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. 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.

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 Groups

The design team’s efforts are supplemented by Support Groups throughout DelDOT. Support Groups typically oversee a particular area of the of the project development process and perform ancillary tasks to deliver a project. Support Groups 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, 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 all 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,
Time needed for any necessary property acquisitions or trespass/ rail agreements,
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 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 Finance section. 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 determined the dedicated funding is insufficient. Additional information on funding increases is provided in Section 5.8.1 (To be added).

3.2.1.3 Initial Environmental Evaluation

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:


Department Resources
Initial Environmental Evaluation Form

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.

3.2.2 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 [[Chapter 5 - Stakeholder Coordination|Section 5.8.1 (To be added)] when re-baselining reveals the project has insufficient fund.

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 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. In all cases, the need for professional services should be evaluated on a project-by-project basis.

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 is 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 contracts. The federal requirements for IDIQ contracts are established in 23 CFR 172.9(a)(3).

Open-end contracts 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 task when determining the entity to assign the work to. Once the Project Manager determines the optimum firm to perform the work, 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:

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.
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
Funding Increase Request Form	Funding Increase Request Form
Funding Request Form	Funding Request Form

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 group 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 State of Delaware policy, 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 4-weeks from roughly mid-June to mid-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 and also direct the consultant to end their invoicing service dates on June 30th and start a new period on July 1st. The fiscal year end will result in shortened billing periods accordingly.

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

All professional service task agreements using federal funds must be closed out upon completion in accordance with 2 CFR 200.344. 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 service before its completion. To closeout a task, the Project Manager will need to request a final invoice from the consultant. Upon receipt and approval of the final invoice, the Project Manager will need to notify the appropriate Department mailboxes as shown in Table 3.4.2.4 that the task can be closed out upon issuing the final payment. Additionally, the Finance section may contact the Project Manager to inquire about closing out a task that has not generated any activity during the past fiscal year.

Table 3.4.2.4 – Mailboxes for Task Closeout
Department Mailbox	When to Include on Funding Request Email>
DOT.AuditManagement@Delaware.gov	Include on all Closeout Requests
DOT.ProfServices@Delaware.gov	Include on all Closeout Requests
DOT_TransSolutions_Payment@Delaware.gov	Include on all Transportation Solutions Closeout Requests

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 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 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 and 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
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
- 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
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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 formal 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 area 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
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:

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.
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.

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.

Chapter 5 - Stakeholder Coordination