• Ensure consultant and subconsultant total fixed fee billed is below the task upset limit and is in-line with the percentage of task complete.
• Ensure values in the tables match from page to page and the calculations are accurate, including rounding errors down to $0.01.
• Ensure direct expenses are acceptable and properly documented in accordance with DelDOT’s Professional Services Procurement Manual.

If any adjustments to the consultant’s invoice need to be made, the Project Manager is to send the invoice back to the consultant with an explanation of the discrepancies. Any prior discrepancies should be noted in the comments section of the Invoice Circulation Tracking Check List when the approved invoice is submitted for processing. To process the invoice, the Project Manager should follow the circulation process that is shown in the invoice circulation tracking sheet. Once circulation has completed, the invoice is to be sent to the Department’s DOT_TranSolutions_Payment@delaware.gov mailbox. In addition, final invoices should be sent to the DOT.auditmanagement@delaware.gov mailbox as well.

On occasion, the invoice processing task may uncover missing invoices. In these occurrences, the Project Manager, the consultant, and the Finance section will need to work collectively to ensure that the balances between the groups are consistent.

3.4.2.2.1 Fiscal Year End

DelDOT’s finance system will shut down for a period of approximately 3-weeks from roughly mid-June to early-July corresponding to the end and beginning of the State of Delaware’s fiscal year. Project Managers should remind their consultants of this shut down so that their billing cycles can be adjusted as needed.

3.4.2.3 Quality Assurance

The Project Manager is tasked with evaluating the compliance, performance, and quality of services provided by the consultant. The Project Manager’s specific responsibilities and DelDOT’s overall quality assurance procedures are described within Section 6.6. The Project Manager will evaluate the services of the consultant annually and at the end of the contract to document the consultant’s performance in accordance with 23 CFR 172.9(d)(2). The Project Manager’s evaluation assists the Department with future professional service agreement selections and provides valuable feedback to the consultant. The solicitation to perform an evaluation will come from DelDOT’s Contract Administration section.

3.4.2.4 Closeout

Department Resources
Project Closeout Guidelines for Project Managers

All professional service task agreements using federal funds must be closed out upon completion in accordance with 2 CFR 200.344. Regardless of funding source, closeout activities should be approached proactively by the project team to allow funds to be unencumbered from completed tasks and then reprogrammed to other active projects. Closeout is an important and complex task as it requires performance of activities by multiple sections throughout DelDOT. To ensure expedient closeout, DelDOT has developed guidance entitled Project Closeout Guidelines for Project Managers which outlines procedures, best practices, and other considerations associated with closeout.

In addition to closing out tasks whose work is complete, the Project Manager must also close out tasks where DelDOT has decided to terminate the professional service before its completion. As with many other activities in the project development process, it is imperative that the Project Manager continually perform the updates and tracking described throughout this manual to communicate critical information to DelDOT’s Division of Finance and other affected sections so closeout can occur expeditiously.

3.5 Establishment of Project Directory

Maintaining consistent project directories promotes increased productivity as less time is needed to search for files and reduces redundancy which assists in assuring the use of correct file versions. DelDOT generally utilizes three separate project directories with varying levels of document control during the project development process. DelDOT’s directories and their intended use are described within this section. The DelDOT CADD Support group is tasked with overseeing DelDOT’s project directory structure and can be used as a resource when determining how a specific project’s directories should be established during the project initiation phase. The DelDOT CADD Support group can be contacted via email at DOT_CADDSupport@delaware.gov.

3.5.1 ProjectWise

Department Resources
ProjectWise Folder Structure
ProjectWise Project Creation Form
ProjectWise Access Control Form
ProjectWise Explorer Configuration

ProjectWise is DelDOT’s preferred project development related project directory and is used for both in-house developed and consultant developed projects. ProjectWise is a cloud-based Document Management System (DMS) designed specifically to manage documents related to design and construction projects. ProjectWise provides a secure file management system where access is controlled by security groups managed by DelDOT’s ProjectWise Administrators. ProjectWise additionally provides enhanced searching capabilities and managed references where if a file gets moved or renamed, ProjectWise will automatically change the attachment information within MicroStation to maintain the link.

All new capital projects developed by DelDOT’s Project Development North, Project Development South, and Bridge Design sections are to use this platform. Other sections or programs may use the cloud-based project directory as well after coordination with DelDOT’s CADD Support group. To promote consistency, DelDOT maintains a standard ProjectWise folder structure. Users are not permitted to create new folders within the ProjectWise directory. Projects that do not use ProjectWise as their main directory are to use DelDOT’s DOTFS08\CADD\Active Designs folder as their primary project directory.

DelDOT maintains a ProjectWise Project Creation Form for adding projects to the “DELDOT Production” datasource. Once the request is received, DelDOT’s ProjectWise Administrators will create the project folders on the “DELDOT Production” datasource on ProjectWise and will assign submitted users to one of the standard access groups defined in the project creation request form. Consultant users that wish to restrict staff access by discipline can utilize DelDOT’s defined discipline access groups whereas consultant users that do not wish to restrict staff access across discipline can assign staff to the “PM (consultant)” access group which will allow their staff to access all folders and files on the ProjectWise directory.DelDOT maintains a ProjectWise Project Creation and Access Control Form for adding projects to the “DELDOT Production” datasource as well as for modifying access at a later time. Once the request is received, DelDOT’s ProjectWise Administrators will create the project folders on the “DELDOT Production” datasource on ProjectWise and will assign submitted users to one of the standard access groups defined in the project creation request form. Consultant users that wish to restrict staff access by discipline can utilize DelDOT’s defined discipline access groups whereas consultant users that do not wish to restrict staff access across discipline can assign staff to the “PM (consultant)” access group which will allow their staff to access all folders and files on the ProjectWise directory. All later access modifications can be performed through use of DelDOT’s standard ProjectWise Access Control Form. It is recommended that a single version of the Access Control Form be created and used throughout the life of the project to track all permission changes. When sending the Access Control Form to CADD Support, use the "No Change" option in Column 1 for existing users that require no access change.

After initial project folder establishment, all subsequent design team access or permission issues should be communicated by the DelDOT Project Manager to DelDOT’s CADD Support group. DelDOT maintains ProjectWise Explorer Configuration instructions which describes the process to connect to the “DELDOT Production” datasource. All questions or issues pertaining to the overall functionality of ProjectWise should be directed to the DelDOT CADD Support group.

3.5.2 \\DOTFS08\CADD\Active Designs

Department Resources
ProjectWise Folder Structure

In-house developed projects that do not utilize the ProjectWise directory are to use DelDOT’s \\DOTFS08\CADD\Active Designs folder as their main project development related project directory. This location is commonly mapped as the “Y-Drive” for staff within the Project Development North, Project Development South, and Bridge Design sections. Projects that utilize a ProjectWise Directory do not require the creation of a directory in the \\DOTFS08\CADD\Active Designs folder. The \\DOTFS08\CADD\Active Designs folder is an access protected internal network server which is managed by both DelDOT’s CADD Support group and DelDOT’s Division of Technology and Innovation. Projects in the \\DOTFS08\CADD\Active Designs folder are placed into folders organized first by county and then by maintenance road number. When used as the main project development related project directory, the structure of the directory is to follow the standard ProjectWise folder structure.

3.5.3 \\DOTFS08\CADD\Active Contracts

Department Resources
Print Request Form

The \\DOTFS08\CADD\Active Contracts folder is not access protected and is to only be used to store and print contract plans. This location is commonly mapped as the “V-Drive” for staff within the Project Development North, Project Development South, and Bridge Design sections. Plans can be requested to be printed through the use of DelDOT’s Print Request Form.

To maintain consistency and uniformity when placing electronic files on the \\DOTFS08\CADD\Active Contracts folder, it is recommended that the folder system shown in Table 3.5.3 be utilized within the contract directory folder.

Table 3.5.3 – Active Contracts Subfolder Structure

Folder Name	Folder Contents
Survey	Plot files (PDF) used for the Survey Plan submission.
Preliminary	Plot files (PDF) used for the Preliminary Construction Plan submission.
Semi-Final_Construction	Plot files (PDF) used for the Semi-Final Construction Plan submission.
Semi-Final_RW	Plot files (PDF) used for the Semi-Final Right-of-Way Plan submission.
Semi-Final_XS	Plot files (PDF) used for the Semi-Final Cross-Section submission.
Final_Construction	Plot files (PDF) used for the Final Construction Plan submission.
Final_RW	Plot files (PDF) used for the Final Right-of-Way Plan submission.
Final_XS	Plot files (PDF) used for the Final Cross-Section submission.
PSE_Construction	Plot files (PDF) used for the PS&E Construction submission.
PSE_XS	Plot files (PDF) used for the PS&E Cross-Section submission.
Advertisement	Plot files (PDF) used for the advertisement package.
Miscellaneous	Miscellaneous plot files, such as one-off plots, test plots, etc.

3.6 Project Scoping

Project scoping is the process that is used to evaluate a transportation deficiency and determine what work should be included within a proposed project to address it. All DelDOT projects must be appropriately scoped by the section responsible for performing the design. Site visits should be performed during the scoping phase to properly assess project needs and to verify any desktop assessments and research conducted. The project scoping task should be conducted as early as feasible in the project development process, however, its exact timing will vary greatly based on project specific factors including the program or section developing the project, the complexity of the project, the number and type of project stakeholders, and project funding. This section describes the best practices DelDOT has established for performing project scoping and arriving at a preferred alternative for further design.

After the initial project scoping is complete, scope management will continue throughout the project development process. Scope management requires that the project team evaluate additional proposed work to ensure that all work required to meet the project objectives are completed while work outside of the project’s objectives is evaluated for feasibility and cost-effectiveness. Scope management is primarily concerned with defining, and then controlling, what is and is not included in the project scope.

3.6.1 Define the Project Objective

The first task and cornerstone of the project scoping phase is defining explicit and clear project objectives that indicate why a project is being undertaken and what the project is intended to achieve. The project objectives must be based on, and be commensurate with, the transportation deficiencies initially generating the project. Though not federally required for all projects, developing a formal “purpose and need” statement that defines a project’s scope should be considered on all DelDOT projects. Purpose and need statements should be written concisely. Additionally, they should not be written so narrowly as to limit the development of reasonable solutions or alternatives, nor so vague as to provide no framework for future decision-making. It is permissible that the purpose and need statement reference the results of other technical studies rather than reciting the information in those technical studies.

The “need” statement should provide the factual foundation for the statement of project purpose. The need statement should describe the deficiencies that the proposed action is intended to address and, to the extent possible, explain the underlying sources of those deficiencies.

The “purpose” statement should define the fundamental reasons for the project being proposed, expressed as a desired transportation outcome. If a project has several distinct purposes, each purpose should be individually listed. The purpose statement should be logical in relation to the “need” section.

3.6.2 Develop the Scoping Process

The project scoping task must be tailored by the design team to suit an individual project’s needs and considerations. Accordingly, the design team should collaborate at the beginning of the project initiation phase to develop an approximate project scoping process and schedule that includes the activities and actions described in Section 3.6. The complexity and potential impact of the project being assessed as discussed in Section 3.6.2.1, will determine the extent of the scoping process required as well as the level of formal documentation needed. Section 3.6 provides an order of tasks that can be followed, modified, or performed simultaneously as deemed necessary by the Project Manager to meet an individual project’s scoping needs and to arrive at a preferred alternative.

Early coordination with appropriate regulatory agencies, other DelDOT sections, and the public can be used to determine an appropriate project scope and can aid in determining the type and scope of environmental review, the level of analysis, and related environmental requirements that a project will require. Section 3.6.2.2 and Section 3.6.2.3 describe tools that can be used during the project scoping phase to conduct this early coordination. When the project scoping phase is performed properly, its results may be incorporated into the environmental review documents in accordance with 23 CFR 771.111 (a)(2)(i).

As with many other elements of the project development process, a project’s scoping phase must be treated as a dynamic and iterative process that is subject to change throughout its execution to ensure that the project scoping phase delivers its intended results.

3.6.2.1 NEPA Class Requirements

Projects that will use federal funding must follow the National Environmental Policy Act (NEPA) process which requires that agencies evaluate the environmental and related social and economic effects of their proposed actions. DelDOT’s Environmental Stewardship section will perform an initial environmental evaluation as part of the project’s initial baselining as discussed in Section 3.2.1.3. Projects that are classified as a Categorical Exclusion (CEs) are not required to have a formal scoping process. However, project’s that are initially classified as an Environmental Impact Study (EIS) will need a formal and well-documented alternatives analysis assessment while Environmental Assessments (EAs) may need a formal and well-documented alternatives analysis assessment. DelDOT’s Environmental Stewardship section can be used as a resource for clarification on a project’s federal scoping requirements. Additional information on the NEPA process is included in Section 5.3.

3.6.2.2 Scoping Meetings

Department Resources
Bridge Project Scoping Meeting Questionnaire
Road Project Scoping Meeting Questionnaire
DelDOT Distribution List (\\DOTFS08\CADD\Active_Designs\Distribution_List)
Scoping Meeting Memo

The design team can elect to hold scoping meetings with stakeholders at strategic points in the project scoping phase. Scoping meetings are valuable tools for identifying additional existing transportation deficiencies, construction constraints, the need and scope for additional studies, identifying project risks and associated mitigation strategies, and eventual maintenance and operation considerations. The discussion and identification of these elements with key project stakeholders will additionally assist in validating the initial project baselining effort discussed in Section 3.2.1. On some projects, particularly those with relatively large environmental impact potential, it may be appropriate to hold scoping meetings specifically with the environmental regulatory agencies. The design team should consult with the DelDOT Environmental Stewardship section to determine the need for and required agency attendance for a solely environmental agency scoping meeting.

The design team is responsible for assessing the need for project scoping meetings as well as for scheduling scoping meetings. Considerations involved with the scoping meeting include, but are not limited to, the following:

• Meeting timing within scoping phase – The design team should schedule the scoping meeting at a logical time within the scoping phase so that there is enough meaningful information compiled to discuss, but early enough so that feedback from the meeting participants can still help guide project scoping decisions.
• Location and format of the meeting – A scoping meeting can either be held at the project location, as a virtual meeting, in-person in a group setting, or any combination thereof. Each potential meeting location and format provides different benefits that will need to be considered on a case-by-case basis.
• Topics for discussion – The design team should review the project ahead of the meeting to determine which topics are most beneficial for discussion in the group meeting. At a minimum, the design team should present the project’s history and any draft project objectives or goals at the scoping meeting. Additional potential topics for discussion include the following:
  • Alternatives considered to date,
  • Project constructability including any accelerated bridge construction methods,
  • Design controls and criteria,
  • Existing known maintenance issues,
  • Pavement condition,
  • Utility conflicts,
  • Potential for utility reimbursement including for design, inspection, and construction,
  • Multi-modal facilities,
  • Public outreach strategies,
  • Existing right-of-way and railroads,
  • Lighting condition,
  • Integrated transportation management systems (ITMS),
  • Proposed project schedules,
  • Environmentally sensitive locations,
  • Transit facilities,
  • Known safety and accessibility deficiencies,
  • Other known DelDOT or developer projects planned for the area,
  • Stormwater and drainage patterns,
  • Future maintenance considerations that the work could create.

  DelDOT has created the Bridge Project Scoping Meeting Questionnaire and the Road Project Scoping Meeting Questionnaire to assist the design team facilitate meaningful discussion at the scoping meeting.

• Material to facilitate discussion – The design team should assemble material prior to the meeting that will facilitate meaningful conversation. This could include the creation of a meeting agenda, maps of the study area with key constraints, maps of any proposed features or project alternatives, and other current or future transportation improvements plans.
• Meeting participation – DelDOT maintains a Distribution List (\\DOTFS08\CADD\Active_Designs\Distribution_List) that includes recommendations on staff to include at the scoping meeting. The design team should review the probable project scope and the distribution list when determining the DelDOT sections that should participate in the project’s scoping meeting. DelDOT’s Distribution List is kept on internal servers so that the information within the directory is not distributed publicly. Entities outside of DelDOT that require access to the Distribution List should request the information through their Project Manager. Once the desired level of participation is identified, the design team can distribute DelDOT’s standard scoping meeting memo.

After the scoping meeting concludes, the Project Manager and the rest of the design team should collectively work to determine the items discussed that readily fit within the proposed project’s scope, items that cannot be addressed by the project, and items that warrant further discussion and potential scope alterations to incorporate.

3.6.2.3 Public Involvement

It is important that public involvement be performed at strategic times throughout the project development process. Public involvement generates both outgoing and incoming communication which fosters a project development process that better meets the needs of the users and is received more favorably by the public. Public involvement helps reach a consensus by providing a forum for the users to express their needs, ideas, concerns, and perspectives relating to the transportation system while giving DelDOT the opportunity to educate the public about transportation issues, services, and projects. DelDOT is required under 23 CFR 771.111(h)(1) to maintain a public involvement/ public hearing program. Additional information about DelDOT’s public engagement strategies can be found in Section 5.1. The extent of public involvement required for projects is established on the basis of environmental impacts (as required by the Code of Federal Regulations, 23 CFR 771 for Federal-aid projects). The class of action and public involvement requirements are indicated on the initial environmental evaluation.

During the project scoping phase, public involvement can be sought to present feasible alternatives for public review and comment or to gain greater understanding of the existing transportation deficiency. The format of the public involvement will vary depending on the size, complexity, location, and potential impacts of the project. The design team should prepare information ahead of the meeting to facilitate meaningful discussion. Information that can be presented at the public meeting includes the project’s objectives or purpose and need statement if it has been developed, any project alternatives developed, and any major project design features. All public involvement during this phase should be coordinated with the Division Director, the Community Relations section, as well as the Environmental Stewardship section.

3.6.3 Establish Preliminary Design Controls and Criteria

The design team should review the project area in combination with the project objectives to ascertain the transportation user groups necessary to accommodate within the project limits. User groups include vehicular traffic, bicycle traffic, pedestrians, as well as transit traffic and facilities. While determining the user groups to accommodate, it is important to note that in accordance with 17 Del. C § 132(f) of the Delaware Code, projects must construct sidewalks whenever major arterials, minor arterial, collector roads or proposed roads in urbanized areas of the State are widened, constructed, or reconstructed.

Once the user groups have been identified, the design team should select basic design controls and corresponding design criteria that considers the needs of all necessary modes of transportation as well as the community context in which the project is located. The design controls and design criteria will need to be revisited throughout the project development process; however, the selection of adequate design criteria prior to the development of any alternatives will ensure the suitability of any alternatives generated and their potential impacts, as well as facilitate comparisons between alternatives. Section 4.1 includes a more detailed discussion on the establishment of design criteria.

3.6.4 Establish Project Constraints

All projects will have unique characteristics and face constraints and limitations that must be vetted through the project scoping phase. Accurately establishing project constraints during the scoping phase will lead to an assessment of the developed alternatives that properly considers a project’s environmental and related social and economic effects. This will ultimately lead to the development of a balanced design that addresses the system’s transportation needs. While assessing the existing project constraints, the design team may determine that additional field or baseline studies may be needed. When this occurs, DelDOT’s Environmental Stewardship section should be used as a resource to determine if additional studies are in fact needed, and to properly assess the scope and limits of those required studies. Project constraints include, but are not limited to, the following:

• Transportation operation (Section 3.6.4.1),
• Environmental (Section 3.6.4.2),
• Utilities (Section 3.6.4.3),
• Right-of-Way (Section 3.6.4.4), and
• Railroad (Section 3.6.4.5).

3.6.4.1 Transportation Operation

Department Resources
Road Design Manual
DTC-05.01: Bus Stop and Passenger Facilities Policy

The majority of DelDOT’s projects will inherently have an impact on transportation operations either temporarily or permanently. The design team should assess the current transportation network operation within the project area commensurate to any project goals or objectives. This operational assessment should include, but not be limited to, the following transportation operation characteristics:

• Crash Patterns – The existing crash patterns should be reviewed to identify existing transportation deficiencies including high crash locations, patterns in crashes that may indicate specific problematic movements, and particular types of crashes that should be targeted for countermeasures. Additional information on requesting crash data is provided in Section 3.7.5. The project location should also be investigated for any previous HSIP sites which may provide additional crash pattern information and countermeasures for consideration.
• Level of Service (LOS) – The LOS or other comparable traffic capacity measures can be used to evaluate current traffic operation in accordance with Section 2.6 of the DelDOT Road Design Manual. Additional information on traffic capacity analysis is provided in Section 4.4.
• Design vehicles – The project’s existing geometric design at turning movement locations can be analyzed to determine the design vehicles that are currently accommodated within the project limits. Section 2.6 of the DelDOT Road Design Manual provides additional discussion on design vehicle selection.
• Pedestrian facilities – Nearly all trips include a pedestrian portion; even trips taken by passenger vehicles or transit begin with drivers and passengers walking from their origin to the vehicle and end with them walking from the vehicle to their destination. Pedestrian facilities should be designed to maximize pedestrian visibility to motorists, accommodate the volume of pedestrians anticipated, and be accessible. Pedestrian desire lines should be considered related to sidewalks, shared use paths, and crosswalk locations. Additional information on pedestrian facilities is provided in Section 4.5.
• Bicycle facilities – Bicycle facilities within the project area can be assessed to determine how well they accommodate the bicycle user demand within the project limits. Additional information on bicycle user groups and their appropriate accommodations is contained within the AASHTO Guide for the Development of Bicycle Facilities.
• Transit operations – Transit facilities within the project area can be reviewed to assess how well operations meet the current user demand. DelDOT Policy Implement DTC-05.01 entitled Bus Stop and Passenger Facilities Policy contains DelDOT’s design guidance for these facilities. The design team should coordinate a project’s transit needs with the Delaware Transit Corporation (DTC) when it is determined that addressing transit operation deficiencies is a project objective.

3.6.4.2 Environmental

All transportation projects will have a level of environmental impact. Numerous state and federal agencies, laws and regulations govern these environmental impacts. The level of a project’s impact will determine the amount or if any mitigation will be required. Wherever possible, environmental resources are to be avoided, but where avoidance is not prudent, the impacts are to be minimized and mitigated. Environmental impacts that must be assessed include:

• Social impacts to communities,
• Permanent land use changes,
• Economic impacts,
• Social justice impacts,
• Cultural impacts to historic properties,
• Impacts to publicly owned parks, recreational areas, or national wildlife refuge areas,
• Air quality effect,
• Noise effect,
• Trees,
• Endangered species,
• Impacts to known hazardous material locations,
• Water quality effects to lakes, streams, wetlands,
• Fish and wildlife effects, and
• Impact to any protected farmland.

DelDOT’s Environmental Stewardship section should be used as a resource if it is determined that a project could potentially include these listed environmental impacts. The section is staffed with subject matter experts and maintains and manages DelDOT’s relationships with each of the governing agencies to ensure smooth operations during the NEPA and permit approval process. Additional information on the environmental coordination process is provided in Section 5.3.

3.6.4.3 Utilities

Transportation projects frequently affect either underground or aerial utilities both within and outside of DelDOT’s existing right-of-way. Impacts to utility features can be costly and add time to a project’s schedule. The amount of added cost and delay to a project will vary based on the feature that is impacted as well as the severity of the impact. During the scoping process, effort should be made by the design team to ascertain the approximate location, the owner, and type of existing utilities. DelDOT’s Utilities section can be used as a resource during this investigative effort. Additional information on the utility coordination process is provided in Section 5.4.

3.6.4.4 Right-of-Way

Transportation projects will often require the acquisition of additional property rights to construct or maintain a proposed facility. An initial evaluation of existing property rights is a valuable step in the transportation decision-making process as acquisition of property rights can be controversial, expensive, and time consuming. Existing right-of-way limits can be approximated using GIS databases or can be researched and recreated based on archive plans, deeds, plat books, wills, and other source information. The level of existing right-of-way reconstruction performed should be commensurate with the project’s scope and potential impacts. DelDOT’s Team Support section can be used as a resource during this process. Additional information on the right-of-way coordination process is provided in Section 5.5.

3.6.4.5 Railroad

Railroads are typically contained within a separate right-of-way from the State’s operational right-of-way. All work within railroad right-of-way must be coordinated with the railroad owner and requires proper agreements and other considerations before commencing. Therefore, transportation projects which are proximate, or which will affect railroad right-of-way, operation, or assets will require additional coordination efforts. Accordingly, railroad right-of-way should be researched and delineated as part of the project scoping phase. DelDOT’s Railroad Coordination section can be used as a resource during this process.

3.6.5 Alternatives Development

Once a project’s objectives and goals are understood, conceptual alternatives in accordance with the preliminary design criteria established in Section 3.6.3 can be developed to address the transportation need. The intent of the development of conceptual design alternatives is not to develop the final project design, but to provide the direction and scale of the improvement, and to confirm that the alternative is viable physically and financially. The initial alternatives developed should define the project by alignment and by grade if applicable to a project’s proposed scope.

The initial alternatives developed should cover a wide range and scale of potential improvements and incorporate principles of the Safe Systems Approach where possible. The Safe Systems Approach mitigates the risk inherent in the transportation network through use of multiple layers of protection to both prevent crashes and to reduce harm caused to those involved when crashes occur. Additional information about the Safe System Approach is provided on the United States Department of Transportation’s website. Additional discussion on the types and scale of improvements to be considered is included in Section 3.6.5.1.

Once developed, the initial alternatives for evaluation should be condensed to a manageable and reasonable number of feasible alternatives that is proportional to the project’s scope. All feasible alternatives developed must meet the requirements of 23 CFR 771.111(1) if federal funds are or will be used which requires the project meet the following criteria:

• Connect logical termini and be of sufficient length to address environmental matters on a broad scope,
• Have independent utility or independent significance, i.e., be usable and be a reasonable expenditure even if no additional transportation improvements in the area are made, and
• Not restrict consideration of alternatives for other reasonably foreseeable transportation improvements.

Feasible alternatives should be developed to comparable levels for evaluation. A practical, cost-effective design of each proposed alternative should be developed for relative comparison. The feasible alternatives developed will ultimately be evaluated and assessed in accordance with the guidance in Section 3.6.6.

3.6.5.1 Alternative Types

The project team should consider a wide array of solutions to rectify the identified transportation deficiency and to meet the project’s established objectives and goals. This subsection provides a detailed description of the alternative types that can be considered during this phase of the project development process. The alternative types listed may be combined as needed to address an individual location’s specific needs.

• No-Build Alternative – The no-build alternative would not include any upgrades that would change the road’s operation or extend its service life and instead, would only continue the routine maintenance of the existing facility. This alternative serves as a baseline comparison of the other available alternatives. The no-build alternative must always be considered during the scoping phase.
• Transportation System Management and Operations (TSMO) – TSMO is a set of strategies that focus on creating operational improvements which do not require adding system capacity. The goal of TSMO alternatives is to maintain or even restore the performance of the existing transportation system. TSMO strategies include, but are not limited to, traffic signal coordination, traffic incident management, special event management, road weather management, freight management, providing traveler information, ramp management, transportation demand management, congestion pricing, integrated corridor management, access management, and expanding multimodal alternatives and mobility services.
• Preventive Maintenance (1R and 2R) project – This alternative type is often associated with maintenance activities intended to preserve the system, retards future deterioration, and maintain or improve the functional condition of the system without increasing structural capacity. Enhancements within this alternative type are typically minor and do not change the overall character of the facility.
• Resurfacing, Restoration, and Rehabilitation (3R) project – This alternative type consists of resurfacing, restoration, and rehabilitation of an existing facility with the intention of preserving and extending service life and enhancing highway safety. This alternative type could include pavement improvements of the existing road, minor roadway widening, and typically includes minor drainage improvements within the scope of the project. Resurfacing, Restoration, and Rehabilitation (3R) projects should make isolated cost-effective improvements to the existing geometrics, where practical, including but not limited to, flattening curves or improving sight distance, roadside shoulder improvements, and construction of select low-cost safety improvements at the site or system-wide level. Resurfacing, Restoration, and Rehabilitation (3R) projects are typically constructed within existing right-of-way, although some minor acquisitions may be necessary. Resurfacing, Restoration, and Rehabilitation (3R) projects do not change the basic roadway type by adding through lanes, passing lanes, or auxiliary lanes, although turn lanes and radius improvements at intersections may be involved.
• Reconstruction (4R) project – This alternative type utilizes an existing roadway alignment or makes only minor changes to an existing alignment but changes the basic roadway type. Typical work includes improving operation by widening, horizontal and/or vertical realignment, addition of travel lanes, access improvement, and replacing bridges. While Reconstruction (4R) projects typically follow an existing road corridor, it may deviate significantly in width and alignment from the present road to achieve full geometric standards. Retaining the existing alignment means that existing constraints in the current roadway environment will influence design decisions.
• New Construction project – This alternative type consists of all new construction on a new alignment where no road is present for the majority of the project. Examples of new construction are a bypass constructed to carry through traffic around a population center, construction of a new access route linking an existing highway with a new recreational facility, or a new grade separated facility. New construction facilities should be built to achieve full design standards. Design exceptions for this alternative type should be rare.

3.6.6 Alternatives Assessment

Once the existing project constraints have been established and feasible alternatives developed, an assessment that will ultimately lead to the selection of a preferred alternative for further design development can be performed. Thorough analysis of alternatives supports a well-defined scope, minimizes scope creep, and incremental cost effects later in the project development process.

The design team should begin the evaluation process by performing a fatal flaw analysis of each feasible alternative to determine if it has flaws which will prevent it from meeting the established project objectives. If it is determined that the alternative will not be able to meet the project objectives even with minor modifications, the reasons should be documented and other alternatives meeting the project objectives should be prioritized.

After the fatal flaw assessment, the design team should establish a set of consistent evaluation criteria based on the project’s objectives, commitments, environmental impact, and stakeholder input. Once the criteria have been established, each feasible alternative as well as the no-build condition can be analyzed and its impacts to the established project constraints can be determined. Where possible, quantitative measures should be utilized instead of qualitative measures. Matrices summarizing the analysis performed can be created to simplify information presentation. The assessment should be an iterative process where modifications are made and then reassessed.

Using the methodology presented within this section, the benefits, costs, and associated impacts of alternatives can be assessed to determine the alternative that best meets the transportation needs while balancing its subsequent impacts. Some evaluation criteria may be less relevant than others in the decision-making process; therefore, if desired, the evaluation criteria can be ranked and weighted. The criteria and weighting used to assess fulfillment of the project objectives and in assigning scores to the different benefits and consequences should be developed with collaboration, understanding, and agreement of the project and pertinent agency stakeholders. Techniques to monetize the benefit realized by a project can also be used to directly compare an alternative’s benefit to its estimated cost. The alternatives assessment phase will be complete once all feasible build alternatives and the no-build alternative have been evaluated and a tentative preferred alternative has been selected.

Project Managers can elect to distribute the selected preferred alternative Department-wide for additional review and comment at this point as part of a Concept Plan distribution. Concept Plan submittals and their benefits are discussed in more detail in Section 6.3.

3.6.7 Process Documentation

The design team should document the scoping process once a preferred alternative has been selected. This documentation will serve to summarize the early project level decisions and may be federally required on some DelDOT projects. When the project scoping phase is performed properly, its results may be incorporated into the environmental review documents in accordance with 23 CFR 771.111 (a)(2)(i). The documentation developed is to be succinct and clear while summarizing the following elements:

• The project’s objectives – The project’s objective(s) or “purpose and need” should be summarized at the beginning of the document.
• Information collected – The documentation should summarize all information that was collected through any contributing technical studies or other pertinent information that describes the project’s origin. Pertinent technical studies include, but are not limited to, the following:
  • Cultural resources (architectural/ historical and archaeological),
  • Natural resources (threatened and endangered species, wetlands, water quality, terrestrial and aquatic resources),
  • Noise,
  • Air quality (based on the regional model),
  • Hazardous materials,
  • Conceptual stage relocation plan, and
  • Soils and geology.
• Description of each alternative considered – Provide a detailed description of each alternative considered, including those which were deemed to have a fatal flaw and therefore not considered in the final alternatives assessment. The alternatives and their design criteria and impacts should be fully described. The description should also include why the improvement option was initially considered and whether the design team made any modifications during the scoping process. The alternative should also be supplemented with a map depicting their location and key design features. Alternatives not carried forward into the final alternatives assessment should have their fatal flaw described.
• Description of the public involvement process – The results of any public involvement and agency coordination undertaken should be sufficiently described.
• Comparison between feasible alternatives – The alternatives analysis assessment criteria and any associated ranking or weighing mechanisms established should be fully explained in the documentation. For quick comparison, alternatives may be presented in an evaluation matrix which shows the evaluation of each of the alternatives.
• Conclusion –Describe why the preferred alternative was selected, any remediation or mitigation strategies to be pursued, as well as any commitments made to the public, pertinent resource agencies, and to other project stakeholders.

3.6.8 Additional Scoping Phase Considerations

The design team will need to perform additional project scoping once a preferred alternative has been selected. These ancillary considerations do not directly contribute to the selection of a preferred alternative but will serve to guide the rest of the project development process.

3.6.8.1 Project Delivery Method

Once the preferred alternative has been selected, the design team should assess the appropriate project delivery method. DelDOT traditionally delivers projects using design-bid-build project delivery, however, there are many other contracting alternatives available which can be considered. It is advantageous to consider the ultimate project delivery method during the scoping phase so that the project development process can be tailored to the ultimate deliverables required for the selected contracting method. Additional discussion on contracting method selection is included in Section 6.1. DelDOT Construction must be included on all discussions regarding alternative contracting methods.

3.6.8.2 Accessibility Requirements

28 CFR 35.151(a) requires that new construction meet the accessibility standards and be readily accessible to, and usable by, individuals with disabilities. The majority of projects that DelDOT will perform within the existing right-of-way will be considered alteration projects. 28 CFR 35.151(b) requires that facilities that are altered meet the accessibility standards and be readily accessible and usable to individuals with disabilities to the maximum extent feasible. The project limits must be examined during the scoping phase to ascertain the accessibility elements that will be affected during construction as well as their required treatment. The design team must perform all required accessibility work and should additionally strive to identify and then remove additional existing barriers to accessibility within the scope of the project. The design team should also consider potential scope expansion due to continued deterioration occurring prior to construction. For example, project limits may need to be expanded during the construction phase to correct pavement in an adjacent intersection which could trigger additional accessibility requirements. Additional discussion on the accessibility requirements and their associated design level considerations is provided in Section 4.5. DelDOT’s Title II Coordinator can be used as a resource during this assessment process.

3.6.8.3 Stormwater and Drainage Considerations

17 Chapter 9 of the Delaware Code requires that DelDOT adequately drain water along the right-of-way caused by the construction, alteration, or other changing of natural contour lines. Accordingly, DelDOT projects must locate drainage outfalls and subsequently provide positive conveyance within the project limits. Additionally, projects are required to comply with 7 DE Admin. Code § 5101 Sediment and Stormwater Regulations of the Delaware Administrative Code. Complying with the Sediment and Stormwater Regulations may require the installation of best management practices (BMPs) depending on the scope and impact of a project. For larger impact projects, this may require the acquisition of additional property rights solely for the construction and subsequent maintenance of BMP facilities. The design team should assess the project area during the scoping phase to accurately establish project limits and to also ensure that adequate field survey is collected. Additional information on drainage design is provided in Section 4.7 and additional information on stormwater management is provided in Section 4.8. DelDOT’s Water Resources section can be used as a resource during this assessment process.

3.6.8.4 Cost-Effective Safety Upgrades

The transportation network user’s safety is of paramount importance and is at the center of engineering ethics. Once the project limits are established, the design team should scope the limits to assess whether any infrastructure elements directly related to user safety can be improved and incorporated into the logical scope of the project. Examples of work that can be logically added to a project’s scope to enhance safety includes, but is not limited to, upgrading obsolete or prior generation crashworthy hardware, upgrading pedestrian crossing locations, installing or upgrading existing corridor lighting, adding median barrier on a divided roadway, removing existing roadside obstructions, and upgrading existing traffic control devices. DelDOT’s HSIP Program Manager and Traffic Safety Program Manager can be used as a resource during this assessment process.

3.6.8.5 3D Engineering Content Development

DelDOT develops and utilizes various forms of 3D engineered content throughout the project development process to aid in decision-making and design. Additionally, information that is derived from the 3D engineered content can be provided to a contractor as part of a contract.

3D models are extremely beneficial in analyzing clash detections during the design phase. A clash occurs when different infrastructure elements occupy the same space in the proposed design. Generating a 3D model is extremely beneficial in detecting these clashes so that remedies can be evaluated and considered during the design phase, resulting in reduced construction delays and reduced additional costs. Generating a 3D model is also beneficial on large earthwork and paving projects where automated machine guidance (AMG) practices may be utilized during the construction phase. Projects which include the following earthwork operations will benefit from the creation of a 3D model:

• Large application of sub-base material spreading,
• Large application of paving,
• Mass earthmoving,
• Stormwater management facilities requiring grading, and
• Wetland mitigation areas requiring earthwork.

Creating a 3D model during the design phase requires a significant investment of time and resources, which has an associated cost that should be considered on each project. The design team should consider how 3D engineered content will be used during the design phase as well as what electronic deliverables are going to be provided to the contractor during the scoping phase of each project as the decision will directly affect the rest of the project development process. Projects that elect to use 3D modeling during the design phase must have a complete and accurate ground survey of the existing topographical features to ensure the generation of an accurate 3D model that appropriately ties into the original ground surface. The design team needs to recognize the potential limitations that various surveying methods impose on the accuracy of the 3D model.

Table 3.6.8.5 - Benefits of Generating 3D Engineered Models

Design Phase Benefits:

A more comprehensive design can be developed. Enables integration of several design processes, resulting in quicker updates during the design phase. Ability to more accurately detect and address design issues and conflicts during the design phase. Constructability issues are easier to detect during the design phase. 3D models aid in extracting more accurate quantity estimates.

Construction Phase Benefits:

Contractors can identify and rectify constructability issues prior to mobilization, saving time and money. Contractors have a better understanding of material quantities throughout the project site. Faster construction execution with Automated Machine Guidance (AMG), which has associated efficiency and safety benefits. Provides the contractor with insight as to the engineer’s design intent. Enables more efficient workflows for the measurement and payment of material quantities.

3.6.8.6 Resiliency

As the lowest lying state, roadway flooding is of significant concern when planning, designing, constructing, and maintaining Delaware’s infrastructure. In accordance with Delaware’s Climate Action Plan, DelDOT should consider the effects of sea level rise when scoping and designing projects. In addition, as weather patterns are changing, overall resiliency and sustainability considerations and options should be taken into consideration. The design team should also consider the purpose, need, scope, and impacts of each project to determine what, if any, measures may be able to be taken as part of the project. Additional discussion on infrastructure resiliency design is provided in Section 4.12. DelDOT’s Division of Transportation Resilience and Sustainability can be used as a resource during this assessment process.

3.6.8.7 Aesthetics

The design team should evaluate the project area and identify any factors that may necessitate the incorporation of aesthetic features into the project. Factors that could require the addition of aesthetic features include a project’s presence on a designated Delaware Byway, local codes or other municipal requirements, local or regional master plans, or simply through stakeholder demand. Delaware’s Byway program is discussed in more detail in Section 4.2.4. Aesthetic features may include any of the following:

• Enhanced walls,
• Ornamental signal and lighting poles,
• Aesthetic traffic barrier,
• Fence,
• Patterned crosswalks, and
• Landscaping.

3.7 Existing Site Investigation

Department Resources
Design Resource Center
Memos and Forms on the Design Resource Center
Right to Trespass Site Investigation Letter
Public Involvement Initial Outreach Letter

Performing adequate site investigation is paramount to a project’s success. Timely site investigation enables a more accurate and complete project scoping assessment of the existing site deficiencies, allows the design team to promptly identify and subsequently mitigate existing site constraints, and ultimately reduces risk during the construction phase. Existing site investigation can be conducted throughout the project development process, but it mainly occurs during the project initiation phase. The design team is encouraged to visit the project site and to use the relevant GIS database resources described in Section 3.7.1 to assess existing conditions and to better approximate the potential limits and extent of required investigations prior to submitting requests as described within this section. The design team can also use resources publicly available to view existing site imagery collected from the street.

Various groups within DelDOT are tasked with managing and/ or performing existing site investigation activities. Accordingly, many existing site investigation activities require the design team to request the activity be performed by the section tasked with managing and/ or performing the activity. DelDOT maintains a list of memos and forms for requesting existing site investigation activities on its Design Resource Center website.

17 Del. C § 132(c)(13) of the Delaware code allows DelDOT to leave the limits of its right-of-way and enter on to private property to conduct surveys, repairs, reconstruction, and operation of publicly financed improvements. It is DelDOT’s practice to notify all potentially affected property owners prior to leaving the right-of-way to conduct all existing site investigations. DelDOT utilizes different procedures to notify potentially affected property owners depending on when the site investigation occurs relative to when the Public Involvement Initial Outreach letter described in Section 3.2.1.4 is sent. In cases where the site investigation occurs soon after the project’s Public Involvement Initial Outreach letter is sent, the Public Involvement Initial Outreach letter may serve as the property owner notification. If a significant amount of time, as determined by the Project Manager, has passed since the Public Involvement Initial Outreach letter was sent, the design team must send a Right to Trespass Site Investigation Letter to all potentially affected property owners prior to the site investigation commencing. Additionally, all staff conducting the site investigation regardless of the format of the letter sent to the residents, must carry the Right to Trespass Site Investigation Letter with them during all field activities.

3.7.1 GIS Databases

GIS databases are a powerful desktop research tool which have become widely prevalent in recent years; accordingly, the project team will have access to many GIS databases during the course of the project development process. GIS databases are typically free to use, and their data may need to be field verified during the project scoping phase; therefore, their use is typically most beneficial during the early project development phases. This subsection highlights the GIS databases that are considered the most valuable to the project team for existing site investigation

3.7.1.1 DelDOT Gateway

Department Resources
DelDOT Gateway

DelDOT’s Division of Planning maintains a web-based mapping application entitled DelDOT Gateway which is hosted on the ArcGIS Online cloud platform and available through the DelDOT intranet. The Gateway application consumes both DelDOT mapping services and other services originating from federal, state, and local governmental entities.As a result, DelDOT’s Gateway application includes a large amount of information that can be used throughout the project development process. DelDOT’s Gateway application is available online, for employees signed into the DelDOT intranet.

3.7.1.2 NPDES Viewer

Department Resources
DelDOT NPDES Viewer

DelDOT’s Division of Maintenance and Operations maintains an extensive GIS database entitled DelDOT NPDES Viewer which details various drainage and stormwater management facilities in the State. In addition to the GIS Database, DelDOT also maintains a user guide, a troubleshooting guide, and detailed login instructions for the program.

3.7.1.3 DNREC Stormwater Assessment Study GIS

The Delaware Department of Natural Resources and Environmental Control (DNREC) maintains a GIS database entitled Stormwater Assessment Study GIS. This GIS database includes existing site information related to stormwater management feasibility and is therefore, a very valuable tool when performing stormwater management designs which are discussed in more detail in Section 4.8.

3.7.1.4 Watershed Resources Registry (WRR)

Department Resources
Watershed Resources Registry

The Watershed Resources Registry (WRR) is a state-specific, preservation and restoration model displayed on an interactive online mapping tool that also features a large number of high-quality datasets for regulatory and other environmental planning goals. This GIS database includes existing mapped wetland information as well as potential restoration and preservation sites which are ranked on a scale of one to five stars, making it a very valuable tool when assessing potential wetland impacts and mitigation sites early in the project development process.

3.7.1.5 Flood Planning Tool

DNREC maintains a flood planning tool that can be used for preliminary hydraulic analysis. The GIS database is provided at the following link: https://floodplanning.dnrec.delaware.gov/

3.7.2 Topographic Field Survey

Department Resources
Survey and GPS Control Request Form

Topographic field survey data serves as the foundational information in which all proposed project elements are designed from and existing rights-of-way determined. Accordingly, setting a project’s survey limits, survey density, and survey control is of extreme importance and usually performed during the project initiation phase. Collecting the topographic field survey data during the project initiation phase allows the project team to concurrently scope the project and develop alternatives while the survey data is being collected and processed. Topographic field surveys can either be performed under a design project’s professional service agreement or can be performed by DelDOT’s in-house Survey section. In general, designs performed by in-house DelDOT staff are surveyed by DelDOT’s Survey section while designs performed by an external Engineer of Record are performed by that entity under the design project’s professional services agreement. All geodetic control established is to be set by DelDOT regardless of the entity conducting the topographic field survey. Survey and/ or geodetic control can be requested from DelDOT’s Survey section through use of the Survey and GPS Control Request Form.

3.7.2.1 Survey Standards

Department Resources
Carlson Data Collector Feature Code List
Survey Guidebook

Field surveys performed by DelDOT or by entities working on behalf of DelDOT are to follow the surveying standards established by this subsection unless approved otherwise by the DelDOT Project Manager in writing. All survey data is to be collected with Carlson data collectors and processed and delivered on a DelDOT supported CADD software program. DelDOT’s supported CADD software programs are described in more detail in Section 6.4. DelDOT’s Carlson Data Collector Feature Code List is available for download and additional data collector Feature Code Lists are available upon request from DelDOT. All field work is to be performed in accordance with DelDOT’s Survey Guidebook.

DelDOT utilizes the survey classifications and accuracy standards that have been established by the Federal Geodetic Control Subcommittee (FGDS), with modifications as documented in Table 3.7.2.1a and Table 3.7.2.1b.

Table 3.7.2.1a – Terrain Data Surveys and Construction Stakeout Surveys Standards

Terrain Data Surveys and Construction Stakeout Surveys
Element	Requirement
Linear / Proportional Horizontal Accuracy	C3 Order, 1:10,000
Linear / Proportional Vertical Accuracy	Maximum Misclosure e = 0.05 ft. √D where e = hundredths of a foot and D = distance in miles
Surveying Method:	Total Station Positioning System, radial side shots from Secondary Project Control. All data is captured in observational mode.
Required Datum Systems:	Horizontal = NAD83; Vertical = NAVD88; GPS = Model 12B Geoid or most current model.

Table 3.7.2.1b –Right-of-Way Mapping Standards

Right-of-Way Mapping
Element	Requirement
Linear / Proportional Horizontal Accuracy	C3 Order, 1:10,000
Linear / Proportional Vertical Accuracy	N/A
Surveying Method:	Total Station Positioning System, radial side shots from Secondary Project Control. All data is captured in observational mode.
Required Datum Systems:	Horizontal = NAD83; Vertical = NAVD88; GPS = Model 12B Geoid or most current model.

DelDOT requires that the following deliverables be provided for every survey file submission:

• DGN fieldbook and terrain file – This file contains the final adjusted survey data for the project. The terrain is auto generated from the data stored within the fieldbook. The data contained in this file is stored in an observational mode format. If translation is required to create this file, then all supporting files need to be included to show that original survey data was collected in an observational mode. The DelDOT Project Manager may request the unadjusted RAW data file when determined necessary by the DelDOT Project Manager.
• DGN graphics file – This file contains the graphics that are exported from the final adjusted survey DGN file. This file is to be provided in a 3D format.

3.7.2.2 Other Surveying Methods

Department Resources
Policy Implement T-06: Unmanned Aircraft Operational Policy

Surveying methods outside of those specified in Section 3.7.2.1 may be appropriate existing site investigation practices for certain applications. These other survey methods include, but are not limited to, the use of stationary scanners, GPS rovers, mobile scanners, or aerial surveying methods. Use of these other surveying methods may be conducted by DelDOT or by entities working on behalf of DelDOT when approved by the DelDOT Project Manager in writing. Considerations to employing these alternative survey methods include, but are not limited to, the following:

• High traffic volumes or complicated traffic patterns making data collection difficult or hazardous,
• Desired level of information accuracy which may vary based on the application,
• Existing site size and terrain,
• Difficulty associated with reaching certain areas via conventional methods, and
• Non-planar or structural condition surveys.

The use of unmanned aircraft vehicles (UAVs) to perform surveying activities has become increasingly common. DelDOT’s current policy is to use UAVs to collect site photogrammetry for surveys performed by DelDOT’s in-house Survey section. The photogrammetry collected will produce aerial imagery and a site topography that should only be used for reference due to its limited accuracy compared to the other conventional surveying methods. All personnel contracted to fly UAVs for DelDOT will be responsible for their own aircraft procurement, insurance, maintenance, training, and pilot certification. All DelDOT personnel are subject to DelDOT Policy Implement T-06 entitled Unmanned Aircraft Operational Policy which establishes the procedures necessary to obtain approval to fly UAV missions for DelDOT. It is essential that UAVs operated by and for DelDOT be operated in a safe manner and adhere to all relevant Federal Aviation Administration (FAA) and DelDOT regulations, policies, and operational procedures including the following these specific requirements:

• All UAV flights must utilize a “2-person rule” as the minimum at all times. The minimum “2-person rule” will consist of a remote Pilot in Command (PIC) and a Visual Observer. The Visual Observer is designated by the PIC to assist the PIC to see and avoid other air traffic or objects aloft or on the ground.
• All UAV missions flying on a DelDOT project require a pre-flight plan to be filed with the Delaware Traffic Management Center (TMC) in advance of the mission. All UAV flight operations will call the TMC and provide a start time (10-8), with standard information conveyed such as crew members, location, purpose, anticipated end time, and actual end time (10-7).
• All UAV flights will be logged into a database immediately after the flight or at the end of the day for multiple flights in one day. Copies of the logged flights will be sent to the DelDOT UAS (Unmanned Aircraft System) Program Manager by the 3rd day of the month to allow the DelDOT UAS Program Manager to upload the required monthly data into the FAA website.

3.7.2.3 Pedestrian Connection Survey Considerations

Reconstruction of pedestrian connections to meet the accessibility standards on projects whose scopes would not traditionally require a topographic survey be performed is a fairly common occurrence. Whether a survey is required to design and construct a compliant pedestrian connection should be carefully considered by the design team during the project initiation phase. Projects whose scope requires a full topographic survey of the entire work limits and not just that of the improvement’s proposed pedestrian connections should follow the standards detailed in Section 3.7.2.1. On linear projects, where a topographic survey of only the proposed pedestrian connection locations have been determined necessary, first consideration should be made to setting geodetic control and running a traverse and bench loop that encompasses the entire project area. When setting geodetic control and running a traverse and bench loop that encompasses the entire project area is infeasible, assumed coordinates may be used after discussion and written approval from the DelDOT Project Manager. When assumed coordinates are used, the contract must clearly state each location that used assumed coordinates. The assumed coordinate control points must be easily re-creatable and clearly described in the contract by providing a traverse point diagram with a minimum of three associated tie points. If a location is using assumed coordinates and it is determined that additional right-of-way will need to be acquired, it cannot be acquired using the assumed coordinates. 6 Del. C § 5501 of the Delaware Code requires that all property information be recorded using NAD 83/91.

3.7.2.4 Bridge Design Survey Considerations

Department Resources
Bridge Design Manual
Survey and GPS Control Request Form

Coordination between the design team and DelDOT’s Survey section is encouraged when topographic surveys are requested for in-house Bridge Design projects. The coordination could include, but not be limited to, the following elements:

• A discussion of the need and feasibility to survey the entire flood plain, and other considerations, for the hydraulic analysis. Section 104.1 of the DelDOT Bridge Design Manual includes additional information regarding the extent of topographic surveys for purposes of hydraulic analysis.
• A discussion of the locations and frequency of survey shots for railroad rails.
• A discussion on the provided Survey and GPS Control Request Form, particularly the required information under the ‘For Bridge Requests Only’ section.
• A discussion of the extent and detail to which the structural elements will be surveyed.
• Analyzing the requested survey area via in-person site visit and/or electronic means to establish the feasibility of certain shots due to existing topography and ground cover conditions.

3.7.3 Traffic Data and Functional Classification Designation

Department Resources
Traffic Data / Functional Classification Request Form

Typically, existing and proposed future year traffic data is needed to quantify existing transportation challenges, the severity to which they may increase by the design year, and whether the proposed alternative(s) can address the transportation need. Identifying actively growing or changing land use areas is a key component in this process as land use changes can significantly impact future traffic volumes. As such, this information is typically requested during the project initiation phase. It is needed by the design team to set the roadway’s design control and design criteria which are discussed in more detail in Section 4.1.

Depending on the breadth and scope of the project, as well as its geographic location, this request may incur the use of DelDOT’s regional travel demand model. Regional travel demand models are used to predict how people will change their travel behavior based on various changing factors, including living arrangements, working options, route choices, transportation modes, and characteristics of the individual making the trip. The model mechanics can be viewed in terms of supply and demand. If the demand (population or employment) changes, the model uses a series of mathematical processes to estimate how the supply (transportation system) responds. It is used in the reverse manner as well, i.e., how does changing the number of lanes on a road (supply) impact where people live, work and/or how they travel (demand) between locations. DelDOT’s regional travel demand model, the DELMARVA Peninsula Model, uses local demographic data, both actively and passively collected surveyed travel behavior, and the state’s transportation system characteristics for vehicles, transit, and pedestrians to create both the baseline existing year model and the future year scenarios.

A roadway’s existing and proposed traffic data and functional classification designation information can be requested from DelDOT’s Division of Planning through use of the Traffic Data/ Functional Classification Request Form. Depending on the request complexity, the forecast will be provided within 10 business days, or a scoping/clarification meeting will be scheduled within 10 business days. Please be sure to use this form as it often provides all the information needed to determine the existing and future traffic needs using a streamlined process. Additionally, many Project Development sections within DelDOT will place the information obtained from the Division of Planning directly onto the contract plan’s title sheet for archival purposes.

3.7.4 Property Rights Research

Department Resources
Initial Project Research Request Memo
Sample Title Search
Right-of-Way Engineering Manual

DelDOT’s existing rights-of-way will need to be investigated during the project development process to ascertain whether the State owns sufficient property rights or if additional property rights will need to be acquired to construct a proposed improvement. The existing property rights research can either be performed under a design project’s professional service agreement or can be performed by DelDOT’s in-house Team Support section. In general, designs performed by in-house DelDOT staff are researched by DelDOT’s Team Support section while designs performed by an external Engineer of Record are researched by that entity under the design project’s professional services agreement.

The existing property rights research is typically requested during the project initiation phase once the limits and extent of the research required has been initially scoped by the project team. Existing property rights information can be requested through use of DelDOT’s Initial Project Research Request Memo. The Right-of-Way coordination and mosaic establishment process are more thoroughly discussed in Section 5.5.

Title searches are the most comprehensive property rights research that can be requested by the design team. Title searches consist of an examination of public records to determine and confirm a property’s legal ownership. A sample title search is provided for user reference. DelDOT’s Right-of-Way Engineering Manual establishes DelDOT’s practice for performing 60-year title searches, meaning that title searches performed will examine the last 60-years of public records to determine a property’s current legal ownership. It should be noted that some easements may predate the 60-year period and will therefore, not be captured in the completed title search. Title searches requested through the Initial Project Research Request Memo are conducted through professional services managed by DelDOT’s Right-of-Way section. Accordingly, when title searches are requested, a project must have money available to fund the title search.

3.7.5 Crash Data

Department Resources
Crash Data Portal

Crash data should be investigated as early in the project development process as possible so crash patterns can be identified and possible countermeasures developed. Limited crash data is available through DelDOT’s Gateway GIS database with additional information being available through a request process described within this subsection. Crash data is typically reviewed during the project initiation phase but can be requested at any time during the project development process. Historic crash data can be used to identify existing transportation deficiencies including high crash locations, patterns in crashes that may indicate specific problematic movements, and particular types of crashes that should be targeted for countermeasures. The level of crash data documentation required for a project will vary with the project’s size and scope. Project’s requiring extensive documentation typically document the data on an aerial map with different symbology for the different crash types.

Access to the majority of crash data is restricted to authorized users in accordance with 21 Del. C. § 313. All professionals that wish to view individual crash reports are required to contact the Traffic Safety Engineering section for more information and official security clearance procedures, if applicable, prior to submitting a request. Once authorized, professionals must submit crash data requests through the Crash Data Portal. Typically, crash data is requested for the past 3-years; however, crash data exceeding the past 3-years can be requested at the discretion of the Project Manager, but these requests will require that additional justification be provided with the request.

The design team can also request Highway Safety Improvement Program (HSIP) reports from the Traffic Safety Engineering section. The HSIP reports are compiled for each road in the State and contain information that can be valuable to assist the design team while evaluating the project area.

3.7.6 Utility Designation

Department Resources
Utility Designation Request Form

Utility designation is a valuable existing site investigation tool that is used to identify potential utility conflicts. Utility designation is commonly defined as the process of using a geophysical method or methods to interpret the presence of a subsurface utility and to mark its approximate horizontal position (its designation) on the ground surface. Project’s whose scopes will require subsurface work which has the potential to impact existing utility features may benefit from the performance of a utility designation. Performing a utility designation as early as feasible in the project development process allows for additional information to be conveyed through DelDOT deliverables and provides more time for stakeholders to identify and mitigate a project’s potential utility impacts. The design team should discuss a project’s potential utility designation and the agreement to perform the utility designation under with the project’s DelDOT Utility Coordinator when the design team considers designation appropriate. Utility designation is requested through use of DelDOT’s Utility Designation Request Form. All utility designation performed on DelDOT projects are to be in accordance with ASCE 38-22. The utility coordination process is more thoroughly discussed in Section 5.4.

3.7.7 Pavement Corings

DelDOT’s Materials and Research section is tasked with overseeing all DelDOT pavement coring operations. Pavement coring investigations are used to confirm the existing roadway section and condition and is often required to provide a design pavement structure recommendation. Archived plans should not be solely relied upon for this purpose, as archived plans can be inaccurate and will not provide a true representation of the condition of the existing pavement.

It is important to assess what information is desired from the coring investigation prior to requesting the pavement cores as it will affect the extent of the investigation. Pavement cores can be requested to evaluate the existing pavement for:

• Excavation/removal quantity estimates,
• Suitability of the pavement to be repurposed as a different type of use,
• Condition of underlying layers,
• Strength and condition of existing pavement,
• Depth of layers for tie-in purposes, and
• Determining suitability for pavement rehabilitation.

Pavement cores should be requested as soon as possible in the project development process by emailing the request to DOT_Pavementcores@delaware.gov. The design team should provide a current map showing the locations that are to be investigated. If there are critical areas of interest, the design team should designate those specific areas. Otherwise, the start and end limits and purpose of the investigation are sufficient for the request. The Materials and Research section and the design team will work together to determine the best course of action and layout of pavement cores for the investigation. Pavement coring investigations are weather dependent, so time should be allotted to account for weather delays. The typical turnaround for the requested pavement cores is 30 days, however freezing temperatures, precipitation, and other natural events increase the response time.

3.7.8 Traffic Counts

The traffic data provided to the design team as described in Section 3.7.3 may need to be supplemented with traffic count data depending on a project’s needs. Traffic count information may be needed for, but not limited to, calculating LOS, determining queue lengths, or for air quality and noise analysis purposes. However, traffic counts may already be available at the interested location. DelDOT’s Division of Planning and Traffic Engineering section can be contacted to research the availability of historical traffic data. If new traffic data is required, the data collection process can be performed by DelDOT’s Traffic Engineering section for in-house design projects or can be performed under a design project’s professional service agreement. Once the traffic data is collected, the results are to be provided by the design team to DelDOT’s Statewide & Regional Planning (S&RP) section in the Division of Planning for inclusion to the DelDOT Extranet.

3.7.9 Pipe Video Inspection

Department Resources
Pipe Flushing Request Memo
Pipe Video Inspection Request Memo
Pipe Inspection and Remediation Guide

Existing pipes that are to become part of the final drainage network can be investigated during the design phase to determine their condition and their suitability for use in the final drainage network. Pipe video inspections can either be performed by DelDOT’s Materials and Research section or can be performed under a design project’s professional services agreement. The design team should assess the sediment accumulation in the pipes to be inspected to determine if pipe flushing is required to obtain an unobstructed view of the pipe. Pipe flushing consists of jetting water through a conduit to remove sedimentation and other obstructions which could block the pipe video rover’s travel or view within the existing conduit. DelDOT’s pipe video inspection group does not have the ability to perform pipe flushing. Therefore, all required pipe flushing must be performed prior to mobilization of the DelDOT pipe video inspection group. Pipe flushing can be requested from the appropriate Division of Maintenance and Operations district through use of DelDOT’s Pipe Flushing Request Memo. Pipe video can be requested from the Materials and Research section through use of DelDOT’s Pipe Video Inspection Request Memo.

In all cases, proper communication and coordination is key to the performance of a successful design phase pipe video inspection. The information that is desired to be obtained as part of the design phase pipe video inspection should be clearly communicated to the pipe video inspection crew. DelDOT’s Pipe Inspection and Remediation Guide should be utilized as a resource for these design phase investigations; however, these design phase investigations are not required to be measured to the same level of accuracy or precision as post installation inspections as the passage of time will have allowed more physical and qualitative evidence indicative of pipe defects to present themselves.

The results of this design phase inspection should be documented and compared to any construction phase inspections to evaluate any damage that may have occurred during the construction phase. Design phase investigation and documentation are valuable tools when disputes regarding contractor damage to the existing pipe network arise during construction.

3.7.10 Soil Borings

Department Resources
Bridge Design Manual

Soil borings provide information about the properties and condition of the existing soil strata, which is critical in the design of many structures. DelDOT’s Materials and Research section maintains expertise in the field of subsurface soil exploration and possesses on-call soil boring contractor agreements. The design team should coordinate with the Materials and Research section during the project development process to determine the necessity and locations for soil borings on a project. Soil borings are typically required in the following applications:

• Bridge construction,
• Large new road construction and road reconstruction,
• Road construction projects where there are known issues such as settlement of the roadway,
• Infiltration testing for stormwater management facilities, and
• Traffic signal foundations.

Soil borings may also be used for pavement design in certain applications in accordance with the criteria in Section 4.15.

There are numerous procedures and techniques available for obtaining in-situ soil information and in-situ soil samples. The procedures that are performed to obtain the desired information are dependent upon the extent of the soil investigation required. The Materials and Research section will work with the design team to determine what testing is required to obtain the information needed at the project level.

Soil borings can either be performed through DelDOT's on-call drilling agreements or other professional service agreements. When soil samples are tested, the samples shall be designated using the AASHTO classification of soil and soil aggregate mixtures. If the test results are performed by an entity outside of DelDOT, the soil test results shall be provided to the DelDOT Materials and Research section so that it can be included into the Department’s database. Additional information on DelDOT soil boring field practices and deliverables is included in Section 105.4.1 of the DelDOT Bridge Design Manual. The project team may need to release electronic design files to the entity that will be performing the soil borings; in these occurrences, the procedures detailed in Section 5.10 must be followed.

3.7.10.1 Borings Performed Through On-Call Drilling Agreements

Department Resources
Boring Request Form
Boring Completion Time Estimator

When requesting soil borings from the Materials and Research section through use of DelDOT’s on-call drilling agreements, the design team should provide the following:

• Preliminary surveys,
• Survey plans with the location of the investigation including road names,
• Verification of existing right-of-way,
• A right to enter templated letter if trespass is needed,
• Purpose of the investigation, and
• The Boring Request Form.

DelDOT maintains a Boring Completion Time Estimator which the design team can use to create informed project schedules. The time required to complete the requested borings will vary based on the amount and complexity of the drilling, the extent of the analysis, weather delays, traffic control requirements, and other location specific conditions. The design team should work with the DelDOT Geotechnical Engineer to ascertain an accurate completion time estimate and to communicate any project specific needs as early as possible in the project development process.

3.7.10.2 Borings Performed Under Other Professional Service Agreements

The Materials and Research section should be utilized as a resource when soil borings are to be performed under a design project’s professional service agreements other than DelDOT’s on-call drilling services agreement. Coordination with the Materials and Research section will ensure the proposed geotechnical exploration is commensurate with the project’s scope, follows DelDOT’s standard practices, and that sufficient information will be obtained. The minimum information that should be provided to the Materials and Research section prior to the approval of the driller’s scope of work includes the completed standard boring request form and associated location map showing the location of the proposed borings.

The driller will be required to obtain all necessary environmental, boring, well, and other project specific permits prior to drilling. Additionally, the driller will need to coordinate all required maintenance of traffic, receive Miss Utility clearance, and coordinate any other project specific needs.

Once the drilling work commences, the DelDOT Project Manager or their designee should provide updates on the drilling schedule and testing schedule to the DelDOT Geotechnical Engineer and DelDOT Soils and Aggregate Laboratory Manager, respectively. The completed field logs and any other associated reports are to be submitted to the Materials and Research section upon task completion.

3.7.11 Structure Condition Investigations

Department Resources
Bridge Design Manual

Depending upon the proposed scope of a project, it may be beneficial to conduct structure condition surveys as part of the existing site investigation. Section 109 of DelDOT’s Bridge Design Manual contains comprehensive information on the design level inspections and material testing that can be conducted to assess an existing structure’s condition.